ENCLOSURE 1 

CALIFORNIA INFRASTRUCTURE SIP 
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CALIFORNIA INFRASTRUCTURE SIP 

Report Release Date: December 23, 2013 

Public Hearing Date: January 23, 2014 
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TABLE OF CONTENTS 

Introduction ............................................................................................................... 1 

Emission Limits and Other Control Measures (§110(a)(2)(A)) ............................... 5 

Ambient Air Quality Monitoring/Data System (§110(a)(2)(B)) ................................ 8 

 On-Going Monitoring Requirements ....................................................................... 9 

 New Federal Monitoring Requirements ..................................................................10 

 Lead Monitoring ................................................................................................10 

 Nitrogen Dioxide Monitoring .............................................................................10 

 Fine Particulate Matter Monitoring ....................................................................12 

 Sulfur Dioxide Monitoring .................................................................................12 

Programs for Enforcement, PSD, and NSR (§110(a)(2)(C)) ....................................13 

 Enforcement of Stationary Source Control Measures ............................................13 

 PSD and NSR Permitting Programs ......................................................................13 

 PSD Permitting Programs ................................................................................14 

 Minor NSR Permitting Programs ......................................................................16 

Interstate and International Transport Provisions (§110(a)(2)(D)) .........................17 

 Significant Contribution to Nonattainment (Prong 1) and 

 Interference with Maintenance (Prong 2) ..........................................................18 

 Interference with PSD (Prong 3) and Interference with 

 Visibility Protection (Prong 4) ............................................................................19 

Adequate Personnel, Funding, Authority, Conflict of Interest, and 

 Board Composition (§110(a)(2)(E)) .....................................................................20 

 Legal Authority, Funding, and Personnel ...............................................................20 

 Compliance with CAA Section 128 .........................................................................21 

Stationary Source Monitoring and Reporting (§110(a)(2)(F)) .................................22 

 Monitoring Stationary Source Emissions ................................................................22 

 Reporting Stationary Source Emissions .................................................................25 

 Correlating Stationary Source Emission Reports with 

 Stationary Source Emission Limits ...................................................................27 

 Emissions Inventory Responsibilities .....................................................................28 

Contingency Plans for Emergency Episodes (§110(a)(2)(G)) ................................28 

 Authority to Halt Pollutant Emissions .....................................................................29 

 Contingency Plans for Emergency Episodes .........................................................29 

 Sulfur Oxides ....................................................................................................32 

 Nitrogen Dioxide ...............................................................................................32 

 Ozone ...............................................................................................................33 

 Lead .................................................................................................................34 

 Fine Particulate Matter .....................................................................................34 

Future SIP Revisions (§110(a)(2)(H)) ........................................................................35 

Consultation with Government Officials, Public Notification, 

 PSD, and Visibility Protection (§110(a)(2)(J)).....................................................36 

 Consultation ...........................................................................................................36 

 Public Notification ..................................................................................................41 

 PSD and Visibility Protection ..................................................................................41 

Air Quality Modeling/Data (§110(a)(2)(K)) ................................................................42 

Permitting Fees (§110(a)(2)(L)) .................................................................................43 

Consultation/Participation by Affected Local Entities (§110(a)(2)(M)) ..................45 
ii 

ATTACHMENT 1: RELEVANT CALIFORNIA HEALTH AND SAFETY CODE 

SECTIONS INCLUDED FOR INFORMATION ONLY AND 

NOT TO BE INCLUDED IN CALIFORNIA’S STATE 

IMPLEMENTATION PLAN 

Health and Safety Code Section 39002. Agencies responsible for pollution control A1-1 

Health and Safety Code Section 39602. Designated air pollution control agency; 

Compliance with federal law ............................................................................... A1-1 

Health and Safety Code Section 39602.5(a). Adoption of rules and regulations ...... A1-1 

Health and Safety Code Section 39607(a). Gathering air pollution information ....... A1-2 

Health and Safety Code Section 39607(c). Gathering air pollution information ........ A1-2 

Health and Safety Code Section 40000. Legislative finding and declaration ............ A1-2 

Health and Safety Code Section 40001(a). Rules and regulations .......................... A1-2 

Health and Safety Code Section 40718. Pollutant maps .......................................... A1-2 

Health and Safety Code Section 40725. Notice of public hearing ............................ A1-2 

Health and Safety Code Section 41311. Fees .......................................................... A1-3 

Health and Safety Code Section 41509. Scope of division ...................................... A1-4 

Health and Safety Code Section 41510. Right of entry for inspection ...................... A1-5 

Health and Safety Code Section 41511. Rules and regulations ............................... A1-5 

Health and Safety Code Section 41650. Adoption of nonattainment area plan ........ A1-5 

Health and Safety Code Section 41651. Hearing; Evidence .................................... A1-6 

Health and Safety Code Section 41652. Revision of plan ........................................ A1-6 

Health and Safety Code Section 41700. Prohibited discharges ............................... A1-6 

Health and Safety Code Section 41712(b). Regulations to control volatile 

organic compounds in consumer products ......................................................... A1-6 

Health and Safety Code Section 42400. Criminal penalty for violations ................... A1-7 

Health and Safety Code Section 42400.1. Negligent emission of air 

contaminants; Operation of source of contaminants which causes actual 

injury; Criminal sanctions .................................................................................... A1-7 

Health and Safety Code Section 42400.2. Failure to take corrective actions; 

Criminal sanctions ............................................................................................... A1-8 

Health and Safety Code Section 42400.3. Willful and intentional emissions of 

air contaminant; Penalties ................................................................................... A1-8 

Health and Safety Code Section 42400.3.5. Knowing violations; Penalties ............. A1-9 

Health and Safety Code Section 42400.4. Knowing violation of federally 

enforceable permit condition, fee, or filing requirement ...................................... A1-10 

Health and Safety Code Section 42400.5. Cost of putting out unauthorized fires .... A1-11 

Health and Safety Code Section 42400.6. Imposition of fine ................................... A1-11 

Health and Safety Code Section 42400.7. Effect of recovery of civil penalties; 

 Injunction ............................................................................................................ A1-11

Health and Safety Code Section 42400.8. Determination of amount of fine ............. A1-11 

Health and Safety Code Section 42401. Violation of abatement order; Civil penalty A1-12 

Health and Safety Code Section 42402. Violation of emission limitations; 

 Civil penalty ........................................................................................................ A1-12 

Health and Safety Code Section 42402.1. Negligent emission of air contaminants; 

 Operation of source of contaminants which cause actual injury; Civil penalties .. A1-13 

Health and Safety Code Section 42402.2. Failure to take corrective actions; 

 Civil penalties ...................................................................................................... A1-13 
iii 

Health and Safety Code Section 42402.3. Willful and intentional emission of 

 air contaminant; Penalty ..................................................................................... A1-13 

Health and Safety Code Section 42402.4. Penalty for knowing falsification 

 of document ........................................................................................................ A1-14 

Health and Safety Code Section 42402.5. Administrative civil penalties .................. A1-14 

Health and Safety Code Section 42403. Civil actions; Determination of penalty ...... A1-14 

Health and Safety Code Section 42403.5. Discharge from idling engine of 

 diesel-powered bus ............................................................................................. A1-15 

Health and Safety Code Section 42404. Civil actions; Precedence ......................... A1-15 

Health and Safety Code Section 42404.5. Commencement of limitation period ...... A1-15 

Health and Safety Code Section 42405. Payment of penalty ................................... A1-16 

Health and Safety Code Section 42405.1. Rewards for informants .......................... A1-16 

Health and Safety Code Section 42405.5. Reimbursement of government 

agency for cost and expenses incurred in preparing and prosecuting case ........ A1-17 

Health and Safety Code Section 42406. Lien on vessel........................................... A1-17 

Health and Safety Code Section 42407. Scope of article ......................................... A1-18 

Health and Safety Code Section 42408. Tampering with air pollution 

 monitoring equipment ......................................................................................... A1-18 

Health and Safety Code Section 42409. List of potential violations ......................... A1-18 

Health and Safety Code Section 42410. Administrative penalty as alternative to 

civil penalty; Limitations; Construction of section; Report to Governor and 

 Legislature .......................................................................................................... A1-18 

Health and Safety Code Section 42450. Issuance by district board; Hearing .......... A1-20 

Health and Safety Code Section 42450.1. Application of article ............................... A1-20 

Health and Safety Code Section 42451. Issuance by hearing board; Stipulated 

orders .................................................................................................................. A1-20 

Health and Safety Code Section 42452. Form of order ............................................ A1-21 

Health and Safety Code Section 42453. Injunction against violations ...................... A1-21 

Health and Safety Code Section 42454. Injunction proceedings .............................. A1-21 

ATTACHMENT 2: CALIFORNIA GOVERNMENT CODE AND CALIFORNIA 

CODE OF REGULATIONS SECTIONS SUBMTTED FOR 

APPROVAL AS PART OF CALIFORNIA’S STATE 

IMPLEMENTATION PLAN 

Government Code Section 82048 ............................................................................ A2-1 

Government Code Section 87103 ............................................................................ A2-1 

Government Code Section 87302 ............................................................................ A2-2 

California Code of Regulations, Title 2, section 18700. Basic Rule; Guide to 

 Conflict of Interest Regulations ........................................................................... A2-3 

California Code of Regulations, Title 2, section 18701. Public Official, Definitions ... A2-5 

ATTACHMENT 3: 2013 ANNUAL MONITORING NETWORK REPORTS 

INCLUDED FOR INFORMATION ONLY AND NOT TO BE 

INCLUDED IN CALIFORNIA’S STATE IMPLEMENTATION 

PLAN 

2013 Annual Network Reports .................................................................................. A3-1 
iv 

LIST OF TABLES AND FIGURES 

 

TABLE 1: Recent Federal Standard Adoptions / Revisions and 

 Infrastructure SIP Submittals ................................................................2 

TABLE 2: Required Infrastructure SIP Elements ......................................................3 

TABLE 3: Examples of California SIP-Approved Emission Control Measures .........7 

TABLE 4: Required California Monitors for the 2010 Federal NO2 Standard ............11 

TABLE 5: Required California SO2 Monitors Based on Population Weighted 

 Emissions Index ...................................................................................12 

TABLE 6: California Districts with SIP-Approved PSD Programs .............................15 

TABLE 7: Status of District PSD Program Development and Approval ....................16 

TABLE 8: Summary of NO2 Concentrations Measured at Sites Located 

 Within 65 Kilometers of the California Border .......................................18 

TABLE 9: Examples of Rules Requiring Continuous Stationary Source 

 Emissions Monitoring ...........................................................................24 

TABLE 10: Examples of Rules Governing Stationary Source Emission 

 Reporting Requirements .......................................................................26 

TABLE 11: General Area Included in California Intrastate Air Quality 

 Control Regions ....................................................................................30 

TABLE 12: Threshold Concentrations for Priority I and II Areas and 

 Significant Harm Levels ........................................................................31 

TABLE 13: New and (Original) Priority Classifications by Pollutant 

 for Emergency Episode Plan Requirements .........................................32 

TABLE 14: SIP-Approved Emergency Episode Plans for the 

 Metropolitan Los Angeles and San Joaquin Valley IAQCRs .................34 

TABLE 15: California Districts and Jurisdictional Area ...............................................37 

TABLE 16: Sampling of Stakeholders Consulted During 

 SIP Development Process ....................................................................38 

TABLE 17: California District Title V Rules and Permit Fee Information .....................44 

 

FIGURE 1: California Metropolitan Planning Organizations (MPOs) and 

 Regional Transportation Planning Agencies (RTPAs) ...........................39 
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INTRODUCTION 

Each time the United States Environmental Protection Agency (U.S. EPA) adopts a new 

National Ambient Air Quality Standard (federal standard or standard) or revises an 

existing standard, the federal Clean Air Act (CAA) requires states to develop and submit 

an Infrastructure State Implementation Plan (SIP). An Infrastructure SIP is 

administrative in nature and describes the authorities, resources, and programs a state 

has in place to implement, maintain, and enforce the federal standards. It does not 

contain any proposals for emission control measures. 

The overarching framework or infrastructure for California’s air quality programs is well 

established. As the air pollution control agency responsible for all purposes set forth 

in federal law (California Health and Safety Code (H&SC) Section 39602), the Air 

Resources Board (ARB) submitted California’s first Infrastructure SIP in response to 

the CAA of 1970. U.S. EPA approved this submittal in 1979 (40 Code of Federal 

Regulations (CFR) 52.220). ARB has submitted several Infrastructure SIP revisions 

since that time, in response to new or revised federal standards. These revisions build 

on previous Infrastructure SIP submittals. When U.S. EPA approves an Infrastructure 

SIP revision, it becomes part of the overall statewide SIP. 

Table 1 summarizes the federal standards that U.S. EPA most recently adopted or 

revised. As shown in Table 1, ARB previously submitted Infrastructure SIP revisions to 

comply with changes to the 1997 ozone standard, 1997 fine particulate matter (PM2.5) 

standard, 2008 lead standard, and 2010 nitrogen dioxide (NO2) standard. U.S. EPA has 

not yet acted fully on any of these submittals. In addition, ARB submitted a certification 

letter for the 2006 PM2.5 standard infrastructure requirements. 

The Infrastructure SIP revision documented here, along with supporting Attachments 1 

through 3, provides additional information and clarification of ARB’s previous 

Infrastructure SIP submittals. In addition, it addresses all infrastructure requirements 

for the 2008 federal ozone standard, the 2006 and 2012 PM2.5 standards, and the 2010 

federal sulfur dioxide (SO2) standard. ARB acknowledges there may be some overlap 

between this Infrastructure SIP revision and the previous Infrastructure SIP submittals. 

In such cases, the information in this Infrastructure SIP revision supersedes those 

previous submittals. Furthermore, because most infrastructure elements are general in 

nature, many parts of this current revision will be relevant to any future new or revised 

federal standards. 
 2 

TABLE 1 

Recent Federal Standard Adoptions / Revisions and Infrastructure SIP Submittals* 

Pollutant 

Year 

Standard 

Revised 

Standard Level Averaging Time 

Date ARB Submitted 

Infrastructure SIP 

Revision 

Ozone 1997 0.08 ppm 8-hour November 16, 2007 

2008 0.075 ppm 8-hour No submittal** 

PM2.5

1997 65 μg/m3

 24-hour November 16, 2007 

15 μg/m and July 7, 2009 3 Annual 

2006 35 μg/m3

 24-hour July 7, 2009 15 μg/m3

 Annual 

2012 35 μg/m3

 24-hour No submittal 12 μg/m3

 Annual 

Lead 2008 0.15 μg/m3 Rolling 3-month October 6, 2011 

NO2 2010 100 ppb 1-hour December 12, 2012 0.053 ppm Annual 

SO2 2010 75 ppb 1-hour No submittal 

* PM2.5 = fine particulate matter; NO2 = nitrogen dioxide; SO2 = sulfur dioxide; ppm = parts per 

million; μg/m3

 = micrograms per cubic meter; ppb = parts per billion. 

** March 12, 2011, was the initial due date for states to submit an Infrastructure SIP for the 2008 

ozone standard. However, in light of on-going litigation, a number of states, including California, 

did not meet this deadline. In response to further litigation, U.S. EPA made failure to submit 

findings on January 4, 2013. These findings started a 24-month clock, setting a new submittal 

date of January 4, 2015. 

CAA Section 110(a)(2) lists the specific elements that must be addressed in an 

Infrastructure SIP, with exceptions for several elements identified in CAA 

Section 110(a)(2). In particular, this revision does not address the portion of 

Section 110(a)(2)(C) that applies to a permitting program for nonattainment new source 

review within nonattainment areas, nor does it address Section 110(a)(2)(I), which 

pertains to the specific requirements for attainment plans for areas designated as 

nonattainment. U.S. EPA interprets these requirements to be outside the scope of the 

Infrastructure SIP. Furthermore, the CAA provides separate statutory schedules for 

submitting planning requirements for areas designated as nonattainment. This 

Infrastructure SIP submittal also does not address CAA Section 110(a)(2)(D)(i)(I), which 

deals with transport. Under the District of Columbia Circuit Court’s opinion in 

EME Homer City Generation v. EPA, states do not need to address this infrastructure 

element until U.S. EPA quantifies each state’s transport obligation (see EME Homer City 

Generation, L.P. v. EPA, 696 F .3d 7 (D.C. Cir. 2012), cert. granted, 2013 U.S. Lexis 

4801 (2013)). Table 2 lists the page number of this document where each relevant 

infrastructure element is addressed. 
 3 

TABLE 2 

Required Infrastructure SIP Elements* 

Infrastructure SIP Element Clean Air Act 

Requirement 

Page Number 

of Element 

Description 

Emission Limits and Other Control Measures §110(a)(2)(A) Page 5 

Ambient Air Quality Monitoring/Data System §110(a)(2)(B) Page 8 

Programs for Enforcement, PSD, and NSR §110(a)(2)(C) Page 13

Interstate and International Transport 

Provisions §110(a)(2)(D) Page 17

Adequate Personnel, Funding, Authority, 

Conflict of Interest, and Board Composition §110(a)(2)(E) Page 20

Stationary Source Monitoring and Reporting §110(a)(2)(F) Page 22

Contingency Plans for Emergency Episodes §110(a)(2)(G) Page 28

Future SIP Revisions §110(a)(2)(H) Page 35

Consultation with Government Officials, Public 

Notification, PSD, and Visibility Protection §110(a)(2)(J) Page 36

Air Quality Modeling/Data §110(a)(2)(K) Page 42

Permitting Fees §110(a)(2)(L) Page 43

Consultation/Participation by Affected 

Local Entities §110(a)(2)(M) Page 45

* Note that states are not required to address elements in CAA Sections 110(a)(2)(D)(i)(I) and 

110(a)(2)(I) in the Infrastructure SIP. CAA Section 110(a)(2)(D)(i)(I) deals with transport, and under 

the District of Columbia Circuit Court’s opinion in EME Homer City Generation v. EPA, this 

infrastructure element does not need to be addressed until after U.S. EPA quantifies each state’s 

obligation. CAA Section 110(a)(2)(I) is specific to nonattainment areas, and as U.S. EPA interprets 

the Clean Air Act, SIPs incorporating any necessary local nonattainment area controls are not due 

within three years of promulgation of the federal standard, but rather are due at the same time as the 

nonattainment area planning requirements (75 FR 6474). 
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 5 

Emission Limits and Other Control Measures [CAA Section 110(a)(2)(A)] 

This section of the CAA requires states to establish control measures and 

programs that limit emissions. 

ARB and local air pollution control districts and air quality management districts (local 

districts or districts) have a longstanding history of developing, implementing, and 

enforcing measures and programs aimed at controlling emissions. Over time, these 

measures and programs have resulted in significant air quality improvements, and 

current monitoring data show that statewide air quality meets the standards U.S. EPA 

has adopted for NO2, SO2, and carbon monoxide (CO). The remaining federal 

standards are still exceeded in some parts of the State, but with continued enforcement 

of existing control measures and the development and implementation of new 

measures, California will continue moving toward the goal of attaining and maintaining 

all federal standards, statewide. 

Discussion 

California H&SC Section 39002 divides emission control activities into vehicular and 

non-vehicular sectors. ARB has authority to adopt and implement mobile source 

controls. This authority extends to both on-road and off-road mobile sources, as well as 

to the fuels that power them (H&SC Section 39602.5). ARB also has authority to 

regulate consumer products, under H&SC Section 41712(b). In contrast, local districts 

have authority to adopt and implement stationary source controls. The stringency of 

these district rules can vary, depending on the nature and severity of the local air 

pollution problem. If a district fails to meet its responsibilities, ARB is authorized to act 

in its stead. Over time, California has implemented one of the most comprehensive and 

stringent emission control programs in the world. These controls limit the emission of all 

pollutants and their precursors subject to federal standards, and they reflect the 

effective air quality partnership that exists at the State and local levels. 

Over the last several decades, ARB has dramatically tightened motor vehicle and fuel 

standards. New cars are now 99 percent cleaner than their uncontrolled counterparts, 

while trucks are 98 percent cleaner. In addition, California has implemented a number 

of programs to reduce emissions from mobile sources already in use – the legacy fleet. 

For example, the Smog Check program ensures that passenger vehicles stay clean as 

they age and that on-board diagnostic systems identify smog control problems. 

Heavy-duty truck inspection programs help control smoke emissions and detect 

emission control mal-maintenance and tampering. Over the last decade, ARB adopted 

more than 20 in-use vehicle regulations. California has also drastically lowered 

emission standards for off-road sources, such as lawn and garden equipment, 

recreational vehicles and boats, and construction equipment. 
 6 

In addition to regulating sources that fall under State control, ARB has worked closely 

with U.S. EPA to regulate emissions where authority is split between California and the 

federal government. These efforts have impacted emissions from large diesel, gasoline, 

and liquid petroleum gas equipment. Requirements to use cleaner low-sulfur diesel fuel 

for near-shore ships is providing important emission benefits in California, and new 

locomotive engines are now 50 to 60 percent cleaner. 

California’s 35 local districts have primary authority to control emissions from stationary 

sources and small local businesses. These controls are generally implemented through 

a combination of prohibitory rules that set emissions limits by facility type, facility permits 

that specify equipment use and other operating parameters, and a New Source Review 

program designed to accommodate industrial growth while mitigating environmental 

impacts. Many district rules reflect established emission control technologies, while 

others reflect some of the newest and state of the art technologies. In combination, 

district rules cover a wide range of sources including refineries, manufacturing facilities, 

cement plants, refinishing operations, electrical generation and biomass facilities, 

boilers, and generators. Furthermore, California district rules are among the most 

stringent in the nation. For example, the South Coast Air Quality Management District 

(AQMD) adopted Rule 1420.1, defining lead emission standards for large lead-acid 

battery recycling facilities. U.S. EPA cited this rule as an example of an effective lead 

emission control strategy in its March 2012 guidance document on developing 

Reasonably Available Control Measures for lead sources.1

 South Coast AQMD 

continues to refine and strengthen Rule 1420.1 to better protect public health. 

Table 3 provides a sampling of the wide range of statewide and district rules adopted 

over the years and submitted as part of California’s SIP. The information provided 

includes a brief description of the rule, the pollutant or precursor emissions controlled, 

the rule number, and a citation for the Federal Register approval notice. A number of 

the measures listed are pollutant-specific, while others target multiple pollutants, thus 

maximizing the cost-benefit. The rules listed in Table 3 demonstrate actions taken by 

the State and districts to adopt and implement the control measures needed to attain 

and maintain the federal standards, as authorized in the H&SC. A list of ARB and 

district rules included in California’s SIP is available on U.S. EPA’s website 

(http://yosemite.epa.gov/R9/r9sips.nsf/Casips?readform&count=100&state=California). 

 

1

 Implementation of the 2008 Lead National Ambient Air Quality Standards Guide to Developing 

Reasonably Available Control Measures (RACM) for Controlling Lead Emissions, March 2012, 

EPA-457/R-12-001. 
 7 

TABLE 3 

Examples of California SIP-Approved Emission Control Measures 

Rule Description 

Pollutant or 

Precursor 

Emission 

Controlled* 

Rule / Regulation 

Number** 

Federal 

Register 

Citation 

Exhaust Emissions Standards and Test 

Procedures - 1985 & Subsequent Model 

Heavy-Duty Engines and Vehicles 

HC, NOx, PM, CO State Regulation 

13 CCR 1956.8 75 FR 26653 

Exhaust Emissions Standards and Test 

Procedures - 2004 & Subsequent Model 

Passenger Cars, Light-Duty Trucks, and 

Medium-Duty Vehicles 

HC, NOx, PM, CO State Regulation 

13 CCR 1961 75 FR 26653 

California Reformulated Gasoline 

Regulations HC, SOx

State Regulation 

13 CCR 2250-2297 

60 FR 43379, 

75 FR 26653 

Lead in Gasoline Lead State Regulation 

13 CCR 2253.4 75 FR 26653 

Sulfur Content of Diesel SOx State Regulation 

13 CCR 2281 75 FR 26653 

Consumer Products VOC 

State Regulation 

17 CCR Subchapter 8.5 

Article 2 

 77 FR 7535 

Emissions Standard for Lead from Large 

Lead-Acid Battery Recycling Facilities Lead South Coast AQMD Rule 1420.1 78 FR 5305 

Open Burning PM South Coast AQMD 

Rule 444 67 FR 16644 

Crude Oil Production Sumps HC San Joaquin Valley 

APCD Rule 4402 77 FR 64227 

Agricultural Sources PM San Joaquin Valley 

APCD Rule 8081 71 FR 8461 

Portland Cement Kilns NOx Mojave Desert AQMD 

Rule 1161 68 FR 9015 

Fugitive Dust Control PM Mojave Desert AQMD 

Rule 403.1 74 FR 40750 

Transfer of Gasoline into Vehicle Fuel 

Tanks HC Sacramento Metro AQMD Rule 449 78 FR 898 

Agricultural Burning PM Sacramento Metro 

AQMD Rule 501 49 FR 47490 

Sulfur Dioxide SO2

Bay Area AQMD 

Rule 9-01 64 FR 30396 

 HC = hydrocarbons; NOx = oxides of nitrogen; PM = particulate matter; CO = carbon monoxide; SOx = oxides of 

sulfur; VOC = volatile organic compounds; SO2 = sulfur dioxide. 

** CCR = California Code of Regulations; AQMD = Air Quality Management District; APCD = Air Pollution Control 

District. 
 8 

Ambient Air Quality Monitoring/Data System [CAA Section 110(a)(2)(B)] 

This section of the CAA requires states to monitor, compile, and analyze 

ambient pollutant concentrations and provide the data to U.S. EPA. 

California’s air monitoring program began during the 1960s and over the last five 

decades, has developed into one of the largest and most comprehensive programs in 

the world. In most cases, California’s monitoring program far exceeds the minimum 

federal requirements. In addition to the on-going program, recent changes to the 

federal NO2 and PM2.5 standards point to the need to establish near-roadway monitoring 

sites to better determine the impact of motor vehicles on local air quality. ARB and 

district staff are working together to identify the best locations for the additional required 

monitors, so they can be deployed in a timely manner. 

Discussion 

Under H&SC Section 39602, ARB is designated as the air pollution control agency 

responsible for ensuring compliance with federal law. This includes ensuring the 

collection of ambient air monitoring data and subsequent submittal of those data, in 

conformance with federal requirements. Furthermore, State law authorizes ARB to 

establish a program to collect air quality data and to monitor air pollutants in cooperation 

with the districts and other agencies (H&SC Sections 39607(a) and 39607(c)). In 

response to this directive, ARB, local districts, private contractors, and other 

government entities (for example, the National Park Service) have established one of 

the most extensive air monitoring networks in the world. 

A brief assessment of California’s on-going monitoring network, as well as 

implementation of new monitoring requirements stemming from recent revisions to the 

federal lead, NO2, PM2.5, and SO2 standards are summarized in the following 

subsections. Implementation of the new monitoring requirements for lead and NO2

were described previously in the Infrastructure SIP revisions submitted for those 

pollutants. Thus, the current descriptions for lead and NO2 are limited to an update of 

recent activities. 
 9 

On-Going Monitoring Requirements 

California’s overall monitoring network comprises more than 650 individual monitors 

operating at over 250 sites. Instruments at these sites collect data for a variety of air 

pollutants and air pollutant precursors, as well as a number of meteorological 

parameters. Current information about California’s air monitoring program, including 

information about individual monitoring sites, is available on ARB’s website 

(http://www.arb.ca.gov/aqd/aqmoninca.htm). Data collected at the individual monitoring 

sites are compiled, analyzed, and reported to U.S. EPA’s Air Quality System and are 

also available on ARB’s website (http://www.arb.ca.gov/adam). 

Annually, per federal regulations, ARB and local districts evaluate the adequacy of the 

State monitoring network to meet federal monitoring requirements. A more thorough 

assessment is conducted every five years. ARB prepares and submits an annual 

monitoring network report that covers 23 of California’s 35 districts. Each of the 

remaining 12 districts prepare and submit their own report. U.S. EPA uses these reports 

as the mechanism for approving the State’s overall monitoring program and identifying 

areas where monitoring can be improved. Annual air monitoring network reports for all 

areas of California are available on the web. Links to these reports are included in 

Attachment 3. 

The annual monitoring network reports document the existing State and Local Air 

Monitoring sites, National Core (NCore) multi-pollutant monitoring stations, Chemical 

Speciation Network sites, Special Purpose Monitoring sites, and Photochemical 

Assessment Monitoring sites operated by ARB and the districts, as well as other data 

providers such as the National Park Service. In addition, the reports describe proposed 

changes (additions, relocations, and terminations) in the ambient air monitoring network 

that are anticipated within an 18 month period following submittal of the report to 

U.S. EPA. 

California air quality data used for federal purposes are measured using 

U.S. EPA-approved methods with either Reference or Equivalent monitors. These 

monitors are subject to the quality assurance requirements of 40 CFR 58, Appendix A 

and are located at sites that meet the minimum siting requirements of 40 CFR 58, 

Appendix E. The resulting data are submitted to U.S. EPA’s Air Quality System in 

accordance with the schedule prescribed by U.S. EPA in 40 CFR 58. 

California has more than 30 Core Based Statistical Areas (CBSA), and overall, the State 

ambient air monitoring network is generally adequate. However, because of recent 

changes to the monitoring network in the Bakersfield CBSA, ARB and the San Joaquin 

Valley Air Pollution Control District (APCD) are engaged in on-going work to assess the 

monitoring needs in this part of the San Joaquin Valley. 
 10 

New Federal Monitoring Requirements 

Lead Monitoring: Implementation of monitoring requirements adopted with the 

2008 lead standard was described in ARB’s October 6, 2011, Infrastructure SIP 

submittal (http://www.arb.ca.gov/planning/sip/infrasip/lead_infsip.pdf). At that time, 

deployment of a lead monitor at the Sacramento-Del Paso Manor NCore site was 

pending. A lo-vol sampler has since been deployed at the site, and lead data are 

available, starting April 1, 2012. 

The October 6, 2011, Infrastructure SIP submittal also described the five California 

airports that would participate in a 12-month pilot program to monitor lead 

concentrations near general aviation airports where leaded aviation gas could cause 

elevated concentrations. Data collected at these airports show lead concentrations 

above the federal three-month average standard of 0.15 micrograms per cubic meter 

(μg/m3

) at two locations: San Carlos Airport (0.33 μg/m3) and McClellan-Palomar 

Airport (0.17 μg/m3). Concentrations at the remaining three airports are below the 

standard. However, consistent with U.S. EPA requirements, any California airport site 

measuring a three-month average lead concentration greater than half the level of the 

federal standard will continue monitoring for lead after the pilot program ends. 

Nitrogen Dioxide Monitoring: Implementation of monitoring requirements adopted with 

the 2010 NO2 standard was described in ARB’s December 12, 2012, Infrastructure SIP 

submittal (http://www.arb.ca.gov/desig/no2isip.pdf). ARB and the affected districts are 

continuing work to identify appropriate locations for the new near-roadway monitors. An 

update as to the likely location of these monitors is provided in Table 4. The phased 

deployment of these near-roadway monitors begins January 2014, and extends through 

January 2017 (78 FR 16184). In addition to the near-roadway monitors, the revised 

NO2 standard also requires U.S. EPA to collaborate with states to identify a subset of at 

least 40 NO2 monitors nationwide, to help protect communities that are susceptible and 

vulnerable to NO2-related health impacts. Seven of these 40 sites have been identified 

for California. They include sites in Bakersfield, Long Beach, Los Angeles, Oakland, 

Parlier, San Bernardino, and San Diego. Tentative sites are identified in Parlier and 

Bakersfield, while the remaining five sites are currently deployed. 
 

TABLE 4

Required California Monitors for the 2010 Federal NO2 Standard 

District* Core Based Statistical Area Counties Included City Location Ne

Mo

Bay Area AQMD 

San Francisco-OaklandFremont Alameda, Contra Costa, San Francisco, San Mateo, Marin Oakland, Berkeley 

San Jose-SunnyvaleSanta Clara Santa Clara San Jose 

Sacramento Metropolitan AQMD Sacramento-Arden Arcade- Roseville Sacramento, Placer Sacramento 

San Diego County APCD San Diego-Carlsbad- San Marcos San Diego San Diego 

San Joaquin Valley APCD 

Bakersfield Kern Bakersfield 

Fresno Fresno Fresno 

Modesto Stanislaus not identified 

Stockton San Joaquin not identified 

South Coast AQMD 

Los Angeles-Long BeachSanta Ana Los Angeles, Orange Anaheim, Diamond Bar 

Riverside-San BernardinoOntario Riverside, San Bernardino Fontana, Ontario 

Ventura County APCD Oxnard-Thousand Oaks- Ventura Ventura Thousand Oaks 

 AQMD = Air Quality Management District; APCD = Air Pollution Control District. ** The estimated number of near-roadway monitors is based on conditions specified in the NO2 final rule using 2008 Cens

from the 2007 Highway Performance Monitoring System maintained by the U.S. Department of Transportation Federal 

The number of required monitors may not reflect current conditions. 

*** The estimated number of area-wide monitors is based on 2008 data. A sufficient number of area-wide monitors already 

long-term statewide NO2 monitoring network. Thus, no new monitors are needed. 
 12 

Fine Particulate Matter Monitoring: The 2012 PM2.5 standard includes a new 

requirement for near-roadway PM2.5 monitors. A small number of monitors will be 

required near heavily traveled roads in CBSAs with a population of 1,000,000 or more. 

To meet this requirement, U.S. EPA anticipates relocating existing monitors to the 

selected near-roadway locations over a two-year period, beginning in 2015. ARB and 

the local districts will work with U.S. EPA to determine the appropriate locations. In 

addition to the near-roadway monitors, federal regulations require PM2.5 monitors at all 

NCore sites and, depending on the severity of the PM2.5 problem, require one or more 

monitors in CBSAs with a population of at least 50,000. Currently, California meets or 

exceeds the minimum requirements for PM2.5 monitors at NCore sites and in CBSAs 

with a population of 50,000 or more. 

Sulfur Dioxide Monitoring: The 2010 SO2 standard includes requirements for several 

types of monitors. First, SO2 monitors are required at NCore sites. California has a 

total of seven NCore sites (six urban sites and one rural site), and SO2 monitors are 

currently operating at all seven. The second type of SO2 monitor is based on a 

Population Weighted Emissions Index (PWEI) calculated for each CBSA. The PWEI is 

calculated by multiplying the CBSA population by the CBSA SO2 emissions and dividing 

the result by one million. Three SO2 monitors are required in CBSAs with a PWEI of 

1,000,000 or more; two monitors in CBSAs with a PWEI greater than 100,000 but less 

than 1,000,000; and one monitor in CBSAs with a PWEI greater than 5,000 but less 

than 100,000. Table 5 summarizes the PWEI-required monitors for California. As 

shown in Table 5, the number of SO2 monitors currently in operation exceeds the 

number of PWEI-required monitors. 

TABLE 5 

Required California SO2 Monitors Based on Population Weighted Emissions Index 

CBSA Counties in 

CBSA 

SO2

Emissions 

(tpy)* 

Population 

(2009) 

PWEI 

(million 

personstpy) 

Required 

SO2

Monitors

Existing 

SO2

Monitors

Los AngelesLong BeachSanta Ana 

Los Angeles, 

Orange 13,498 12,874,797 173,785 2 5 

RiversideSan Bernardino

-Ontario 

Riverside, 

San Bernardino 2,478 4,143,113 10,266 1 4 

San FranciscoOaklandFremont 

Alameda, 

Contra Costa, 

Marin, 

San Francisco, 

San Mateo 

12,669 4,317,853 54,702 1 9 

 tpy = tons per year; PWEI = Population Weighted Emissions Index. 
 13 

Finally, although U.S. EPA has not yet finalized SO2 area designations, the agency has 

indicated that additional monitoring or modeling may be needed to evaluate near-source 

impacts. U.S. EPA expects to issue a rule in the next year to define these requirements. 

ARB and districts will collaborate with U.S. EPA in siting additional monitors, if any are 

required in California. 

Programs for Enforcement, PSD, and NSR [CAA Section 110(a)(2)(C)] 

This section of the CAA contains three requirements. First, it requires 

states to enforce stationary source control measures. Second, it requires 

states to issue preconstruction permits to major sources and major 

modifications in areas designated as attainment or unclassifiable for a 

federal standard (Prevention of Significant Deterioration (PSD) program). 

Finally, it requires states to regulate new and modified minor sources and 

minor modifications of major sources (minor New Source Review (NSR) 

program). 

ARB and districts have comprehensive enforcement programs in place that cover not 

only stationary sources, but mobile and area-wide sources, as well. At the local level, 

each of California’s 35 districts is responsible for its own stationary source permitting 

programs, which comprise comprehensive sets of applicable rules and regulations. 

Currently, ten districts have SIP-approved PSD programs, and three districts operate 

PSD programs with partial delegation. PSD programs in the remaining districts are 

administered by U.S. EPA; however, a number of these districts are in the process of 

obtaining PSD authority from U.S. EPA. In addition to PSD programs, all California 

districts currently administer minor NSR programs. 

Discussion 

Enforcement of Stationary Source Control Measures 

California H&SC Section 40000 gives districts the authority to control air pollution from 

stationary sources. This includes authority to adopt and enforce district rules and 

regulations needed to achieve and maintain the federal standards. The overall 

stringency of district rules can vary, depending on the nature and severity of the local air 

pollution problem. In addition to the above authority with respect to district rules, State 

law gives districts responsibility to enforce all applicable provisions of State and federal 

law (H&SC Section 40001(a)). If a district fails to meet its responsibilities, ARB is 

authorized to act in its stead (H&SC Section 39002).

PSD and NSR Permitting Programs 

The authority given to districts under H&SC Section 40000 extends to the adoption and 

enforcement of relevant PSD and minor NSR permitting programs. The type of 

permitting programs required for stationary source projects are determined by the 

attainment status of an area. PSD permits are required in areas that are designated as 

attainment or unclassifiable for a federal standard. In contrast, NSR permits are 

generally required in areas designated as nonattainment. In practice, stationary source 

permitting programs are quite complex, and permits can cover multiple pollutants, some 
 14 

of which require NSR permits and others that require PSD permits. The same source 

may require both types of permits, because the designation status for the different 

pollutants can differ within a particular area. The CAA specifies the emission thresholds 

that trigger the permitting requirements. Furthermore, for major source NSR permits, 

the requirements can become increasingly more stringent, based on an area’s 

classification. For example, major source NSR requirements in an extreme ozone 

nonattainment area can be more stringent than requirements in a moderate ozone 

nonattainment area. 

In addition to the above requirements, stationary source projects with emissions below 

the trigger levels for PSD and NSR permits may be subject to a minor NSR permitting 

program. Minor NSR is intended to prevent the construction of sources that would 

interfere with attainment or maintenance of a federal standard in an area, or would 

violate the control strategy in a nonattainment area. Minor NSR permit requirements 

often contain conditions designed to limit a source’s emissions, in order to avoid PSD or 

NSR permits. 

In California, major and minor NSR permits are issued by local districts, while PSD 

permits are issued either by local districts, U.S. EPA, or a combination of the two. Major 

NSR permit requirements are beyond the scope of the Infrastructure SIP and therefore, 

are not included here. They are however, included as part of an area’s nonattainment 

SIP. 

 

PSD Permitting Programs: PSD permitting programs address the construction or 

modification of stationary sources so they do not cause or contribute to a violation of 

federal standards. In addition, PSD programs must also apply to stationary sources that 

emit greenhouse gases (GHG), in accordance with U.S. EPA’s Tailoring Rule. PSD 

applies in areas designated as unclassifiable or attainment. As noted previously, all 

areas of California are designated as unclassifiable/attainment for NO2, SO2, and CO. 

Thus, PSD applies statewide for these pollutants. PSD applies in selected areas for the 

remaining pollutants: ozone, PM2.5, and lead. U.S. EPA’s Infrastructure SIP Guidance2

states that “... each infrastructure SIP submission ... would need to demonstrate that 

the air agency has a complete PSD permitting program in place covering the 

requirements for all regulated pollutants, including greenhouse gases ...” Currently in 

California, PSD programs are 

(1) fully implemented by a district, 

(2) partially implemented by a district, or 

(3) wholly implemented by U.S. EPA. 

Ten California districts have authority to fully implement their SIP-approved PSD 

permitting program for all relevant pollutants, thus satisfying the requirements of CAA 

Section 110(a)(2)(C). Table 6 lists these districts, along with their qualifying rules, the 

effective date of U.S. EPA approval, and the Federal Register approval citation. The 

 

2

 Memorandum from Stephen D. Page, Director, U.S. EPA Office of Air Quality Planning and Standards, to 

Regional Air Directors, U.S. EPA Regions 1-10, dated September 13, 2013; Subject: Guidance on 

Infrastructure State Implementation Plan (SIP) Elements Under Clean Air Act Sections 110(a)(1) and 

110(a)(2); referred to in this document as the Infrastructure SIP Guidance. 
 15 

SIP-approved PSD programs in these districts also apply to GHG emissions, in 

accordance with U.S. EPA’s Tailoring Rule. In addition to the districts with SIP-approved 

PSD programs, three California districts, the Bay Area AQMD, the San Diego 

County APCD, and the South Coast AQMD, operate their PSD programs with partial 

delegation authority. Those portions of their PSD programs that have not been 

delegated are administered by U.S. EPA. 

TABLE 6 

California Districts with SIP-Approved PSD Programs 

District Applicable 

District Rule Delegation Status Effective Date 

Federal 

Register 

Citation* 

Bay Area Air Quality 

Management District Rule 2.2 Partial Delegation** 03/08/11 --- 

Eastern Kern Air Pollution 

Control District Rule 210.4 PSD Rule in SIP 02/08/13 77 FR 73391

Imperial County Air Pollution 

Control District Rule 904 PSD Rule in SIP 02/08/13 77 FR 73391

Mendocino County 

Air Quality Management District Rule 220 PSD Rule in SIP 08/30/85 50 FR 30942

Monterey Bay Unified 

Air Pollution Control District Rule 207 PSD Rule in SIP 02/04/00 65 FR 5433 

North Coast Unified 

Air Quality Management District Rule 220 PSD Rule in SIP 08/30/85 50 FR 30941 

Northern Sonoma County 

Air Pollution Control District Rule 220 PSD Rule in SIP 08/30/85 50 FR 30943 

Placer County Air Pollution 

Control District Rule 518 PSD Rule in SIP 02/08/13 77 FR 73391

Sacramento Metropolitan 

Air Quality Management District Rule 203 PSD Rule in SIP 07/20/11 76 FR 43183 

San Diego County Air Pollution 

Control District Rule 20.3 Source-Specific Delegation 04/23/13 --- 

San Joaquin Valley 

Air Pollution Control District Rule 2410 PSD Rule in SIP 11/26/12 77 FR 65305 

South Coast Air Quality 

Management District Reg XVII Partial Delegation**; PSD for GHG in SIP

07/25/07; 

01/09/13 

--- 

77 FR 73320 

Yolo-Solano Air Quality 

Management District Rule 3.24 PSD Rule in SIP 02/08/13 77 FR 73391

* Partial or source-specific delegation is done via an agreement between the District and U.S. EPA. Thus, there is no 

Federal Register citation. 

** The delegation does not extend to any PSD permit containing a Plantwide Applicability Limit or PAL. In addition, the 

South Coast AQMD delegation does not extend to modifications seeking to determine PSD applicability based on the 

additional calculation methodologies set forth in 40 CFR 52.21. 
 16 

PSD permitting programs in the remaining California districts are wholly administered by 

U.S. EPA under the provisions of a Federal Implementation Plan, or FIP. Thus, major 

stationary sources within these districts are subject to the federal PSD permitting 

requirements in 40 CFR 52.21. Although PSD permitting programs for these districts 

are currently administered by U.S. EPA, a number of these districts are at various 

stages in developing and submitting rules so they can implement the program locally. 

The current status of these district rules is summarized in Table 7. 

TABLE 7 

Status of District PSD Program Development and Approval 

District District Rule 

Number Status 

Antelope Valley Air Quality 

Management District --- Rule under development 

Butte County Air Quality 

Management District 1107 Adopted Rule submitted to U.S. EPA 

Feather River Air Quality 

Management District 10.10 Adopted Rule submitted to U.S. EPA 

Great Basin Unified Air Pollution 

Control District 221 Adopted Rule submitted to U.S. EPA 

Mojave Desert Air Quality 

Management District --- Rule under development 

San Luis Obispo County Air 

Pollution Control District 220 Submitted Rule returned to District for revision 

Santa Barbara County Air Pollution 

Control District 810 Adopted Rule awaiting submittal to U.S. EPA 

Ventura County Air Pollution 

Control District 26.1 Submitted Rule returned to District for revision 

Minor NSR Permitting Programs: Generally, NSR programs are subdivided into major 

NSR and minor NSR. Minor NSR permitting programs apply in areas designated as 

nonattainment for a federal standard, as well as in areas designated as attainment or 

unclassifiable. In contrast, major NSR applies only in nonattainment areas. U.S. EPA 

has determined that states do not need to address major NSR programs in their 

Infrastructure SIP, because they are beyond the scope of the Infrastructure SIP. 

However, states must include information about minor NSR programs. 

The purpose of a minor NSR program is to prevent the construction of stationary 

sources that would interfere with attainment or maintenance of a federal standard or 

would violate the control strategy in a nonattainment area. In contrast to PSD 

programs, minor NSR programs address pollutants from stationary sources with lower 

emission levels than those triggering PSD. In addition, minor NSR programs often 

establish permit conditions that limit a source’s emissions, in order to avoid PSD or 

nonattainment area NSR. 
 17 

As mentioned previously, local districts are responsible for regulating stationary sources 

in California (H&SC Sections 39002 and 40000). This includes responsibility for 

adopting and enforcing rules and regulations to achieve and maintain the federal 

standards in all areas affected by emission sources under their jurisdiction and for 

enforcing all applicable provisions of federal law (HS&C Section 40001(a)). This 

responsibility extends to implementing a minor NSR program. Each of California’s 

35 local districts administers its own minor NSR program. Local districts have been 

issuing stationary source permits since the 1970s, and local NSR programs are at least 

as stringent, or more stringent, than federally required. U.S. EPA maintains a list of 

district minor NSR program contacts on the web (http://www.epa.gov/nsr/live/ca.html). 

In addition, ARB maintains a comprehensive listing of district NSR rules, also available 

on the web (http://www.arb.ca.gov/nsr/dtvr.htm). Many of these NSR rules are 

SIP-approved. Additional information about the approval status of district NSR rules is 

available from U.S. EPA. 

Interstate and International Transport Provisions [CAA Section 110(a)(2)(D)] 

This section of the CAA prohibits the transport of pollutants from one state 

to another, where the pollutant could contribute significantly to violations of 

a federal standard, interfere with maintenance of a federal standard, or 

contribute to reduced visibility. 

California has longstanding programs to reduce pollutant and precursor emissions from 

all types of sources as part of the statewide strategy to attain the federal standards. 

These programs also reduce the potential for interstate and international transport of 

California emissions that would contribute to violations or interfere with maintenance of 

a federal standard in another area. In addition to nonattainment and maintenance 

issues, pollutants can impact visibility. California’s approved Regional Haze SIP 

mitigates any potential visibility impacts. 

Discussion 

CAA Section 110(a)(2)(D) contains two subsections: (D)(i)(I) and (D)(i)(II). 

Subsection (D)(i)(I) addresses any emissions activity in one state that contributes 

significantly to nonattainment or interferes with maintenance of a federal standard in 

another state. These requirements are generally referred to as “Prong 1” (significant 

contribution to nonattainment) and “Prong 2” (interference with maintenance). 

Subsection (D)(i)(II) requires SIPs to include provisions prohibiting any emissions 

activity in one state from interfering with measures required of any other state to prevent 

significant deterioration of air quality or from interfering with measures required of any 

other state to protect visibility. These requirements are generally referred to as 

“Prong 3” (interference with PSD) and “Prong 4” (interference with visibility protection). 
 18 

Significant Contribution to Nonattainment (Prong 1) and Interference with 

Maintenance (Prong 2) 

As a result of litigation, the District of Columbia Circuit Court ruled in EME Homer City 

Generation v. EPA that states do not need to address Prong 1 or Prong 2 until U.S. EPA 

quantifies each state’s transport obligation. Thus, ARB is not addressing these prongs 

for the following federal standards: 2008 ozone standard, 2006 and 2012 PM2.5

standards, and 2010 SO2 standard. 

In contrast to these standards, ARB previously addressed prongs 1 and 2 for the 

1997 ozone standard and 1997 PM2.5 standard in its November 16, 2007, Infrastructure 

SIP submittal. U.S. EPA approved these elements on July 15, 2011 (76 FR 34872). In 

addition, ARB addressed prongs 1 and 2 for the 2008 lead standard in its 

October 6, 2011, Infrastructure SIP submittal. This submittal has been deemed 

complete, but U.S. EPA has not yet acted on it. Because the impacts of lead are 

localized and lead sources in California are limited, transport is not an issue. Therefore, 

ARB will let this portion of the lead Infrastructure SIP stand. 

ARB also addressed prongs 1 and 2 relative to the 2010 NO2 standard in its 

December 12, 2012, Infrastructure SIP submittal. This submittal has been deemed 

complete, but U.S. EPA has not yet acted on it. The discussion in the NO2 Infrastructure 

SIP submittal focused on NO2 concentrations within California. Since then, ARB has 

evaluated NO2 concentrations measured during 2010 through 2012 at sites located 

outside of California. This evaluation focused on sites located within 65 kilometers of 

the State borders. Concentrations measured at the relevant sites are summarized in 

Table 8. As shown in Table 8, concentrations at these sites do not exceed the federal 

1-hour or annual NO2 standards. This information is provided as a supplement to the 

TABLE 8 

Summary of NO2 Concentrations Measured at Sites 

Located Within 65 Kilometers of the California Border

State Monitoring Site* 

Distance 

from CA 

Border 

Year 

Maximum 

1-Hour NO2

(ppb)** 

1-Hour NO2

Design 

Value (ppb) 

Annual NO2

Design Value 

(ppb) 

Nevada 

Reno 

301 A State Street 

17 

kilometers 

2010 81 59 16 

2011 71.1 60 17 

2012 61.5 55 14 

Las Vegas 

1301 B East Tonopah 

63 

kilometers 

2010 64.9 56 13 

2011 69 53 13 

2012 67.8 54 14 

Las Vegas 

6651 W Azure Avenue 

63 

kilometers 

2010 44.4 43 6 

2011 46.2 42 5 

2012 45.8 42 5 

 One additional site, Las Vegas-2501 Sunrise Avenue, started operating in November 2012; data for this site 

are not listed because the statistics are not valid. 

** ppb = parts per billion; federal 1-hour NO2 standard = 100 ppb; federal annual NO2 standard = 53 ppb. 
 19 

evaluation ARB provided for prongs 1 and 2 in the December 12, 2012, NO2

Infrastructure SIP submittal and provides additional evidence that NO2 does not 

represent a transport issue relative to California emissions. 

Interference with PSD (Prong 3) and Interference with Visibility Protection (Prong 4) 

Previous California Infrastructure SIP submittals have also addressed Prong 3 

(interference with PSD) and Prong 4 (interference with visibility protection). U.S. EPA 

approved California’s submittals addressing Prong 3 (76 FR 48002) and Prong 4 

(76 FR 34608) for the 1997 ozone and 1997 PM2.5 standards. With respect to the other 

standards, the Infrastructure SIP Guidance indicates that Prong 3 is satisfied by 

SIP-approved PSD and NSR permitting programs. This is because SIP-approved PSD 

and NSR programs fully consider source impacts on air quality in other states. As 

described in the previous section titled Programs for Enforcement, PSD, and NSR 

[CAA Section 110 (a)(2)(C)], ten California districts implement fully-approved PSD 

permitting programs. Three districts have partial delegation and share implementation 

of their PSD program with U.S. EPA, while PSD programs in the remaining districts are 

wholly administered by U.S. EPA under the provisions of a FIP. 

In contrast to PSD, which is implemented in attainment and unclassified areas to 

ensure that areas with good air quality continue to maintain good air quality, NSR is 

implemented in nonattainment areas to ensure that ambient air quality does not 

deteriorate further. Each California nonattainment district has adopted rules to 

implement federal NSR. Overall, these rules are as stringent, or more stringent, than 

federally required, and many of the rules have been approved as part of California’s SIP. 

Current information about district NSR programs is available on U.S. EPA’s website

(http://www.epa.gov/oar/urbanair/sipstatus/reports/ca_elembypoll.html). Regardless of 

how the PSD and NSR programs are implemented, programs in all California districts 

generally meet U.S. EPA requirements and therefore satisfy the Prong 3 requirements 

with respect to interference with PSD in other states. 

Finally, the Infrastructure SIP Guidance states that Prong 4 (interference with visibility 

protection) is satisfied with an approved Regional Haze SIP. U.S. EPA fully approved 

California’s Regional Haze SIP in June 2011 (76 FR 34608). A copy of the Regional 

Haze SIP is available on the ARB website (http://www.arb.ca.gov/planning/sip/sip.htm) 

and satisfies the Prong 4 requirements for ozone, PM2.5, NO2, and SO2. In addition, 

U.S. EPA approved California’s previous Infrastructure SIP submittals for the 1997 

ozone and 1997 PM2.5 standards with respect to Prong 4 (76 FR 34608). Although the 

Regional Haze SIP does not address lead, the Infrastructure SIP Guidance states that 

the impacts of lead on visibility are negligible. This is discussed in more detail in ARB’s 

October 6, 2011, lead Infrastructure SIP submittal. 

In addition to California’s responsibilities specified under CAA Section 110(a)(2)(D), CAA 

Section 126 allows other states to petition the Administrator for a finding that any major 

source or group of stationary sources emits or would emit any air pollutant in violation of 

CAA Section 110(a)(2)(D)(ii). No such petitions have been filed for California. 

Furthermore, under CAA Section 115, the U.S. EPA Administrator may find that air 

pollutant(s) emitted in the United States cause or contribute to air pollution which may 
 20 

reasonably be anticipated to endanger public health or welfare in a foreign country. The 

Administrator has not made any such findings for California. 

Adequate Personnel, Funding, Authority, Conflict of Interest, and 

Board Composition [CAA Section 110(a)(2)(E)] 

This section of the CAA requires states and local districts to maintain 

adequate legal authority, funding, and personnel to implement their SIP 

and to comply with the conflict of interest and public interest requirements 

of CAA Section 128. 

A majority of ARB and district budgets go toward meeting federal CAA mandates. Much 

of this funding comprises fees collected from regulated emission sources and dedicated 

to air pollution control activities. Additional funding comes from special program funds 

specifically earmarked for air quality efforts. ARB and districts have requirements in 

place that govern the conflict of interest and public interest requirements of CAA 

Section 128. 

Discussion 

Legal Authority, Funding, and Personnel 

ARB is designated as the air pollution control agency that is ultimately responsible for all 

purposes set forth in federal law and thus, has authority to carry out all SIP-related 

obligations (H&SC Section 39602). This authority extends to implementing control 

activities in areas where local or regional authority fails to meets its responsibilities 

under State law (H&SC Section 39002). 

Each year, the California State Legislature approves ARB’s funding and staff resources 

for carrying out CAA-related programs. Similarly, each year, district governing boards 

approve district budgets. The annual budget process provides a periodic update that 

enables ARB and the districts to adjust funding and personnel needs. Although it is not 

legally possible for ARB and the districts to provide specific commitments relative to 

future-year funding, the annual budget appropriations process undertaken by the 

California State Legislature enables ARB to present a request for resources required to 

meet the mandates of the CAA. These mandated programs have received State 

funding for more than three decades, and there is consistently strong public support in 

California for providing clean air. Therefore, it is reasonable to assume that 

implementation of CAA mandates will continue to be funded at an appropriate level. 

Over the last several years, a majority of ARB’s budget has gone toward meeting CAA 

mandates. Furthermore, the majority of ARB’s budget comprises dedicated fees 

collected from regulated emission sources and other sources such as vehicle 

registration fees and vehicle license plate fees. These funds can only be used for air 

pollution control activities. Districts receive funding from fees paid by regulated 

businesses, motor vehicle registration fees, State and federal grants, and other local 

revenue sources. Collectively, the 2009-2010 ARB and district budgets totaled 

$1.2 billion, with 3,422.4 full-time equivalent staff positions. 
 21 

Compliance with CAA Section 128 

CAA Section 128(a) requires that SIPs contain legal requirements that any board 

approving permits or enforcement orders have a majority of members that “represent 

the public interest and do not derive any significant portion of their income from persons 

subject to permits or enforcement orders” and that those members, and the heads of 

executive agencies with similar powers, must disclose any potential conflicts of interest. 

To satisfy Section 128(a), California submits the following California statutes and 

regulations for inclusion in the SIP: California Government Code Sections 82048, 

87103, and 87302 and California Code of Regulations (CCR), Title 2, sections 18700 

and 18701 (refer to Attachment 2). In the aggregate, these statutes and rules satisfy the 

requirements of CAA Section 128(a) as detailed below. 

Under Government Code Section 82048, a “public official” is “every member, officer, 

employee, or consultant of a state or local government” (Government Code 

Section 82048(a)). CCR, Title 2, section 18701 explains that “member,” within the 

meaning of Government Code Section 82048, includes “salaried or unsalaried members 

of committees, boards, or commissions with decision making authority” who make 

“governmental decisions” (CCR, Title 2, section 18701(a)(1)(A)). Under this broad 

definition, those who approve permits or enforcement orders within California 

(e.g. hearing board members, local district board members, or air pollution control 

officers) are “public officials” under California law. 

Under CCR, Title 2, section 18700, “public officials” may not “make, participate in 

making, or in any way use or attempt to use his/her official position to influence a 

governmental decision in which he/she knows or has reason to know he/she has a 

disqualifying conflict of interest” (CCR, Title 2, section 18700(a)). A conflict of interest 

exists if “the decision will have a reasonably foreseeable material financial effect on one 

or more of his/her economic interests...” (Ibid.). Section 18700’s limitations on a public 

official’s actions are on-going, and a public official must abide by them throughout his or 

her time as a public official. 

Government Code Section 87103 defines a public official’s “financial interest in a 

decision” as a situation where it is “reasonably foreseeable that the decision will have a 

material financial effect, distinguishable from its effect on the public generally, on the 

official, [or] a member of his or her immediate family.” Section 87103 also provides that 

a public official has a financial interest in a decision if it involves: a business or property 

in which they have $2,000 or more invested; any source of income amounting to $500 

or more within a year; any business where they are a director, officer, trustee, 

employee, or manager; or any donor who has given them $250 or more within a year 

(Government Code Section 87103(a) through (e)). 

A board member’s obligation to disclose potential conflicts of interest flows from 

Government Code Section 87302. Such disclosure is accomplished by the regular filing 

of a “Form 700” statement (CCR, Title 8, section 16430) of their economic interests. 

These statements are made public by the California Fair Political Practices Commission. 
 22 

Together, these five statutes and regulations function to satisfy both the board 

composition and conflict of interest disclosure requirements of CAA Section 128(a). 

 

Stationary Source Monitoring and Reporting [CAA Section 110(a)(2)(F)] 

This section of the CAA calls for states to require owners and operators 

of stationary sources to install, maintain, and replace equipment for 

monitoring stationary source emissions, to provide periodic reports on 

these emissions, and to correlate these reports with emission limits. 

Local districts are responsible for developing stationary source emission monitoring and 

reporting requirements. In many cases, these monitoring and reporting requirements 

are part of the source operating permit and go beyond federal requirements. 

Discussion 

Districts are responsible for monitoring emissions from stationary sources. Under the 

H&SC, districts must adopt and enforce rules and regulations to achieve the federal 

standards and must enforce all applicable provisions of federal law, which includes 

determining source-specific emissions (H&SC Sections 40001(a) and 41511). 

Furthermore, districts are given the right of entry for the purpose of inspecting emission 

sources, including securing samples of emissions or securing records required to be 

maintained (H&SC Section 41510). 

The following subsections provide information on monitoring stationary source 

emissions, reporting stationary source emissions, and correlating emission reports with 

emission limits in permits and rules. In addition to a general discussion, each 

subsection includes examples of applicable rules that address the requirements. The 

cited examples are only a sampling of the relevant rules currently in place in California. 

California has 35 local districts, and each of these districts may have dozens of 

industry-specific rules that include emissions monitoring and reporting requirements. 

Although this Infrastructure SIP includes only a few examples of applicable rules, lists of 

SIP-approved rules implemented in each local district are available on the web.3

Monitoring Stationary Source Emissions 

California districts are responsible for implementing stationary source emission 

monitoring requirements. The federal stationary source emission monitoring 

requirements are set forth in 40 CFR 51.212, and the emission thresholds for sources 

subject to the emission monitoring requirements are specified in U.S. EPA’s Air 

Emissions Reporting Requirements (AERR) Rule, which is codified in 40 CFR 51, 

Subpart A (http://www.epa.gov/ttn/chief/aerr/final_published_aerr.pdf). 

 

3

 California’s district rules may be accessed at the District Rules Database maintained on ARB’s website 

(http://www.arb.ca.gov/drdb/drdb.htm). U.S. EPA-approved versions of the rules are largely available on 

Region 9’s website (http://yosemite.epa.gov/r9/r9sips.nsf/Casips?readform&count=100&state=California). 
 23 

Stationary source emissions reported under the AERR Rule include lead, oxides of 

nitrogen (NOx), PM2.5, SO2, volatile organic compounds (VOC), and ammonia. 

Stationary sources subject to the annual and three-year AERR Rule reporting cycles are 

defined in 40 CFR 51.50, based on their level of emissions. Furthermore, the specified 

emission levels vary by pollutant. For example, the AERR Rule requires facilities 

emitting 2,500 tons per year (tpy) or more of NOx to report their emissions annually, 

while facilities emitting from 100 to 2,499 tpy of NOx report once every three years. In 

contrast, reporting requirements for PM2.5 sources are much lower. Facilities emitting 

only 250 tpy or more of PM2.5 must report their emissions annually, while facilities 

emitting from 100 to 249 tpy report once every three years. 

Rules applicable in California require stationary source owners and operators to 

determine the amount of pollutants emitted by their facilities. Districts typically fulfill the 

stationary source monitoring requirements by adopting regulations that establish 

emission limits and other requirements, including emission reporting, for each industrial 

and commercial activity that significantly contributes federal standard-relevant air 

pollution in a given area. This includes any source emitting pollutants at rates above 

the AERR Rule thresholds. Once adopted, the district rules may be submitted to 

U.S. EPA for approval. The rules listed in Table 9 provide some examples of 

U.S. EPA-approved rules that fulfill the stationary source emission monitoring and 

reporting requirements. Some of the rules are generally applicable to all emission 

sources, while others are tied to specific stationary source categories and/or emission 

thresholds. Many of these rules contain requirements to make the data publically 

available. If not specified, public availability is generally covered under State law.4

 

The data resulting from such stationary source emission monitoring rules can be used 

for a variety of compliance purposes, including use as credible evidence to assess 

penalties in the event of an emissions limit violation, consistent with CAA Section 113(e) 

– Penalty Assessment Criteria. 

 

4

 California Government Code, Title 1, Division 7, Chapter 3.5, Inspection of Public Records, Article 1, 

§ 6254.7, subdivision (b) provides for public availability of emissions data. Under subdivision (b), "All air 

or other pollution monitoring data, including data compiled from stationary sources, are public records" 

(http://leginfo.legislature.ca.gov/faces/codes_displaySection.xhtml?lawCode=GOV§ionNum=6254.7). 
 

TABLE 9 

Examples of Rules Requiring Continuous Stationary Source Emissions Monitor

District* Rule Number Description 

Bay Area 

AQMD 

Regulation 2 

Rule 1-501 

Specifies that Continuous Emission Monitoring Systems (CEMS) required by the District to meas

source emissions or ground-level concentrations of air contaminants at stationary sources must Bay Area AQMD's Manual of Procedures, Volume V, Continuous Emission Monitoring Policy and 

(49 FR 18822), which in turn includes requirements for equipment installation, maintenance, test

retention, reporting, and notification of violations and equipment breakdown. 

Placer County 

APCD Rule 233 

Section (500) requires facilities to install, calibrate, operate, and maintain CEMS in accordance w

requirements in 40 CFR Part 60, Appendices B and F for oxides of nitrogen (NOx). The rule also 

quarterly reporting of excess emissions and monitoring systems performance to the District’s Air Control Officer (APCO) and specifies approved emissions test methods for NOx, including calcul

procedures to correlate measured emissions with applicable emissions standards. 

San Diego 

County APCD Rule 69.3 

Section (e) requires continuous monitors for the operational characteristics of the unit and of any 

reduction system, record retention, and that such records be made available to San Diego Counrequest. Rule 69.3 also requires the performance of annual compliance testing using ARB test mwhich includes calculation procedures to correlate measured emissions with applicable emission

San Diego 

County APCD Rule 175 Section (A)(2) specifies that all air or other pollution monitoring data, including data compiled from 

sources, are public records. 

Santa Barbara 

County APCD Rule 328 

Section (C) requires fossil fuel fired steam generators to be continuously monitored for NOx, oxy

monoxide (CO), sulfur dioxide (SO2), and opacity, new nitric acid plants to be monitored for NOx, 

plants to be monitored for SO2, and fluid bed catalytic cracking units to be monitored for SO2 and 

South Coast 

AQMD Rule 1146** 

Requires industrial, institutional, and commercial boiler, steam generator, and process heater unor equal to 40 million British thermal units (Btu)/hour and an annual heat input greater than 200 x 

install a CEMS to monitor NOx emissions. 

South Coast 

AQMD Rule 1110.2** Requires CEMS for NOx and CO for certain size gaseous-fueled and liquid-fueled engines. 

San Joaquin 

Valley APCD Rule 4354 

Section (5.9) requires CEMS for NOx, CO, volatile organic compounds, and oxides of sulfur (SOx

Melting Furnaces under certain conditions. Section (6.2.3) requires the facility operator to maintmake them available or submit them on request to the APCO, ARB, or U.S. EPA. 

Yolo-Solano 

AQMD Rule 2.42 Section (303) requires a CEMS for NOx emissions from nitric acid production facilities. Section (

that records of NOx emissions be made available on request. 

Bay Area 

AQMD 

Regulation 11 

Rule 1-500 Requires lead emission sources to provide, install, and maintain monitoring equipment. 

 AQMD = Air Quality Management District; APCD = Air Pollution Control District. ** CEMS required under Rules 1146 and 1110.2 are also subject to South Coast AQMD Rule 218 – Continuous Emission Monitor

Continuous Emission Monitoring Performance Specifications. Rule 218 requires CEMS to generate the required data in the unand provides that emission summaries submitted to the South Coast AQMD be available for public inspection (75 FR 32293).
 25 

Reporting Stationary Source Emissions 

Federal requirements for stationary source emission data reporting are set forth in 

40 CFR 51.211, 40 CFR 51.321, and the AERR Rule. Stationary source owners and 

operators are responsible for reporting emission data to the local district, consistent with 

the district’s stationary source emission monitoring regulations (refer to previous 

discussion). Some districts have separate stationary source emission reporting 

requirements, as described in the examples cited in Table 10. 

As stated previously, the examples cited in Table 10 are only a small sampling of the 

relevant rules currently in place in California. In addition, districts generally have other 

rules incorporated into the SIP that also require emission reporting for stationary 

sources. These include requirements that are part of a permit program and are often 

more stringent than the AERR Rule requirements. For example, the reporting 

requirements for the Ventura County APCD and the South Coast AQMD 

(http://www.vcapcd.org/title_v.htm and http://www.aqmd.gov/titlev/WhatIsTV.html) 

specify emission monitoring thresholds of 25 tpy and 10 tpy for both NOx and VOC for 

stationary sources located in all or some of the district’s area, respectively.5 These 

levels are lower than those required in the AERR Rule. 

 

5

 Revisions to Ventura County APCD and South Coast AQMD Title V Programs were approved on 

September 5, 2012 (77 FR 54383). For Ventura County APCD, see Rule 33 sections A and B.2 and 

Rule 33.3 section A.3. Ventura County APCD is classified as a "serious" ozone nonattainment area for 

the 1997 and 2008 8-hour standards (40 CFR 81.305). CAA Sections 182(c) and (f) define a major 

stationary source in serious ozone nonattainment areas as one that emits or has the potential to emit at 

least 50 tpy of VOC or NOx. However, Ventura County APCD Rule 26.1 (New Source Review – 

Definitions), section 18 defines a major source at a more stringent level of 25 tpy of NOx or VOC. 

Rule 26.1 was SIP-approved on January 11, 2010 (75 FR 1284). For South Coast AQMD, see Rule 3001 

(Applicability, Title V Permits), and Rule 3004 (Permit Types and Content), sections (a)(4) and (b)(2). 

South Coast AQMD's Title V program was originally approved on December 7, 2001 (66 FR 63503), and 

the latest revision was approved on September 5, 2012 (77 FR 54383). 
 26 

TABLE 10 

Examples of Rules Governing Stationary Source 

Emission Reporting Requirements 

District* Rule 

Number Description 

U.S. EPA 

Approval 

Citation 

Bay Area 

AQMD 

Regulation 2 

Rule 1-429 

Requires sources that emit or may emit volatile organic compounds 

(VOC) or oxides of nitrogen (NOx) and subject to the Rule to 

provide the District a written statement showing actual emissions 

from the source. Bay Area Manual of Procedures, Volume 4 

(Source Test Policy and Procedures; 47 FR 29231), section (1.6) 

states that [stationary] source test records are public information, 

but proprietary information is not. 

60 FR 16799 

Santa Barbara 

County APCD Rule 212 

Section (C) requires stationary sources subject to the Rule to 

provide the District with a written statement each year showing the 

actual emissions of reactive organic compounds and NOx at the 

facility during the preceding calendar year. 

69 FR 29880 

Santa Barbara 

County APCD Rule 608 

Specifies that the District shall make daily summaries of air 

monitoring data in such a form as to be understandable by the 

public and that the summaries shall be publically available records. 

This requirement applies to all pollutants. 

47 FR 26618 

San Diego 

County APCD Rule 19.3 

Section (c)(3) requires stationary sources that emit 25 tons/year or 

more of VOC or NOx to submit Emissions Statement Forms to the 

District, annually. Under District Rule 175 (42 FR 23805), all air 

pollution monitoring data, including data from stationary sources, 

are public records. 

65 FR 12472 

South Coast 

AQMD Rule 1420.1 

Section (m) specifies that the owner or operator of a large lead-acid 

battery recycling facility shall keep daily records, including 

documentation of the amounts of lead-containing materials 

processed, results of ambient air lead monitoring, housekeeping 

and maintenance activities, control device inspection and 

maintenance, and unplanned shutdowns and corrective actions. 

These records must be maintained for a period of five years, at 

least two years onsite. Section (n) contains specific public 

notification provisions for activities such as unplanned shutdown of 

a control device and construction, renovation, or demolition 

activities. 

78 FR 5305 

Yolo-Solano 

AQMD Rule 3.18 

Section (301) requires stationary sources that emit or may emit 

VOC or NOx and subject to the Rule to provide the District with a 

written statement showing actual emissions from the stationary 

source.6

 Under Yolo-Solano AQMD Rule 1.1(103), all air 

monitoring data, including data compiled from stationary sources, 

are public records (69 FR 13234). 

69 FR 29880 

 AQMD = Air Quality Management District; APCD = Air Pollution Control District.

 

6

 The local version of Yolo-Solano AQMD Rule 3.18, adopted July 28, 1993, is Rule 3.7 (“Emission 

Statements”) and it retains the referenced emission reporting requirement under the same section 

number, section 301. 
 27 

Correlating Stationary Source Emission Reports with Stationary Source 

Emission Limits 

Federal requirements for correlating stationary source emission reports with the 

emission limits applicable to each source are set forth in 40 CFR 51.116, while 

requirements for making such reports available for public inspection are specified in the 

AERR Rule. Emission monitoring data provide a basis for determining whether facilities 

meet performance standards established in various rules. Furthermore, emission 

estimates for stationary sources rely in part, on accurate emission monitoring data. 

California H&SC Section 41511 authorizes ARB and local districts to adopt rules and 

regulations requiring any emission source owner or operator to take reasonable steps to 

determine the amount of emissions released from the source. This includes emissions 

that contribute to a violation of any federal standard. California’s 35 districts address 

the requirement to correlate stationary source emission reports with stationary source 

emission limits through requirements embedded in their stationary source emission 

reporting rules and through their stationary source testing, inspection, and compliance 

programs. 

To determine the amount of emissions coming from a particular source, districts have 

rules giving the Air Pollution Control Officer authority to request the installation, use, 

maintenance, and inspection of Continuous Emissions Monitoring Systems or CEMS 

equipment and to assess source compliance with applicable emission limits. These 

rules may include calculation procedures to correlate measured stationary source 

emissions with applicable stationary source emission standards. Some districts have 

rules that closely mirror the correlation requirement of 40 CFR 51.116(c). Several 

examples of such rules are provided below. These example rules apply to all air 

contaminants, including pollutants with federal standards and their precursors, and have 

been approved by U.S. EPA. 

 Mendocino County AQMD Rule 240(e)(3) Permit to Operate – Compliance 

Verification (50 FR 30942) states that emission data obtained from owners or 

operators of stationary sources will be correlated with applicable emission 

limitations and other control measures and will be available to the public 

during normal business hours at the District Office, or submitted to U.S. EPA 

or ARB, upon request. 

 Great Basin Unified APCD Rule 215(D) Public Availability of Emission Data 

(42 FR 28883) specifies that emission data obtained from owners or 

operators of stationary sources will be correlated with applicable emission 

limitations and other control measures and will be available to the public 

during normal business hours at the District's office. 

In addition, all districts in California have federally-approved Title V permitting programs. 

Title V requires all major stationary sources and some minor stationary sources of air 

pollution to obtain an operating permit which specifies all air pollution requirements that 

apply to the source, including emission limits and monitoring, record keeping, and 

reporting requirements. 
 28 

Emissions Inventory Responsibilities 

ARB is responsible for compiling stationary source emissions data from the districts and 

reporting the information to U.S. EPA. In addition, ARB maintains an emissions 

inventory that includes VOC, NOx, oxides of sulfur (SOx), PM2.5, lead, and ammonia 

emissions and comprises information for more than 14,000 stationary sources in 

California. The inventory exceeds federal CAA requirements, in that it includes 

emission data for sources that emit pollutants at rates lower than the AERR Rule 

reporting thresholds. The emissions inventory is publically available on the ARB 

website (http://www.arb.ca.gov/ei/disclaim.htm). In addition to emissions information for 

stationary sources, the inventory includes emissions data for other types of sources, 

including mobile sources (such as cars, trucks, and ocean going vessels), area-wide 

sources (such as residential water heaters, residential central furnaces, and managed 

burning and disposal), and wildfires. The emissions inventory is relevant to all 

pollutants with federal standards, including lead, NO2, ozone, PM2.5, and SO2. 

Contingency Plans for Emergency Episodes [CAA Section 110(a)(2)(G)] 

This section of the CAA requires states to provide for authority comparable 

to that in CAA Section 303, to develop a contingency plan for emergency 

episodes (emergency episode plan), and to have adequate authority to 

implement the emergency episode plan in areas that meet specified 

threshold concentrations. 

State law grants ARB and the districts authority comparable to U.S. EPA’s authority to 

halt pollutant emissions that could cause a public health emergency or nuisance. These 

laws apply to a variety of emission violations and specify penalties equivalent to or 

exceeding federal penalties for comparable violations. 

To facilitate planning efforts, including emergency episode planning, U.S. EPA divided 

California into Intrastate Air Quality Control Regions (IAQCR) and classified each 

IAQCR as Priority I, II, or III with respect to emergency episode planning, based on 

threshold levels specified in the CFR. Priority I and II areas have specific emergency 

episode plan requirements that are designed to prevent ambient concentrations from 

reaching specified significant harm levels. Priority III areas have no plan requirements. 

California air quality has improved substantially over the last four decades and in most 

cases, is now much better than the emergency episode plan threshold levels specified 

in the CFR. Therefore, ARB is requesting that U.S. EPA reclassify a number of areas 

with respect to emergency episode plan requirements, based on current air quality. One 

exception to this request is the Great Basin Valley IAQCR, which exceeds U.S. EPA’s 

recommended threshold for developing a PM2.5 emergency episode plan. The Great 

Basin Unified APCD is in the process of developing a compliant plan. After adoption, 

ARB will forward that plan to U.S. EPA for inclusion in California’s SIP. 
 29 

Discussion 

Authority to Halt Pollutant Emissions 

Under CAA Section 110(a)(2)(G), states are to provide for authority comparable to that 

in CAA Section 303, which gives U.S. EPA legal authority to halt the emission of air 

pollutants causing or contributing to injury of the public or welfare. U.S. EPA is further 

authorized to either bring a lawsuit in federal court or, if such civil action cannot assure 

prompt protection of public health or welfare, to issue such orders as may be necessary 

to protect public health, welfare, or the environment. 

The authority granted to the U.S. EPA Administrator is vested in ARB and the districts 

under H&SC Section 42400, et seq. These sections of California law apply to a range 

of emissions violations and impose penalties that are equivalent to or exceed federal 

penalties for comparable violations. These penalties include the imposition of fines 

and/or imprisonment. 

As described earlier (refer to section titled Emission Limits and Other Control Measures 

[CAA Section 110(a)(2)(A)]), ARB is responsible for controlling emissions from vehicular 

sources, while districts are responsible for controlling emissions from non-vehicular 

sources. Under H&SC Section 41700, sources are prohibited from emitting any 

pollutant(s) that cause injury, detriment, nuisance, or annoyance to the public or that 

endanger the comfort, repose, health, or safety of the public. Furthermore, H&SC 

Section 42450, et seq., gives districts specific authority to abate emissions from any 

source violating H&SC Section 41700 or any other order, rule, or regulation that 

prohibits or limits the discharge of pollutants, consistent with applicable notice and 

hearing requirements. Under H&SC Section 41509, ARB or other local agency rules 

cannot infringe upon a district’s authority to declare, prohibit, or abate a nuisance, and 

California’s Attorney General is authorized to enjoin any pollution or nuisance, either on 

his or her own, or by request. 

Contingency Plans for Emergency Episodes 

In the early 1970s, U.S. EPA defined IAQCRs under CAA Section 197 to facilitate air 

quality planning and compliance with federal standards. A table summarizing the 

general area included in each California IAQCR is provided in Table 11. The formal 

IAQCR boundary descriptions are codified in 40 CFR 81, Subpart B. After defining the 

IAQCRs, U.S. EPA classified the IAQCRs as Priority I (most severe), II, or III (least 

severe) for SOx, NO2, and ozone, based on air quality data available at the time and 

using the threshold levels specified in 40 CFR 51.150 (refer to Table 12). 
 30 

TABLE 11 

General Area Included in California Intrastate Air Quality Control Regions

Intrastate Air Quality 

Control Region General Area Included* 

Code of Federal 

Regulations (CFR) 

Reference 

Great Basin Valley Alpine, Inyo, and Mono counties 40 CFR 81.159 

Lake County Lake County 40 CFR 81.273 

Lake Tahoe Lake Tahoe Air Basin portion of El Dorado and 

Placer counties 40 CFR 81.275 

Metropolitan Los Angeles 

Orange and Ventura counties; South Coast Air 

Basin portion of Los Angeles, Riverside, and 

San Bernardino counties; coastal portion of 

Santa Barbara County 

40 CFR 81.17 

Mountain Counties Amador, Calaveras, Mariposa, Nevada, Plumas, 

Sierra, and Tuolumne counties 40 CFR 81.274 

North Central Coast Monterey, San Benito, and Santa Cruz counties 40 CFR 81.160 

North Coast 

Del Norte, Humboldt, Mendocino, and Trinity 

counties; North Coast Air Basin portion of Sonoma 

County 

40 CFR 81.161 

Northeast Plateau Lassen, Modoc, and Siskiyou counties; northeast 

portion of Shasta County 40 CFR 81.162 

Sacramento Valley 

Butte, Colusa, Glenn, Sacramento, Sutter, Tehama, 

Yolo, and Yuba counties; southwest portion of 

Shasta County; Sacramento Valley Air Basin portion 

of Solano County 

40 CFR 81.163 

San Francisco Bay Area 

Alameda, Contra Costa, Marin, Napa, 

San Francisco, San Mateo, and Santa Clara 

counties; San Francisco Bay Area Air Basin portion 

of Solano and Sonoma counties 

40 CFR 81.21 

San Diego San Diego County 40 CFR 81.164 

San Joaquin Valley 

Fresno, Kings, Madera, Merced, San Joaquin, 

Stanislaus, and Tulare counties; San Joaquin Valley 

Air Basin portion of Kern County 

40 CFR 81.165 

South Central Coast San Luis Obispo County; non-coastal portion of 

Santa Barbara County 40 CFR 81.166 

Southeast Desert 

Imperial County; Mojave Desert Air Basin portion of 

Kern, Los Angeles, and San Bernardino counties; 

Mojave Desert and Salton Sea air basin portions of 

Riverside County 

40 CFR 81.167 

 Note that these descriptions are general in nature, and the IAQCR boundaries may not reflect current air basin 

boundaries because air basin boundaries have changed over time. The reader is referred to 40 CFR 81, Subpart B

for the official IAQCR boundary descriptions. 
 31 

TABLE 12 

Threshold Concentrations for Priority I and II Areas and Significant Harm Levels 

Pollutant Averaging Time 

Relevant Concentration for 

Averaging Time 

Priority I Area 

Threshold 

Priority II Area 

Threshold 

Significant Harm 

Level 

Sulfur Oxides 

(measured as 

SO2) 

Annual Arithmetic Mean 0.04 ppm* 0.02 – 0.04 ppm none specified 

24-Hour 0.17 ppm 0.10 – 0.17 ppm 1.0 ppm 

3-Hour none specified > 0.50 ppm none specified 

Nitrogen 

Dioxide 

Annual Arithmetic Mean 0.06 ppm none specified none specified 

1-Hour none specified none specified 2.0 ppm 

24-Hour none specified none specified 0.5 ppm 

Ozone 1-Hour 0.10 ppm none specified none specified 

2-Hour none specified none specified 0.6 ppm 

* ppm = parts per million. 

Once classified, the CAA requires states to develop emergency episode plans designed 

to prevent air pollution in the IAQCRs from reaching significant harm levels (refer to

Table 12). Under 40 CFR 51.152, the most comprehensive emergency episode plans 

are required for Priority 1 areas, and less rigorous plans are required for Priority II 

areas. No plans are required for Priority III areas. The original emergency episode 

priority classifications for all areas of California are codified in 40 CFR 52.221. 

Since U.S. EPA originally established the priority classifications, California air quality 

has improved substantially and in most areas, is now much better than the specified 

threshold levels. Furthermore, the significant harm levels for SOx, NO2, and ozone have 

not been reached in California for decades. Therefore, ARB is requesting that U.S. EPA 

reclassify a number of original Priority I and II areas as Priority III, with no emergency 

episode plan requirements. The details of this request are summarized in Table 13 and 

described in the following subsections. 
 32 

TABLE 13 

New and (Original) Priority Classifications by Pollutant 

for Emergency Episode Plan Requirements*

Intrastate Air Quality 

Control Region 

Pollutant 

Sulfur Oxides Nitrogen Dioxide 

Ozone 

(Photochemical 

Oxidants) 

Great Basin Valley III III III 

Lake County III III III 

Lake Tahoe III III III (I) 

Metropolitan Los Angeles III (II) III (I) I 

Mountain Counties III III III (I)

North Central Coast III III III (I)

North Coast III III III 

Northeast Plateau III III III 

Sacramento Valley III III III (I)

San Diego III III III (I)

San Francisco Bay Area III (II) III III (I)

San Joaquin Valley III III I 

South Central Coast III III III 

Southeast Desert III III III (I) 

* The requested change in priority classification is shown first, followed by the original priority 

classification, in parentheses. If only one priority classification is shown, no change is requested. 

Sulfur Oxides: Areas in California were originally classified as Priority II or III for SOx, 

measured as SO2. U.S. EPA revised the federal SO2 standard in June 2010, but has 

not yet designated any area of California with respect to this standard. Subsequent to 

adoption of the revised standard, ARB submitted comprehensive analyses (based on 

2007 through 2009 data) recommending that all areas of California be designated as 

attainment for SO2. Based on more recent monitoring data (2010 through 2012 data), 

California’s 33 site SO2 monitoring network continues to show attainment of the SO2

standard, with a statewide maximum 1-hour concentration of 0.073 ppm. This 1-hour 

maximum is well below the 3-hour and 24-hour thresholds specified for Priority II areas 

(refer to Table 12). It is also far below the specified significant harm level. In addition, 

California has attained the former annual arithmetic mean SO2 standard throughout the 

State since the late 1980s. Thus, based on current SO2 concentrations, ARB requests 

that U.S. EPA reclassify the Metropolitan Los Angeles and San Francisco Bay Area 

IAQCRs as Priority III for SOx (refer to Table 13). With this change, there would be no 

SOx emergency episode plan requirements for any area in California.

Nitrogen Dioxide: All sites in California continue to meet the federal NO2 standards. 

California previously addressed the NO2 emergency episode plan requirements in its 

December 12, 2012, NO2 Infrastructure SIP submittal. In that submittal, ARB requested 

that U.S. EPA either exempt the Metropolitan Los Angeles IAQCR from the emergency 

episode plan requirements or reclassify the region as Priority III. ARB is now requesting 
 33 

that U.S. EPA reclassify the region as Priority III, consistent with our requests for other 

pollutants (refer to Table 13). With this change, there would be no NO2 emergency 

episode plan requirements for any area in California.

Ozone: Five California IAQCRs were originally classified as Priority III for ozone, and 

the remaining nine were classified as Priority I. It is important to note that these 

classifications are based on the former 1-hour ozone standard, and U.S. EPA has not 

classified areas for emergency episode planning purposes with respect to the 1997 or 

2008 8-hour ozone standards. However, U.S. EPA has noted that the 1-hour ozone 

significant harm levels for emergency episode plans are appropriate for use with the 

2008 8-hour ozone standard (78 FR 34178). Thus, the proposed reclassifications and 

emergency episode plans described below are appropriate not only for the former 

1-hour ozone standard, but for the 1997 and 2008 8-hour ozone standards, as well. 

While the original ozone priority classifications summarized in Table 13 were based on 

the specified 1-hour threshold concentration, two original Priority I areas (the Lake 

Tahoe and Mountain Counties IAQCRs) were never designated as nonattainment for the 

1-hour standard. Furthermore, U.S. EPA has determined that a number of other original 

Priority I areas now attain the former 1-hour ozone standard: 

 Eastern Kern County (69 FR 21731; part of Southeast Desert IAQCR) 

 North Central Coast (62 FR 2597; North Central Coast IAQCR) 

 Sacramento Metropolitan Area (77 FR 64036; includes portions of 

Sacramento Valley and Mountain Counties IAQCRs ) 

 San Diego County (67 FR 65043; San Diego IAQCR) 

 San Francisco Bay Area (69 FR 21717; San Francisco Bay Area IAQCR), 

 Santa Barbara County (67 FR 54963; coastal portion of County is part of 

Metropolitan Los Angeles IAQCR) 

 Ventura County (74 FR 25153; part of Metropolitan Los Angeles IAQCR) 

Ozone air quality also meets the former 1-hour ozone standard in the remaining portions 

of the Southeast Desert IAQCR, although the area has not been redesignated as 

attainment.7

 Based on all of the above information, ARB requests that U.S. EPA 

reclassify all IAQCRs that meet the 1-hour ozone standard as Priority III, under the 

provisions of 40 CFR 51.152(d)(1). These areas include the Lake Tahoe, Mountain 

Counties, North Central Coast, Sacramento Valley, San Diego, San Francisco Bay Area, 

and Southeast Desert IAQCRs. With these changes, only the Metropolitan Los Angeles 

and San Joaquin Valley IAQCRs would be required to have an ozone emergency 

episode plan. As summarized in Table 14, all portions of these two IAQCRs already 

have a SIP-approved plan in place, with adequate authority to implement the plan, if 

needed. 

 

7

 Although ozone air quality in all parts of the Southeast Desert IAQCR now meets the former 1-hour 

federal ozone standard, these areas do have SIP-approved emergency episode plans in place (Antelope 

Valley (68 FR 10966); Coachella Valley (64 FR 1439); Eastern Kern County (45 FR 37698 and 

47 FR 26619); Imperial County (46 FR 8472); Mojave Desert – Riverside County portion (43 FR 59489 

and 45 FR 37428); Mojave Desert – San Bernardino County portion (45 FR 37428 and 47 FR 26618). 
 34 

TABLE 14 

SIP-Approved Emergency Episode Plans for the 

Metropolitan Los Angeles and San Joaquin Valley IAQCRs

Intrastate 

Air Quality 

Control Region 

Subarea Regulation Federal Register

Citation 

Metropolitan 

Los Angeles 

South Coast AQMD Regulation 7 – Emergencies 64 FR 14391 

Santa Barbara County APCD Regulation 6 – Emergencies 47 FR 26618 

Ventura County APCD Regulation 8 – 

Emergency Action 64 FR 33351 

San Joaquin 

Valley 

San Joaquin Valley APCD Regulation 6 – Air Pollution 

Contingency Plan 64 FR 13351 

Eastern Kern APCD Regulation 6 – Air Pollution 

Emergency Contingency Plan 

45 FR 37689 and 

47 FR 26619 

* AQMD = Air Quality Management District; APCD = Air Pollution Control District. 

Lead: ARB addressed the emergency episode plan requirements for lead in its 

October 6, 2011, Infrastructure SIP submittal for lead. All areas of California continue to 

attain the federal lead standard except the Los Angeles County lead nonattainment 

area. Thus, ARB requests that U.S. EPA treat the nonattainment area as Priority I for 

lead and all remaining areas of the State as Priority III. Lead emergency episode plan 

provisions in the Los Angeles County nonattainment area are described in the South 

Coast AQMD lead nonattainment SIP, submitted to U.S. EPA on June 20, 2012 (referred 

to as contingency measures in the nonattainment plan). These contingency measures 

are triggered at lower levels than proposed in the emergency episode plan requirements 

described in ARB’s October 6, 2011, Infrastructure SIP submittal for lead. U.S. EPA 

proposed approval of the South Coast AQMD’s lead nonattainment SIP, including the 

contingency measures, on December 11, 2013 (78 FR 29583). 

Fine Particulate Matter: Similar to lead, 40 CFR 51.150 does not specify any threshold 

concentration or significant harm level for PM2.5. However, in their 2009 PM2.5

Infrastructure SIP Guidance, U.S. EPA recommends using a 24-hour PM2.5

concentration of 210.5 μg/m3

 and above to identify Priority 1 areas and a concentration 

range of greater than 140.4 μg/m3 to 210.4 μg/m3 to identify Priority II areas.8 Based on 

data collected during 2010 through 2012, 24-hour PM2.5 concentrations measured by 

Federal Reference Monitors in California have been no greater than 140.4 μg/m3, 

except during one windblown dust event in the Great Basin Unified APCD. A 24-hour 

PM2.5 concentration of 208 μg/m3

 was recorded at the Keeler-Cerro Gordo Road 

monitoring station in the Owens Lake area on December 1, 2011. Thus, ARB requests 

that U.S. EPA treat all areas of California except the Great Basin Valley IAQCR as 

Priority III with respect to PM2.5. ARB further requests that U.S. EPA treat the Great 

Basin Valley IAQCR as Priority II. 

 

8

 A copy of U.S. EPA’s 2008 PM2.5 Infrastructure SIP Guidance document is available on the web 

(http://www.epa.gov/ttn/caaa/t1/memoranda/20090925_harnett_pm25_sip_110a12.pdf). 
 35 

Priority II areas are required to develop emergency episode plans with contingency 

measures to be implemented should monitored PM2.5 levels exceed 140.4 μg/m3. Dust 

storm events, like the one that occurred at Keeler in December 2011, are caused by 

windblown dust from the anthropogenically-dried Owens Lake bed and are unique to the 

Great Basin Valley area. Best Available Control Measures are already in place in most 

of the dried emissive areas to control the fugitive dust events. Additional controls are 

required and will be implemented over the next few years. In addition, the Great Basin 

Unified APCD has an existing health advisory program to notify residents of the 

appropriate actions to reduce the adverse health effects of these high concentrations. 

Great Basin Unified APCD is working with U.S. EPA Region 9 staff to develop a rule 

committing to a districtwide notification program for the windblown dust events. The rule 

will address smoke-related impacts, as well. Great Basin Unified APCD is scheduled to 

present the rule to their Board in March 2014. Once the rule is adopted, ARB will 

transmit it to U.S. EPA for inclusion in the statewide SIP. 

Future SIP Revisions [CAA Section 110(a)(2)(H)] 

This section of the CAA requires states to revise their SIP when an air 

quality standard is promulgated or revised, new attainment methods 

become available, or U.S. EPA determines a SIP is either inadequate or 

does not meet revised CAA requirements. 

California has and will continue to submit revisions to its SIP, as mandated by U.S. EPA. 

Discussion 

H&SC Section 39602 designates ARB as the agency responsible for compliance with all 

purposes set forth in federal law. This includes responsibility for preparing and 

submitting SIP revisions in response to new or revised federal standards or improved 

methods for attaining those standards. It also includes responsibility for revising the SIP 

if U.S EPA finds the SIP inadequate for attaining the federal standards or inadequate 

with respect to meeting CAA requirements. ARB develops all SIP revisions in 

consultation with districts and other affected entities. In addition, all revisions are 

subject to public review and comment before being approved and submitted to 

U.S. EPA, as required by the CAA. 

ARB is submitting this multi-pollutant Infrastructure SIP in compliance with federal law. 

In the future, ARB will continue to work with local districts to develop approvable SIPs 

as federal standards change or new standards are implemented, new attainment 

methods become available, or U.S. EPA determines an existing SIP is inadequate or 

does not meet revised CAA requirements. ARB maintains a collection of recent SIP 

documents on its website (http://www.arb.ca.gov/planning/sip/sip.htm). 
 36 

Consultation with Government Officials, Public Notification, PSD, and 

Visibility Protection [CAA Section 110(a)(2)(J)] 

This section of the CAA requires states to meet requirements of the CAA 

relating to consultation and public notification and to implement PSD and 

visibility protection programs for established federal standards. 

ARB and local districts comply with all federal regulatory requirements, including 

requirements for consultation, notification, comment, and adoption. Furthermore, ARB 

has information available on its website about ambient pollutant concentrations and the 

health impacts from exposure in the ambient air. As described earlier, in response to 

CAA Section 110(a)(2)(C), PSD requirements are addressed at the district level. 

Visibility issues are addressed in California’s approved Regional Haze SIP. 

Discussion 

Consultation 

CAA Section 121 requires states to provide a satisfactory process for consulting with 

general purpose local governments, designated organizations of elected local 

government officials, and any affected federal land manager in carrying out CAA 

requirements. H&SC Section 39602 designates ARB as the air pollution control agency 

for all purposes set forth in federal law. This authority extends to the preparation of the 

SIP and coordination of all district activities necessary to comply with the CAA. 

Consultation with local districts is a critical part of the SIP development process 

because districts provide local expertise and knowledge of local conditions. In addition, 

districts are, in part, responsible for enforcing SIP provisions. The districts are governed 

by Boards comprised primarily of elected officials, who also play a role in developing 

SIP provisions. 

California’s 35 districts come together under the California Air Pollution Control Officers 

Association (CAPCOA). CAPCOA promotes clean air and provides a forum for sharing 

knowledge, experience, and information among air quality regulatory agencies 

throughout the State. To help facilitate air quality progress, CAPCOA has organized a 

number of working groups that meet on an on-going basis to discuss air quality-related 

issues. To further coordinate air quality goals, CAPCOA meets regularly with State and 

federal air quality officials to develop statewide rules and to assure consistent 

application of rules and regulations. A list of California districts and the county or 

counties included in each one is provided in Table 15. Additional information about 

each district and the work CAPCOA facilitates is available through the CAPCOA website 

(http://www.capcoa.org/).
 37 

TABLE 15 

California Districts and Jurisdictional Area 

District Name* County/Counties Included in Jurisdictional Area 

Amador County APCD Amador County 

Antelope Valley AQMD Northeast Los Angeles County 

Bay Area AQMD 

Alameda, Contra Costa, Marin, Napa, San Francisco, 

San Mateo, Santa Clara counties; west Solano County; 

south Sonoma County 

Butte County AQMD Butte County 

Calaveras County APCD Calaveras County 

Colusa County APCD Colusa County 

El Dorado County AQMD El Dorado County 

Feather River AQMD Sutter and Yuba counties 

Glenn County APCD Glenn County 

Great Basin Unified APCD Alpine, Mono, Inyo counties 

Imperial County APCD Imperial County 

Eastern Kern APCD East Kern County 

Lake County AQMD Lake County 

Lassen County APCD Lassen County 

Mariposa County APCD Mariposa County 

Mendocino County AQMD Mendocino County 

Modoc County APCD Modoc County 

Mojave Desert AQMD Northeast San Bernardino County; east Riverside County 

Monterey Bay Unified APCD Monterey, San Benito, Santa Cruz counties 

North Coast Unified AQMD Del Norte, Humboldt, Trinity counties 

Northern Sierra AQMD Nevada, Plumas, Sierra counties 

Northern Sonoma APCD North Sonoma County 

Placer County APCD Placer County 

Sacramento Metro AQMD Sacramento County 

San Diego County APCD San Diego County 

San Joaquin Valley APCD Fresno, Kings, Madera, Merced, San Joaquin, Stanislaus, 

Tulare counties; west Kern County 

San Luis Obispo County APCD San Luis Obispo County 

Santa Barbara County APCD Santa Barbara County 

Shasta County AQMD Shasta County 

Siskiyou County APCD Siskiyou County 

South Coast AQMD 

Orange County; southwest Los Angeles County; 

southwest San Bernardino County; central & west 

Riverside County 

Tehama County APCD Tehama County 

Tuolumne County APCD Tuolumne County 

Ventura County APCD Ventura County 

Yolo-Solano AQMD Yolo County; east Solano County 

 APCD = Air Pollution Control District; AQMD = Air Quality Management District. 
 38 

In addition to the districts, ARB has longstanding working relationships with a number of 

other local, State, and federal stakeholders in developing the SIP. A sampling of the 

stakeholders consulted during development of the 2007 California SIP revision and the 

2009 Regional Haze SIP is shown in Table 16. Collaboration with these other 

stakeholders strengthens the SIP and ensures continued progress toward attainment of 

all federal standards. 

TABLE 16 

Sampling of Stakeholders Consulted During SIP Development Process 

Stakeholder Group 

California Metropolitan Planning Organizations* 

California Bureau of Automotive Repair 

California Department of Motor Vehicles 

California Energy Commission 

California Department of Transportation (CalTrans) 

State Water Resources Control Board 

Governor’s Office of Planning and Research 

Department of Forestry and Fire Protection 

Federal Highway Administration 

Federal Department of Energy 

State of Nevada 

Port of Los Angeles 

Port of Long Beach 

South Coast Air Quality Management Plan Advisory Group 

San Joaquin Valley Citizens Advisory Committee 

Central Valley Air Quality Coalition 

 A map of California Metropolitan Planning Organizations (MPOs) is shown in Figure 1. 
 39 

FIGURE 1 
 40 

After a draft SIP is developed, H&SC Section 41650, et seq., requires ARB to conduct 

public hearings and to solicit testimony from the public, as well as from districts and 

other air quality planning agencies, when adopting nonattainment plans for inclusion in 

the SIP. Additionally, the California Administrative Procedures Act, Government Code 

Section 11340, et seq., requires notification and provision of comment opportunities to 

all parties affected by proposed regulations. Similarly, H&SC Section 40725 requires 

districts to conduct public hearings when adopting, amending, or repealing any rule. 

ARB will continue the process of collaborating with local, State, and federal entities and 

officials in developing SIP elements, as required by the CAA, as well as soliciting public 

input to the process. 

Once a SIP is submitted to U.S. EPA for approval, the process of consultation and 

collaboration is on-going. An example of this on-going collaboration is the Clean Air 

Technology Initiative. ARB, along with U.S. EPA, the South Coast AQMD, the 

San Joaquin Valley APCD, and the California Environmental Protection Agency, signed 

a memorandum of agreement (MOA) committing to the development and testing of new 

technologies, in an effort to accelerate progress in meeting current and future federal 

standards. The goal of the MOA is to improve air quality by aligning agency research 

resources, where possible and appropriate, to evaluate innovative technologies that 

have the potential to reduce emissions of pollutants and pollutant precursors, as well as 

to develop and assess new monitoring equipment that could improve the measurement 

of emissions from mobile and stationary sources of pollution. As part of this agreement, 

the agencies intend to coordinate research efforts with other public and private 

stakeholders, including other federal departments and agencies and other State and 

local entities, in order to utilize the resources and capacities of a wide sector of 

government and the business community in projects to develop, demonstrate, and 

assess new technologies that can help achieve clean air goals. 

The creation of the Clean Air Technology Initiative, through which the partner agencies 

identify regionally important emission sources contributing to the region’s attainment 

challenges, is a key element of the MOA. Both the South Coast AQMD and 

San Joaquin Valley APCD selected focus areas that are impacted by a mixture of 

mobile and stationary sources, especially sources representing major contributors to the 

SIP inventories and key air toxic exposures in the community. The partner agencies 

can then coordinate actions to align local, State, and federal resources to accelerate the 

identification and implementation of advanced clean technologies. Another example of 

on-going collaboration is ARB’s Memorandum of Understanding with Union Pacific and 

Burlington Northern Santa Fe railroads to significantly reduce diesel emissions in and 

around rail yards in California. 
 41 

Public Notification 

In addition to consulting with government officials and other stakeholders, the CAA 

requires states to provide effective measures for notifying the public of instances or 

areas in which a federal standard was exceeded during the prior calendar year (CAA 

Section 127). Under H&SC Section 39607(a), ARB is required to collect air quality data 

in each air basin, statewide. ARB maintains these data and provides access to both 

current and historical data via the web (http://www.arb.ca.gov/aqmis2/aqmis2.php). In 

addition, H&SC Section 40718(a) requires ARB to publish maps showing areas that 

violate a federal standard, using the most recently available data. These maps are also 

available on ARB’s website (http://www.arb.ca.gov/desig/statedesig.htm#current). 

Finally, ARB provides on its website, links to local district websites that provide the 

public with daily information about local air quality levels using the Air Quality Index 

(http://www.arb.ca.gov/aqmis2/MainPgLinks/aqi.php). 

In addition to reporting air quality data, CAA Section 127 requires states to advise the 

public about the health hazards associated with air pollution and to enhance public 

awareness of measures to prevent violation of a standard. To comply with this 

requirement, ARB maintains webpages that provide relevant information about health 

impacts (http://www.arb.ca.gov/research/health/health.htm) and ways of reducing air 

pollution (http://www.arb.ca.gov/html/cando.htm). 

PSD and Visibility Protection 

With respect to PSD requirements, a number of districts in California administer fully 

SIP-approved or partially delegated PSD programs that comply with federal 

requirements. PSD programs in the remaining districts are administered by U.S. EPA 

through a federal stationary source permitting program under enabling authority in 

40 CFR 52.21. However, several of these districts are currently in the process of 

developing or seeking U.S. EPA approval of their PSD programs. The status of PSD 

programs in California districts is described in more detail in the previous section titled 

Programs for Enforcement, PSD, and NSR [CAA Section 110(a)(2)(C)]. 

Finally, CAA Section 110(a)(2)(J) contains provisions for visibility protection. However, 

U.S. EPA guidance states that promulgation of a new or revised federal standard does 

not carry with it any new obligations with respect to visibility protection. Nevertheless, 

California has in place, an approved Regional Haze SIP (76 FR 34608). Provisions of 

the State’s Regional Haze SIP will reduce the impact of air pollution on visibility, with the 

long-term goal of improving visibility in Class 1 areas. California’s Regional Haze SIP is 

available on ARB’s website (http://www.arb.ca.gov/planning/reghaze/reghaze.htm). 
 42 

Air Quality Modeling/Data [CAA Section 110(a)(2)(K)]

This section of the CAA requires states to use air quality models to predict 

the effect of pollutant and precursor emissions on ambient concentrations 

and to submit the modeling data to U.S. EPA when requested. 

ARB is well versed in the use of air quality models to predict the impact of emissions on 

air quality. ARB conducts modeling in compliance with U.S. EPA guidance, and ARB 

works closely with districts that conduct their own modeling to ensure similar 

compliance. Modeling results are available on request. 

Discussion 

The CAA requires states to conduct air quality modeling. For example, under CAA 

Section 182(C)(2)(a), attainment demonstrations for ozone nonattainment areas 

classified as serious, severe, or extreme must be based on photochemical grid 

modeling or another analytical method the Administrator determines to be at least as 

effective. Under State law, ARB is the agency responsible for complying with all 

purposes set forth in federal law (H&SC Section 39602). Thus, ARB has the authority to 

conduct air quality modeling as required under the CAA. 

To implement the modeling requirements, ARB has established an air quality modeling 

group which has extensive experience related to modeling both primary and secondary 

pollutants. ARB’s modeling work complies with U.S. EPA guidance on the use of 

models. In addition, ARB consults with and works closely with districts and other 

stakeholders that conduct their own air quality modeling, to ensure their work also 

complies with federal requirements. 

ARB’s website includes links to air quality and other modeling software, as well as 

relevant guidance documents (http://www.arb.ca.gov/html/soft.htm#modeling). Links 

include both U.S. EPA-approved and State-approved models and documentation. 

In addition, ARB and districts document their SIP-related modeling protocols and make 

this information available as part of the SIP review process. Examples of this protocol 

documentation for ozone and PM2.5 are available on the San Joaquin Valley APCD 

website.9

 The purpose of documenting these protocols is to detail and formalize the 

procedures for conducting the photochemical modeling used in developing the SIP and 

thereby increase public awareness and transparency. Comments generated through 

the public review process are considered in developing the final plan. As required under 

the CAA, modeling results are made available to U.S. EPA and other stakeholders on 

request. 

 

9

 Examples of ozone and PM2.5 air quality modeling protocols:

http://www.valleyair.org/Air_Quality_Plans/docs/AQ_Ozone_2007_Adopted/23%20Appendix%20F%20Ap

ril%202007.pdf and http://www.valleyair.org/Workshops/postings/2012/12-20-

12PM25/FinalVersion/16%20Appendix%20F%20Modeling%20Protocol.pdf. 
 43 

Permitting Fees [CAA Section 110(a)(2)(L)]

This section of the CAA requires states to assess stationary source 

owners or operators fees to cover the cost of reviewing and acting on a 

permit application. If a permit is granted, states must also assess fees to 

cover the cost of implementing and enforcing the permit. 

Districts are responsible for issuing stationary source permits. Each district has rules 

requiring fees to cover the cost of processing, implementing, and enforcing permits. 

Discussion 

U.S. EPA’s Infrastructure SIP Guidance indicates that if a state’s Title V program fees 

cover all CAA permitting, implementation, and enforcement for new and modified major 

sources, as well as for existing major sources, the Title V program satisfies the 

requirements of CAA Section 110(a)(2)(L). As described in the previous section titled 

Programs for Enforcement, PSD, and NSR [CAA Section110(a)(2)(C)], responsibility for 

issuing stationary source permits in California rests with the districts, and each local 

district has adopted rules requiring an additional fee for facilities subject to Title V 

requirements. Furthermore, U.S. EPA has fully approved Title V programs for all 

35 California districts (40 CFR 70, Appendix A). 

California H&SC Section 42311 authorizes local districts to adopt a schedule of fees for 

the evaluation, issuance, and renewal of permits to cover the cost of district programs 

related to permitted stationary sources. The mechanism for assessing these fees 

begins when an applicant applies for an Authority to Construct. Each applicant is 

assessed a fee for the district to process the application. Additional fees are assessed 

for some applications that may be more complex. Districts also assess fees when the 

facility applies for a Permit to Operate. Fee schedules are specific to each individual 

district. Some districts base their fees on allowable emissions, while others base fees 

on the type and quantity of facility equipment. Districts also collect fees during the 

annual renewal of the permit and may impose fees for observing sources test, as 

applicable. Districts review their fees on a regular basis and determine if any fee 

increases are needed to cover the cost of running the permitting program. 

A general overview of the Title V requirements is available on the ARB website 

(http://www.arb.ca.gov/fcaa/tv/tvinfo/overview.htm). ARB’s website also provides 

information to help facility owners/operators navigate the permitting process.10 In 

addition, ARB maintains various email notification lists that provide subscribers with 

current, on-going email notification about updates and changes to permit-related 

programs. Information about subscribing to these lists is also available on the ARB 

website (http://www.arb.ca.gov/permits/permits.htm). 

 

10 The following web links provide information to help facility owners/operators navigate the permitting 

process: http://www.arb.ca.gov/permits/airdisop.htm and http://www.arb.ca.gov/permits/permits.htm. 
 44 

Table 17 provides a summary of the district rules that implement the federal Title V 

requirements. The rules cited represent the district’s primary implementation rule, and 

in some cases, there may be other district rules that are also relevant to the Title V 

process. The information in Table 17 is provided for information only, as Title V rules 

are not required to be part of an approved SIP. 

TABLE 17 

California District Title V Rules and Permit Fee Information 

District* District Implementing Rule 

Amador County APCD Rule 500 (Issuing Permits to Operate for Title V Sources) 

Antelope Valley AQMD Regulation XXX (Title V Permits) 

Bay Area Air AQMD Rule 2-6 (Major Facility Review) 

Butte County APCD Rule 1101 (Title V – Federal Operating Permits) 

Calaveras County APCD Regulation X (Issuing Permits to Operate for Title V Sources) 

Colusa County APCD Rule 3.17 (Permits to Operate for Title V Sources) 

Eastern Kern APCD Rule 201.1 (Permits to Operate for Title V Sources) 

El Dorado County APCD Rule 522 (Title V - Federal Operating Permit Program) 

Feather River AQMD Rule 10.3 (Federal Operating Permits) 

Glenn County APCD Article VIII (Issuing Permits to Operate for Title V Sources) 

Great Basin Unified APCD Rule 217 (Issuing Permits to Operate for Title V Sources) 

Imperial County APCD Rule 900 (Issuing Permits to Operate for Title V Sources) 

Lake County AQMD Chapter XII (Issuing Permits to Title V Sources) 

Lassen County APCD Regulation VII (Permits to Operate for Title V Sources) 

Mariposa County APCD Regulation X (Issuing Permits to Operate for Title V Sources) 

Mendocino County APCD Regulation 5 (Issuing Permits to Operate for Title V Sources) 

Modoc County APCD Rule 2.13 (Issuing Permits to Operate for Title V Sources) 

Mojave Desert AQMD Regulation XII (Federal Operating Permits) 

Monterey Bay Unified APCD Rule 218 (Title V: Federal Operating Permits) 

North Coast Unified AQMD Regulation V (Issuing Permits to Operate for Title V Sources) 

Northern Sierra AQMD Rule 522 (Title V Federal Operating Permits) 

Northern Sonoma County APCD Regulation V (Issuing Permits to Operate for Title V Sources) 

Placer County APCD Rule 507 (Federal Operating Permit Program) 

Sacramento Metro AQMD Rule 207 (Title V – Federal Operating Permit Program) 

San Diego County APCD Regulation XIV (Title V Operating Permits) 

San Joaquin Valley APCD Rule 2520 (Federally Mandated Operating Permits) 

San Luis Obispo County APCD Rule 216 (Federal Part 70 Permits) 

Santa Barbara County APCD Regulation XIII (Part 70 Operating Permit Program) 

Shasta County AQMD Rule 5 (Issuing Permits to Operate for Title V Sources) 

Siskiyou County APCD Rule 2.13 (Issuing Permits to Operate for Title V Sources) 

South Coast AQMD Regulation XXX (Title V Permits) 

Tehama County APCD Regulation VII (Federal Operating Permit Program) 

Tuolumne County APCD Rule 500 (Issuing Permits to Operate for Title V Sources) 

Ventura County APCD Rule 33 (Part 70 Permits) 

Yolo-Solano AQMD Rule 3.8 (Federal Operating Permits) 

 APCD = Air Pollution Control District; AQMD = Air Quality Management District.
 45 

Consultation/Participation by Affected Local Entities [CAA Section 110(a)(2)(M)] 

This section of the CAA requires states to consult with and allow local 

political subdivisions affected by the SIP to participate in the development 

process. 

ARB coordinates on a regular basis with the State’s 35 local districts. State law requires 

ARB to conduct a public hearing and solicit input from affected agencies and the public 

when developing any SIP document. 

 

Discussion 

California is divided into 35 local districts, comprising county or regional local 

government authorities. These districts have responsibility for controlling stationary 

source emissions. H&SC Section 39602 designates ARB as the air pollution control 

agency for all purposes set forth in federal law. Furthermore, ARB is designated as the 

State agency responsible for preparing the SIP and, to this end, shall coordinate the 

activities with all districts necessary to comply with that act. The structure of California’s 

local districts was described in the previous section titled Consultation with Government 

Officials, Public Notification, PSD, and Visibility Protection [CAA Section110(a)(2)(J)]. A 

map of district boundaries (http://www.arb.ca.gov/capcoa/dismap.htm), as well as links 

to local district webpages (http://www.arb.ca.gov/capcoa/roster.htm), is available on 

ARB’s website. 

 

ARB routinely consults and provides liaison with all districts and provides for frequent 

and regular communication and consultation with management and staff of these 

districts, particularly as it relates to SIP items. Because district boards are composed of 

local elected officials, this framework provides for regular consultation with and 

participation by local government entities (cities and counties) affected by the SIP. 

Furthermore, H&SC Section 41650, et seq., requires ARB to conduct a public hearing 

and to solicit testimony from districts, air quality planning agencies, and the public when 

adopting SIP-related documents. The districts have a similar process for soliciting 

participation and comment with respect to proposed regulatory actions. Additionally, the 

California Administrative Procedures Act, Government Code Section 11340, et seq., 

requires notification and provision for comment opportunities to all parties affected by 

proposed regulations. Similarly, H&SC Section 40725 requires districts to conduct 

public hearings when adopting, amending, or repealing any rule. ARB is committed to 

continuing the process of collaborating with local entities and officials in developing SIP 

elements, as well as soliciting public input to the process.
 

[This page intentionally blank] 
ATTACHMENT 1 

RELEVANT CALIFORNIA HEALTH AND SAFETY CODE SECTIONS 

INCLUDED FOR INFORMATION ONLY 

AND NOT TO BE INCLUDED IN CALIFORNIA’S 

STATE IMPLEMENTATION PLAN
[This page intentionally blank] 
Attachment 1 A1-i 

TABLE OF CONTENTS 

Health and Safety Code Section 39002. Agencies responsible for pollution control A1-1 

Health and Safety Code Section 39602. Designated air pollution control agency; 

Compliance with federal law ............................................................................... A1-1 

Health and Safety Code Section 39602.5(a). Adoption of rules and regulations ...... A1-1 

Health and Safety Code Section 39607(a). Gathering air pollution information ....... A1-2 

Health and Safety Code Section 39607(c). Gathering air pollution information ........ A1-2 

Health and Safety Code Section 40000. Legislative finding and declaration ............ A1-2 

Health and Safety Code Section 40001(a). Rules and regulations .......................... A1-2 

Health and Safety Code Section 40718. Pollutant maps .......................................... A1-2 

Health and Safety Code Section 40725. Notice of public hearing ............................ A1-2 

Health and Safety Code Section 41311. Fees .......................................................... A1-3 

Health and Safety Code Section 41509. Scope of division ...................................... A1-4 

Health and Safety Code Section 41510. Right of entry for inspection ...................... A1-5 

Health and Safety Code Section 41511. Rules and regulations ............................... A1-5 

Health and Safety Code Section 41650. Adoption of nonattainment area plan ........ A1-5 

Health and Safety Code Section 41651. Hearing; Evidence .................................... A1-6 

Health and Safety Code Section 41652. Revision of plan ........................................ A1-6 

Health and Safety Code Section 41700. Prohibited discharges ............................... A1-6 

Health and Safety Code Section 41712(b). Regulations to control volatile 

organic compounds in consumer products ......................................................... A1-6 

Health and Safety Code Section 42400. Criminal penalty for violations ................... A1-7 

Health and Safety Code Section 42400.1. Negligent emission of air 

contaminants; Operation of source of contaminants which causes actual 

injury; Criminal sanctions .................................................................................... A1-7 

Health and Safety Code Section 42400.2. Failure to take corrective actions; 

Criminal sanctions ............................................................................................... A1-8 

Health and Safety Code Section 42400.3. Willful and intentional emissions of 

air contaminant; Penalties ................................................................................... A1-8 

Health and Safety Code Section 42400.3.5. Knowing violations; Penalties ............. A1-9 

Health and Safety Code Section 42400.4. Knowing violation of federally 

enforceable permit condition, fee, or filing requirement ...................................... A1-10 

Health and Safety Code Section 42400.5. Cost of putting out unauthorized fires .... A1-11 

Health and Safety Code Section 42400.6. Imposition of fine ................................... A1-11 

Health and Safety Code Section 42400.7. Effect of recovery of civil penalties; 

 Injunction ............................................................................................................ A1-11

Health and Safety Code Section 42400.8. Determination of amount of fine ............. A1-11 

Health and Safety Code Section 42401. Violation of abatement order; Civil penalty A1-12 

Health and Safety Code Section 42402. Violation of emission limitations; 

 Civil penalty ........................................................................................................ A1-12 

Health and Safety Code Section 42402.1. Negligent emission of air contaminants; 

 Operation of source of contaminants which cause actual injury; Civil penalties .. A1-13 

Health and Safety Code Section 42402.2. Failure to take corrective actions; 

 Civil penalties ...................................................................................................... A1-13 
Attachment 1 A1-ii 

Health and Safety Code Section 42402.3. Willful and intentional emission of 

 air contaminant; Penalty ..................................................................................... A1-13 

Health and Safety Code Section 42402.4. Penalty for knowing falsification 

 of document ........................................................................................................ A1-14 

Health and Safety Code Section 42402.5. Administrative civil penalties .................. A1-14 

Health and Safety Code Section 42403. Civil actions; Determination of penalty ...... A1-14 

Health and Safety Code Section 42403.5. Discharge from idling engine of 

 diesel-powered bus ............................................................................................. A1-15 

Health and Safety Code Section 42404. Civil actions; Precedence ......................... A1-15 

Health and Safety Code Section 42404.5. Commencement of limitation period ...... A1-15 

Health and Safety Code Section 42405. Payment of penalty ................................... A1-16 

Health and Safety Code Section 42405.1. Rewards for informants .......................... A1-16 

Health and Safety Code Section 42405.5. Reimbursement of government 

agency for cost and expenses incurred in preparing and prosecuting case ........ A1-17 

Health and Safety Code Section 42406. Lien on vessel........................................... A1-17 

Health and Safety Code Section 42407. Scope of article ......................................... A1-18 

Health and Safety Code Section 42408. Tampering with air pollution 

 monitoring equipment ......................................................................................... A1-18 

Health and Safety Code Section 42409. List of potential violations ......................... A1-18 

Health and Safety Code Section 42410. Administrative penalty as alternative to 

civil penalty; Limitations; Construction of section; Report to Governor and 

 Legislature .......................................................................................................... A1-18 

Health and Safety Code Section 42450. Issuance by district board; Hearing .......... A1-20 

Health and Safety Code Section 42450.1. Application of article ............................... A1-20 

Health and Safety Code Section 42451. Issuance by hearing board; Stipulated 

orders .................................................................................................................. A1-20 

Health and Safety Code Section 42452. Form of order ............................................ A1-21 

Health and Safety Code Section 42453. Injunction against violations ...................... A1-21 

Health and Safety Code Section 42454. Injunction proceedings .............................. A1-21 
Attachment 1 A1-1 

ATTACHMENT 1 

Relevant California Health and Safety Code Sections Included for 

Information Only and not to be Included in California’s 

State Implementation Plan 

Section 39002. Agencies responsible for pollution control 

Local and regional authorities have the primary responsibility for control of air 

pollution from all sources other than vehicular sources. The control of 

vehicular sources, except as otherwise provided in this division, shall be the 

responsibility of the State Air Resources Board. Except as otherwise provided 

in this division, including, but not limited to, Sections 41809, 41810, and 

41904, local and regional authorities may establish stricter standards than 

those set by law or by the state board for nonvehicular sources. However, the 

state board shall, after holding public hearings as required in this division, 

undertake control activities in any area wherein it determines that the local or 

regional authority has failed to meet the responsibilities given to it by this 

division or by any other provision of law. 

Section 39602. Designated air pollution control agency; Compliance with 

federal law 

The state board is designated the air pollution control agency for all purposes 

set forth in federal law. 

The state board is designated as the state agency responsible for the 

preparation of the state implementation plan required by the Clean Air Act 

(42 U.S.C., Sec. 7401, et seq.) and, to this end, shall coordinate the activities 

of all districts necessary to comply with that act. 

Notwithstanding any other provision of this division, the state implementation 

plan shall only include those provisions necessary to meet the requirements 

of the Clean Air Act. 

Section 39602.5. Adoption of rules and regulations 

(a) The state board shall adopt rules and regulations pursuant to Section 

43013 that, in conjunction with other measures adopted by the state 

board, the districts, and the United States Environmental Protection 

Agency, will achieve ambient air quality standards required by the 

federal Clean Air Act (42 U.S.C. Sec. 7401 et seq.) in all areas of the 

state by the applicable attainment date, and to maintain these standards 

thereafter. The state board shall adopt these measures if they are 

necessary, technologically feasible, and cost effective, consistent with 

Section 43013.

(b) If necessary to carry out its duties under this section, the state board 

shall adopt and enforce rules and regulations that anticipate the 

development of new technologies or the improvement of existing 
Attachment 1 A1-2 

technologies. The rules and regulations shall require standards that the 

state board finds and determines can likely be achieved by the 

compliance date set forth in the rule.

Section 39607(a). Gathering air pollution information 

The state board shall: 

(a) Establish a program to secure data on air quality in each air basin 

established by the state board. 

Section 39607(c). Gathering air pollution information 

The state board shall: 

(c) Monitor air pollutants in cooperation with districts and with other 

agencies to fulfill the purpose of this division. 

Section 40000. Legislative finding and declaration 

The Legislature finds and declares that local and regional authorities have the 

primary responsibility for control of air pollution from all sources, other than 

emissions from motor vehicles. The control of emissions from motor vehicles, 

except as otherwise provided in this division, shall be the responsibility of the 

state board. 

Section 40001(a). Rules and regulations 

(a) Subject to the powers and duties of the state board, the districts shall 

adopt and enforce rules and regulations to achieve and maintain the 

state and federal ambient air quality standards in all areas affected by 

emission sources under their jurisdiction, and shall enforce all applicable 

provisions of state and federal law. 

Section 40718. Pollutant maps

(a) Not later than January 1, 1990, the state board shall publish maps 

identifying those cities, counties, or portions thereof which have 

measured one or more violations of any state or federal ambient air 

quality standard. The state board shall produce at least one separate 

map for each pollutant. 

Section 40725. Notice of public hearing

(a) A district board shall not adopt, amend, or repeal any rule or regulation 

without first holding a public hearing thereon. 

(b) Notice of the time and place of a public hearing to adopt, amend, or 

repeal any rule or regulation shall be given not less than 30 days prior 

thereto to the state board, which notice shall include a copy of the rule or 
Attachment 1 A1-3 

regulation proposed to be adopted, amended, or repealed, as the case 

may be, and a summary description of the effect of the proposal, and by 

publication in the district pursuant to Section 6061 of the Government 

Code. In addition, in the case of a district which includes portions of 

more than one county, the notice shall be published in each county not 

less than 30 days prior to the date of the hearings. 

(c) Notice published pursuant to subdivision (b) shall invite written public 

comment and indicate the name, address, and telephone number of the 

district officer to whom these comments are to be addressed, and the 

date by which comments are to be received. 

Section 41311. Fees 

(a) A district board may adopt, by regulation, a schedule of annual fees for 

the evaluation, issuance, and renewal of permits to cover the cost of 

district programs related to permitted stationary sources authorized or 

required under this division that are not otherwise funded. The fees 

assessed under this section shall not exceed, for any fiscal year, the 

actual costs for district programs for the immediately preceding fiscal 

year with an adjustment not greater than the change in the annual 

California Consumer Price Index, as determined pursuant to Section 

2212 of the Revenue and Taxation Code, for the preceding year. Any 

revenues received by the district pursuant to the fees, which exceed the 

cost of the programs, shall be carried over for expenditure in the 

subsequent fiscal year, and the schedule of fees shall be changed to 

reflect that carryover. Every person applying for a permit, 

notwithstanding Section 6103 of the Government Code, shall pay the 

fees required by the schedule. Nothing in this subdivision precludes the 

district from recovering, through its schedule of annual fees, the 

estimated reasonable costs of district programs related to permitted 

stationary sources. 

(b) The district board may require an applicant to deposit a fee in accord 

with the schedule adopted pursuant to subdivision (a) prior to evaluating 

a permit application, if the district accounts for the costs of its services 

and refunds to the applicant any significant portion of the deposit which 

exceeds the actual, reasonable cost of evaluating the application. 

(c) Except as provided in Section 42313, all the fees shall be paid to the 

district treasurer to the credit of the district. 

(d) This section does not apply to the south coast district board which is 

governed by Section 40510. 

(e) In addition to providing notice as otherwise required, before adopting a 

regulation establishing fees pursuant to this section, the district board 

shall hold at least one public meeting, at which oral or written 

presentations can be made, as part of a regularly scheduled meeting. 

Notice of the time and place of the meeting, including a general 

explanation of the matter to be considered, and a statement that the 
Attachment 1 A1-4 

information required by this section is available, shall be mailed at least 

14 days prior to the meeting to any interested party who files a written 

request with the district board. Any written request for the mailed notices 

shall be valid for one year from the date on which it is filed unless a 

renewal request is filed. Renewal requests for the mailed notices shall 

be filed on or before April 1 of each year. The district board may 

establish a reasonable annual charge for sending the notices based on 

the estimated cost of providing that service. At least 10 days prior to the 

meeting, the district board shall make available to the public information 

indicating the amount of cost, or estimated cost, required to provide the 

service for which the fee is charged and the revenue sources anticipated 

to provide the service. Any costs incurred by the district board in 

conducting the required meeting may be recovered from fees charged 

for the programs which were the subject of the meeting. 

(f) In addition to any other fees authorized by this section, a district board 

may adopt, by regulation, a schedule of annual fees to be assessed 

against permitted nonvehicular sources emitting toxic air contaminants 

identified pursuant to the procedure set forth in Sections 39660, 39661, 

and 39662. A district board shall demonstrate that the fees assessed 

under this subdivision do not exceed the reasonable, anticipated costs of 

funding district activities mandated by Section 39666 related to 

nonvehicular source emissions. In making the demonstration, the district 

shall account for all direct and indirect costs of district activities related to 

each toxic air contaminant. If the district does not make this 

demonstration, it shall make reimbursement for that portion of the fee not 

determined to be reasonable. 

(g) A district may adopt, by regulation, a schedule of fees to be assessed on 

areawide or indirect sources of emissions which are regulated, but for 

which permits are not issued, by the district to recover the costs of 

district programs related to these sources. 

(h) A district board may adopt, by regulation, a schedule of fees to cover the 

reasonable costs of the hearing board incurred as a result of appeals 

from district decisions on the issuance of permits. However, the hearing 

board may waive all or part of these fees if it determines that 

circumstances warrant that waiver. 

(i) Nothing in the amendments to this section enacted in 1988 limits or 

abridges any previously existing authority of a district to vary fees 

according to quantity of emissions, nor affects any pending litigation 

which might affect that previous authority. 

Section 41509. Scope of division 

No provision of this division, or of any order, rule, or regulation of the state 

board or of any district, is a limitation on: 

(a) The power of any local or regional authority to declare, prohibit, or abate 

nuisances. 
Attachment 1 A1-5 

(b) The power of the Attorney General, at the request of a local or regional 

authority, the state board, or upon his own motion, to bring an action in 

the name of the people of the State of California to enjoin any pollution 

or nuisance. 

(c) The power of a state agency in the enforcement or administration of any 

provision of law which it is specifically permitted or required to enforce or 

administer. 

(d) The right of any person to maintain at any time any appropriate action for 

relief against any private nuisance. 

Section 41510. Right of entry for inspection 

For the purpose of enforcing or administering any state or local law, order, 

regulation, or rule relating to air pollution, the executive officer of the state 

board or any air pollution control officer having jurisdiction, or an authorized 

representative of such officer, upon presentation of his credentials or, if 

necessary under the circumstances, after obtaining an inspection warrant 

pursuant to Title 13 (commencing with Section 1822.50), Part 3 of the Code 

of Civil Procedure, shall have the right of entry to any premises on which an 

air pollution emission source is located for the purpose of inspecting such 

source, including securing samples of emissions therefrom, or any records 

required to be maintained in connection therewith by the state board or any 

district. 

Section 41511. Rules and regulations

For the purpose of carrying out the duties imposed upon the state board or 

any district, the state board or the district, as the case may be, may adopt 

rules and regulations to require the owner or the operator of any air pollution 

emission source to take such action as the state board or the district may 

determine to be reasonable for the determination of the amount of such 

emission from such source. 

Section 41650. Adoption of nonattainment area plan 

(a) The state board shall adopt the nonattainment area plan approved by a 

designated air quality planning agency as part of the state 

implementation plan, unless the state board finds, after a public hearing, 

that the nonattainment area plan will not meet the requirements of the 

Clean Air Act (42 U.S.C. Sec. 7401 et seq.). 

(b) The primary responsibility for determining whether a control measure is 

reasonably available shall be vested in the public agency which has the 

primary responsibility for implementation of that control measure. The 

determination of reasonably available control measure by the public 

agency responsible for implementation shall be conclusive, unless the 

state board finds after public hearing that such determination will not 

meet the requirements of the Clean Air Act. 
Attachment 1 A1-6 

Section 41651. Hearing; Evidence 

In addition to any other statutory requirements, at the public hearing held 

pursuant to Section 41650, the districts included, in whole or in part, within the 

nonattainment area, the designated air quality planning agency, and members 

of the public shall have the opportunity to present oral and written evidence. 

In addition, the districts and the agency shall have the right to question and 

solicit testimony of qualified representatives of the state board staff on the 

matter being considered. The state board may, by an affirmative vote of four 

members, place reasonable limits on the right to question and solicit 

testimony of qualified representatives of the state board staff. 

Section 41652. Revision of plan 

If, after the public hearing, the state board finds that the nonattainment area 

plan approved by the designated air quality planning agencies does not 

comply with the requirements of the Clean Air Act (42 U.S.C. Sec. 7401 

et seq.), the state board may adopt such revisions as necessary to comply 

with such requirements, except as otherwise provided in Article 5.5 

(commencing with Section 53098) of Chapter 1 of Part 1 of Division 2 of Title 

5 of the Government Code. 

Section 41700. Prohibited discharges 

(a) Except as otherwise provided in Section 41705, a person shall not 

discharge from any source whatsoever quantities of air contaminants or 

other material that cause injury, detriment, nuisance, or annoyance to 

any considerable number of persons or to the public, or that endanger 

the comfort, repose, health, or safety of any of those persons or the 

public, or that cause, or have a natural tendency to cause, injury or 

damage to business or property. 

(b) This section shall become operative on January 1, 2014. 

Section 41712(b). Regulations to control volatile organic compounds in 

consumer products 

(b) The state board shall adopt regulations to achieve the maximum feasible 

reduction in volatile organic compounds emitted by consumer products, 

if the state board determines that adequate data exists to establish both 

of the following: 

(1) The regulations are necessary to attain state and federal ambient 

air quality standards. 

(2) The regulations are commercially and technologically feasible and 

necessary. 
Attachment 1 A1-7 

Section 42400. Criminal penalty for violations 

(a) Except as otherwise provided in Section 42400.1, 42400.2, 42400.3, 

42400.3.5, or 42400.4, any person who violates this part, or any rule, 

regulation, permit, or order of the state board or of a district, including a 

district hearing board, adopted pursuant to Part 1 (commencing with 

Section 39000) to Part 4 (commencing with Section 41500), inclusive, is 

guilty of a misdemeanor and is subject to a fine of not more than one 

thousand dollars ($1,000) or imprisonment in the county jail for not more 

than six months, or both. 

(b) If a violation under subdivision (a) with regard to the failure to operate a 

vapor recovery system on a gasoline cargo tank is directly caused by the 

actions of an employee under the supervision of, or of any independent 

contractor working for, any person subject to this part, the employee or 

independent contractor, as the case may be, causing the violation is 

guilty of a misdemeanor and is punishable as provided in subdivision (a). 

That liability shall not extend to the person employing the employee or 

retaining the independent contractor, unless that person is separately 

guilty of an action that violates this part. 

(c) Any person who owns or operates any source of air contaminants in 

violation of Section 41700 that causes actual injury, as defined in 

subdivision (d), to the health or safety of a considerable number of 

persons or the public is guilty of a misdemeanor and is subject to a fine 

of not more than fifteen thousand dollars ($15,000) or imprisonment in 

the county jail for not more than nine months, or both. 

(d) As used in this section, "actual injury" means any physical injury that, in 

the opinion of a licensed physician and surgeon, requires medical 

treatment involving more than a physical examination. 

(e) Each day during any portion of which a violation of subdivision (a) or (c) 

occurs is a separate offense. 

Section 42400.1. Negligent emission of air contaminants; Operation of 

source of contaminants which causes actual injury; Criminal sanctions 

(a) Any person who negligently emits an air contaminant in violation of any 

provision of this part or any rule, regulation, permit, or order of the state 

board or of a district pertaining to emission regulations or limitations is 

guilty of a misdemeanor and is punishable by a fine of not more than 

twenty-five thousand dollars ($25,000), or imprisonment in a county jail 

for not more than nine months, or by both that fine and imprisonment. 

(b) Any person who negligently emits an air contaminant in violation of 

Section 41700 that causes great bodily injury, as defined by Section 

12022.7 of the Penal Code, to, or death of, any person, is guilty of a 

misdemeanor and is punishable by a fine of not more than one hundred 

thousand dollars ($100,000), or imprisonment in a county jail for not 

more than one year, or by both that fine and imprisonment. 

(c) Each day during any portion of which a violation occurs is a separate 

offense. 
Attachment 1 A1-8 

Section 42400.2. Failure to take corrective actions; Criminal sanctions 

(a) Any person who emits an air contaminant in violation of any provision of 

this part, or any order, rule, regulation, or permit of the state board or of 

a district pertaining to emission regulations or limitations, and who knew 

of the emission and failed to take corrective action within a reasonable 

period of time under the circumstances, is guilty of a misdemeanor and 

is punishable by a fine of not more than forty thousand dollars ($40,000), 

or imprisonment in a county jail for not more than one year, or by both 

that fine and imprisonment. 

(b) For purposes of this section, "corrective action" means the termination of 

the emission violation or the grant of a variance from the applicable 

order, rule, regulation, or permit pursuant to Article 2 (commencing with 

Section 42350). If a district regulation regarding process upsets or 

equipment breakdowns would allow continued operation of equipment 

which is emitting air contaminants in excess of allowable limits, 

compliance with that regulation is deemed to be corrective action. 

(c) Any person who owns or operates any source of air contaminants in 

violation of Section 41700 that causes great bodily injury, as defined by 

Section 12022.7 of the Penal Code, to, or death of, any person, and who 

knew of the emission and failed to take corrective action within a 

reasonable period of time under the circumstances, is guilty of a 

misdemeanor and is punishable by a fine of not more than two hundred 

fifty thousand dollars ($250,000), or imprisonment in a county jail for not 

more than one year, or by both that fine and imprisonment. 

(d) Each day during any portion of which a violation occurs constitutes a 

separate offense. 

Section 42400.3. Willful and intentional emissions of air contaminant; 

Penalties 

(a) Any person who willfully and intentionally emits an air contaminant in 

violation of any provision of this part or any rule, regulation, permit, or 

order of the state board or of a district, pertaining to emission regulations 

or limitations is guilty of a misdemeanor and is punishable by a fine of 

not more than seventy-five thousand dollars ($75,000), or imprisonment 

in a county jail for not more than one year, or by both that fine and 

imprisonment. 

(b) Any person who willfully and intentionally, or with reckless disregard for 

the risk of great bodily injury, as defined by Section 12022.7 of the Penal 

Code, to, or death of, any person, emits an air contaminant in violation of 

Section 41700 that results in any unreasonable risk of great bodily injury 

to, or death of, any person, is guilty of a public offense and is punishable 

by a fine of not more than one hundred twenty-five thousand dollars 

($125,000), or imprisonment in a county jail for not more than one year, 

or by both that fine and imprisonment. However, if the defendant is a 
Attachment 1 A1-9 

corporation, the maximum fine may be up to five hundred thousand 

dollars ($500,000). 

(c) Any person who willfully and intentionally, or with reckless disregard for 

the risk of great bodily injury, as defined by Section 12022.7 of the Penal 

Code, to, or death of, any person emits an air contaminant in violation of 

Section 41700 that causes great bodily injury to, or death of, any person 

is guilty of a public offense, and is punishable by a fine of not more than 

two hundred fifty thousand dollars ($250,000), or imprisonment in a 

county jail for not more than one year, or both that fine and 

imprisonment, or is punishable by a fine of not more than two hundred 

fifty thousand dollars ($250,000), or imprisonment pursuant to 

subdivision (h) of Section 1170 of the Penal Code, or by both that fine 

and imprisonment. If the defendant is a corporation, the maximum fine 

may be up to one million dollars ($1,000,000). 

(d) Each day during any portion of which a violation occurs constitutes a 

separate offense. 

(e) This section does not preclude punishment under Section 189 or 192 of 

the Penal Code or any other provision of law that provides a more 

severe punishment. 

(f) For the purposes of this section: 

(1) "Great bodily injury" means great bodily injury as defined by 

Section 12022.7 of the Penal Code. 

(2) "Unreasonable risk of great bodily injury or death" means 

substantial probability of great bodily injury or death. 

Section 42400.3.5. Knowing violations; Penalties 

(a) Any person who knowingly violates any rule, regulation, permit, order, 

fee requirement, or filing requirement of the state board or of a district, 

including a district hearing board, that is adopted for the control of toxic 

air contaminants pursuant to Part 1 (commencing with Section 39000) to 

Part 4 (commencing with Section 41500), inclusive, and for which 

delegation or approval of implementation and enforcement authority has 

been obtained pursuant to subdivision ( l) of Section 112 of the Clean Air 

Act (42 U.S.C. Sec. 7412( l)), or the regulations adopted pursuant 

thereto, is guilty of a misdemeanor and is subject to a fine of not more 

than ten thousand dollars ($10,000) or imprisonment in the county jail for 

not more than six months, or both. 

(b) Any person who knowingly makes any false material statement, 

representation, or certification in any form or in any notice or report 

required by a rule or regulation adopted or permit issued for the control 

of toxic air contaminants pursuant to Part 1 (commencing with Section 

39000) to Part 4 (commencing with Section 41500), inclusive, and for 

which delegation or approval of implementation and enforcement 

authority has been obtained pursuant to subdivision ( l) of Section 112 of 

the Clean Air Act (42 U.S.C. Sec. 7412( l)), or the regulations adopted 
Attachment 1 A1-10 

pursuant thereto, or who knowingly renders inaccurate any monitoring 

device required by that toxic air contaminant rule, regulation, or permit is 

subject to a fine of not more than thirty-five thousand dollars ($35,000) or 

imprisonment in the county jail for not more than nine months, or both. 

(c) Any person who, knowingly and with intent to deceive, falsifies any 

document required to be kept pursuant to any provision of this part, or 

any rule, regulation, permit, notice to comply, or order of the state board 

or of a district, is punishable as provided in subdivision (b). 

(d) Subdivisions (a) and (b) shall apply only to those violations that are not 

otherwise subject to a fine of ten thousand dollars ($10,000) or more 

pursuant to Section 42400.1, 42400.2, or 42400.3. 

Section 42400.4. Knowing violation of federally enforceable permit 

condition, fee, or filing requirement 

(a) In any district where a Title V permit program has been fully approved by 

the federal Environmental Protection Agency, any person who knowingly 

violates any federally enforceable permit condition or any fee or filing 

requirement applicable to a Title V source is guilty of a misdemeanor 

and is subject to a fine of not more than ten thousand dollars ($10,000). 

(b) In any district in which a Title V permit program has been fully approved 

by the federal Environmental Protection Agency, any person who 

knowingly makes any false material statement, representation, or 

certification in any form or in any notice or report required of a Title V 

source of a federally enforceable permit requirement, or who knowingly 

renders inaccurate any monitoring device or method required of a Title V 

source, is guilty of a misdemeanor and is subject to a fine of not more 

than ten thousand dollars ($10,000). 

(c) The recovery of civil penalties pursuant to Section 42402, 42402.1, 

42402.2, or 42402.3 precludes prosecution pursuant to this section for 

the same offense. When a district refers a violation to a prosecuting 

agency, the filing of a criminal complaint is grounds requiring the 

dismissal of any civil action brought pursuant to this article for the same 

offense. 

(d) Each day during any portion of which a violation of subdivision (a) or (b) 

occurs is a separate offense. 

(e) This section shall not become operative in a district until the federal 

Environmental Protection Agency fully approves that district's Title V 

permit program. 

(f) This section applies only to violations described in subdivisions (a) 

and (b) that are not otherwise subject to a fine of ten thousand dollars 

($10,000) or more pursuant to Section 42400.1, 42400.2, or 42400.3. 
Attachment 1 A1-11 

Section 42400.5. Cost of putting out unauthorized fires 

In addition to the penalties, specified in Section 42400, the cost of putting out 

any unauthorized open outdoor fires may be imposed on any person violating 

Section 41800 or 41852. 

Section 42400.6. Imposition of fine 

A fine or monetary penalty specified in Section 39674; subdivision (a), (b), (d), 

or (e) of Section 42400; Section 42402; or subdivision (a) of Section 44381 of 

this code, that may be imposed as the result of conduct that is also subject to 

Chapter 5 (commencing with Section 17200) of Part 2 of Division 7 of the 

Business and Professions Code, may be collected either under those 

provisions of this code, or under that chapter of the Business and Professions 

Code, but not under both. 

Section 42400.7. Effect of recovery of civil penalties; Injunction 

(a) The recovery of civil penalties pursuant to Section 39674, 42401, 42402, 

42402.1, 42402.2, 42402.3, or 42402.4 precludes prosecution under 

Section 42400, 42400.1, 42400.2, 42400.3, 42400.3.5, or 42400.4 for 

the same offense. When a district refers a violation to a prosecuting 

agency, the filing of a criminal complaint is grounds requiring the 

dismissal of any civil action brought pursuant to this article for the same 

offense. 

(b) If the pending civil action described in subdivision (a) includes a request 

for injunctive relief, that portion of the civil action shall not be dismissed 

upon the filing of a criminal complaint for the same offense. 

Section 42400.8. Determination of amount of fine 

(a) In determining the amount of fine to impose pursuant to Sections 42400, 

42400.1, 42400.2, 42400.3, 42400.3.5, and 42400.4, the court shall 

consider all relevant circumstances, including, but not limited to, the 

following: 

(b) The extent of harm caused by the violation. 

(c) The nature and persistence of the violation. 

(d) The length of time over which the violation occurs. 

(e) The frequency of past violations. 

(f) The record of maintenance. 

(g) The unproven or innovative nature of the control equipment. 

(h) Any action taken by the person including the nature, extent, and time of 

response of any cleanup and construction undertaken, to mitigate the 

violation. 

(i) The financial burden on the defendant. 

(j) Any other circumstances the court deems relevant. 
Attachment 1 A1-12 

Section 42401. Violation of abatement order; Civil penalty 

Any person who intentionally or negligently violates any order of abatement 

issued by a district pursuant to Section 42450, by a hearing board pursuant to 

Section 42451, or by the state board pursuant to Section 41505 is liable for a 

civil penalty of not more than twenty-five thousand dollars ($25,000) for each 

day in which the violation occurs. 

Section 42402. Violation of emission limitations; Civil penalty 

(a) Except as provided in Sections 42402.1, 42402.2, 42402.3, and 

42402.4, any person who violates this part, any order issued pursuant to 

Section 42316, or any rule, regulation, permit, or order of a district, 

including a district hearing board, or of the state board issued pursuant 

to Part 1 (commencing with Section 39000) to Part 4 (commencing with 

Section 41500), inclusive, is strictly liable for a civil penalty of not more 

than one thousand dollars ($1,000). 

(b) (1) Any person who violates any provision of this part, any order issued 

pursuant to Section 42316, or any rule, regulation, permit or order of a 

district, including a district hearing board, or of the state board issued 

pursuant to Part 1 (commencing with Section 39000) to Part 4 

(commencing with Section 41500), inclusive, is strictly liable for a civil 

penalty of not more than ten thousand dollars ($10,000). 

(2) (A) If a civil penalty in excess of one thousand dollars ($1,000) for 

each day in which a violation occurs is sought, there is no 

liability under this subdivision if the person accused of the 

violation alleges by affirmative defense and establishes that the 

violation was caused by an act that was not the result of 

intentional nor negligent conduct. 

(B) Subparagraph (A) shall not apply to a violation of federally 

enforceable requirements that occur at a Title V source in a 

district in which a Title V permit program has been fully 

approved. 

(C) Subparagraph (A) does not apply to a person who is 

determined to have violated an annual facility emissions cap 

established pursuant to a market based incentive program 

adopted by a district pursuant to subdivision (b) of Section 

39616. 

(c) Any person who owns or operates any source of air contaminants in 

violation of Section 41700 that causes actual injury, as defined in 

subdivision (d) of Section 42400, to the health and safety of a 

considerable number of persons or the public, is liable for a civil penalty 

of not more than fifteen thousand dollars ($15,000). 

(d) Each day during any portion of which a violation occurs is a separate 

offense. 
Attachment 1 A1-13 

Section 42402.1. Negligent emission of air contaminants; Operation of 

source of contaminants which cause actual injury; Civil penalties 

(a) Any person who negligently emits an air contaminant in violation of this 

part or any rule, regulation, permit, or order of the state board or of a 

district, including a district hearing board, pertaining to emission 

regulations or limitations is liable for a civil penalty of not more than 

twenty-five thousand dollars ($25,000). 

(b) Any person who negligently emits an air contaminant in violation of 

Section 41700 that causes great bodily injury, as defined by Section 

12022.7 of the Penal Code, to any person or that causes the death of 

any person, is liable for a civil penalty of not more than one hundred 

thousand dollars ($100,000). 

(c) Each day during any portion of which a violation occurs is a separate 

offense. 

Section 42402.2. Failure to take corrective actions; Civil penalties 

(a) Any person who emits an air contaminant in violation of any provision of 

this part, or any order, rule, regulation, or permit of the state board or of 

a district, including a district hearing board, pertaining to emission 

regulations or limitations, and who knew of the emission and failed to 

take corrective action, as defined in subdivision (b) of Section 42400.2, 

within a reasonable period of time under the circumstances, is liable for 

a civil penalty of not more than forty thousand dollars ($40,000). 

(b) Any person who owns or operates any source of air contaminants in 

violation of Section 41700 that causes great bodily injury, as defined by 

Section 12022.7 of the Penal Code, to any person or that causes the 

death of any person, and who knew of the emission and failed to take 

corrective action, as defined in subdivision (b) of Section 42400.2, within 

a reasonable period of time under the circumstances, is liable for a civil 

penalty not to exceed two hundred fifty thousand dollars ($250,000). 

(c) Each day during any portion of which a violation occurs is a separate 

offense. 

Section 42402.3. Willful and intentional emission of air contaminant; 

Penalty 

(a) Any person who willfully and intentionally emits an air contaminant in 

violation of this part or any rule, regulation, permit, or order of the state 

board, or of a district, including a district hearing board, pertaining to 

emission regulations or limitations, is liable for a civil penalty of not more 

than seventy-five thousand dollars ($75,000). 

(b) Any person who willfully and intentionally, or with reckless disregard for 

the risk of great bodily injury, as defined by Section 12022.7 of the Penal 

Code, to, or death of, any person, emits an air contaminant in violation of 

Section 41700 that results in an unreasonable risk of great bodily injury 
Attachment 1 A1-14 

to, or death of, any person, is liable for a civil penalty of not more than 

one hundred twenty-five thousand dollars ($125,000). If the violator is a 

corporation, the maximum penalty may be up to five hundred thousand 

dollars ($500,000). 

(c) Any person who willfully and intentionally, or with reckless disregard for 

the risk of great bodily injury, as defined by Section 12022.7 of the Penal 

Code, to, or death of, any person, emits an air contaminant in violation of 

Section 41700 that causes great bodily injury, as defined by Section 

12022.7 of the Penal Code, to any person or that causes the death of 

any person, is liable for a civil penalty of not more than two hundred fifty 

thousand dollars ($250,000). If the violator is a corporation, the 

maximum penalty may be up to one million dollars ($1,000,000). 

(d) Each day during any portion of which a violation occurs is a separate 

offense. 

Section 42402.4. Penalty for knowing falsification of document 

Any person who knowingly and with intent to deceive, falsifies any document 

required to be kept pursuant to any provision of this part, or any rule, 

regulation, permit, or order of the state board or of a district, including a 

district hearing board, is liable for a civil penalty of not more than thirty-five 

thousand dollars ($35,000). 

Section 42402.5. Administrative civil penalties 

In addition to any civil and criminal penalties prescribed under this article, a 

district may impose administrative civil penalties for a violation of this part, or 

any order, permit, rule, or regulation of the state board or of a district, 

including a district hearing board, adopted pursuant to Part 1 (commencing 

with Section 39000) to Part 4 (commencing with Section 41500), inclusive, if 

the district board has adopted rules and regulations specifying procedures for 

the imposition and amounts of these penalties. No administrative civil penalty 

levied pursuant to this section may exceed five hundred dollars ($500) for 

each violation. However, nothing in this section is intended to restrict the 

authority of a district to negotiate mutual settlements under any other penalty 

provisions of law which exceed five hundred dollars ($500). 

Section 42403. Civil actions; Determination of penalty 

(a) The civil penalties prescribed in Sections 39674, 42401, 42402, 42402.1, 

42402.2, and 42402.3 shall be assessed and recovered in a civil action 

brought in the name of the people of the State of California by the 

Attorney General, by any district attorney, or by the attorney for any 

district in which the violation occurs in any court of competent 

jurisdiction. 
Attachment 1 A1-15 

(b) In determining the amount assessed, the court, or in reaching any 

settlement, the district, shall take into consideration all relevant 

circumstances, including, but not limited to, the following: 

(1) The extent of harm caused by the violation. 

(2) The nature and persistence of the violation. 

(3) The length of time over which the violation occurs. 

(4) The frequency of past violations. 

(5) The record of maintenance. 

(6) The unproven or innovative nature of the control equipment. 

(7) Any action taken by the defendant, including the nature, extent, and 

time of response of the cleanup and construction undertaken, to 

mitigate the violation. 

(8) The financial burden to the defendant. 

Section 42403.5. Discharge from idling engine of diesel-powered bus 

(a) Notwithstanding Section 42407, any violation of Section 41700 resulting 

from the engine of any diesel-powered bus while idling shall subject the 

owner to civil penalties assessed under this article, which may be 

recovered pursuant to Section 42403 by the Attorney General, by any 

district attorney, or by the attorney for any district in which the violation 

occurs in any court of competent jurisdiction. 

(b) There is no liability under subdivision (a) if the person accused of the 

violation establishes by affirmative defense that the extent of the harm 

caused does not exceed the benefit accrued to bus passengers as a 

result of idling the engine. 

Section 42404. Civil actions; Precedence 

An action brought pursuant to Section 42403 to recover such civil penalties 

shall take special precedence over all other civil matters on the calendar of 

the court except those matters to which equal precedence on the calendar is 

granted by law. 

Section 42404.5. Commencement of limitation period 

Any limitation of time applicable to actions brought pursuant to Section 42403 

shall not commence to run until the offense has been discovered, or could 

reasonably have been discovered. 
Attachment 1 A1-16 

Section 42405. Payment of penalty 

In an action brought pursuant to Section 42403 by the Attorney General on 

behalf of a district, one-half of the penalty collected shall be paid to the 

treasurer of the district on whose behalf judgment was entered, and one-half 

of the penalty collected shall be paid to the State Treasurer for deposit in the 

General Fund. 

If the action is brought by the Attorney General on behalf of the state board, 

the entire penalty collected shall be paid to the State Treasurer for deposit in 

the General Fund. 

If the action is brought by a district attorney or by an attorney for a district, the 

entire amount of the penalty collected shall be paid to the treasurer of the 

district on whose behalf judgment was entered. 

Section 42405.1. Rewards for informants 

(a) Any person who provides information that materially contributes to the 

imposition of a civil penalty or criminal fine against any person for 

violating any provision of this part or any rule, regulation, or order of a 

district pertaining to mobile source emission regulations or limitations 

shall be paid a reward pursuant to regulations adopted by the district 

under subdivision (f). The reward shall not exceed 10 percent of the 

amount of the civil penalty or criminal fine collected by the district, district 

attorney, or city attorney. The district shall pay the reward to the person 

who provides information that results in the imposition of a civil penalty, 

and the city or the county shall pay the reward to the person who 

provides information that results in the imposition of a criminal fine. No 

reward paid pursuant to this subdivision shall exceed five thousand 

dollars ($5,000). 

(b) No informant shall be eligible for a reward for a violation known to the 

district, unless the information materially contributes to the imposition of 

criminal or civil penalties for a violation specified in this section. 

(c) If there is more than one informant for a single violation, the first 

notification received by the district shall be eligible for the reward. If the 

notifications are postmarked on the same day or telephoned notifications 

are received on the same day, the reward shall be divided equally 

among those informants. 

(d) Public officers and employees of the United States, the State of 

California, or districts, counties, and cities in California are not eligible for 

the reward pursuant to subdivision (a), unless reporting of those 

violations does not relate in any manner to their responsibilities as public 

officers or employees. 

(e) An informant who is an employee of a business and who provides 

information that the business violated this part is not eligible for a reward 

if the employee intentionally or negligently caused the violation or if the 

employee's primary and regular responsibilities included investigating 

the violation, unless the business knowingly caused the violation. 
Attachment 1 A1-17 

(f) The district shall adopt regulations that establish procedures for a 

determination of the accuracy and validity of information provided and for 

the receipt and review of claims for payment of rewards. All decisions 

concerning the eligibility for a reward and the materiality of the provided 

information shall be made pursuant to these regulations. In each case 

brought under subdivision (a), the district, the office of the city attorney, 

or the district attorney, whichever office brings the action, shall 

determine whether the information materially contributed to the 

imposition of civil or criminal penalties for violating any provision of this 

part or any rule, regulation, or order of a district pertaining to emission 

regulations or limitations. 

(g) The district shall continuously publicize the availability of the rewards 

pursuant to this section for persons who provide information pursuant to 

this section. 

(h) Claims may be submitted only for those referrals made on or after 

January 1, 1989. 

Section 42405.5. Reimbursement of government agency for cost and 

expenses incurred in preparing and prosecuting case 

(a) If any state or local government agency provides assistance in the 

investigation, data collection, or monitoring, preparation, or prosecution 

of an action to recover civil penalties pursuant to Section 42401, 42402, 

42402.1, or 42402.2, and that assistance is provided in coordination with 

the state board or a district prosecuting the action, that agency shall be 

reimbursed out of the proceeds of the penalty collected for its costs and 

expenses incurred in providing the assistance. 

(b) If the penalty collected is insufficient to fully reimburse the state board or 

district for the costs and expenses incurred in preparing and prosecuting 

the case and another agency or agencies for the costs and expenses 

incurred in assisting in the case, the amount collected shall be prorated 

among the state board or district and the assisting agency or agencies, 

on the basis of costs and expenses incurred by each. 

(c) This section does not apply where there is an express agreement 

between the state board or district and another agency or agencies 

regarding reimbursement for assistance services and expenses. 

Section 42406. Lien on vessel 

To secure a civil penalty imposed pursuant to this article on the operation of a 

vessel, the district shall have a lien on the vessel which may be recovered in 

an action against the vessel in accordance with the provisions of Article 3 

(commencing with Section 490), Chapter 2, Division 3 of the Harbors and 

Navigation Code, except that no undertaking shall be required to be filed by 

the district board as a condition to the issuance of a writ of attachment. 
Attachment 1 A1-18 

Section 42407. Scope of article 

Except as provided in Chapter 3.4 (commencing with Section 39640) of 

Part 2 and Sections 40720 and 42403.5, this article is not applicable to 

vehicular sources. 

Section 42408. Tampering with air pollution monitoring equipment 

(a) Any person who tampers with any ambient air monitoring equipment, 

including related recording equipment, owned or operated by a county, 

unified or regional air pollution control district, air quality management 

district, or by the State of California, is guilty of a misdemeanor, and is 

liable in a civil action for damages caused by the tampering to the owner 

or operator of the equipment. 

(b) For purposes of this section, "tampering" means any unauthorized, 

intentional touching or other conduct affecting the operational status of 

monitoring equipment which has the potential to invalidate data collected 

from the monitoring activity. 

Section 42409. List of potential violations 

Every district shall publish in writing and make available to any interested 

party a list which describes potential violations subject to penalties under this 

article. The list shall also include the minimum and maximum penalties for 

each violation which may be assessed by a district pursuant to this article. 

Section 42410. Administrative penalty as alternative to civil penalty; 

Limitations; Construction of section; Report to Governor and Legislature 

(a) As an alternative to seeking civil penalties under Sections 39674, 42401, 

42402, 42402.1, 42402.2, and 42402.3 for a violation of regulations of 

the state board, the state board may impose an administrative penalty, 

as specified in this section. Any administrative penalty imposed under 

this section shall be imposed as an alternative to, and not in addition to, 

a civil penalty imposed pursuant to this article. No administrative penalty 

imposed by the state board pursuant to this section shall exceed the 

amount that the state board is authorized to seek as a civil penalty for 

the applicable violation, and no administrative penalty imposed pursuant 

to this section shall exceed ten thousand dollars ($10,000) for each day 

in which there is a violation up to a maximum of one hundred thousand 

dollars ($100,000) per penalty assessment proceeding. 

(b) Nothing in this section restricts the authority of the state board to 

negotiate mutual settlements under any other penalty provision of law 

that exceeds ten thousand dollars ($10,000) for each day in which there 

is a violation of one hundred thousand dollars ($100,000) per penalty 

assessment proceeding. 
Attachment 1 A1-19 

(c) The administrative penalties authorized by this section shall be imposed 

and recovered by the state board in administrative hearings established 

pursuant to Article 3 (commencing with Section 60065.1) and Article 4 

(commencing with Section 60075.1) of Subchapter 1.25 of Chapter 1 of 

Division 3 of Title 17 of the California Code of Regulations, except that 

the hearings shall be conducted by an administrative law judge 

appointed by the Office of Administrative Hearings. 

(d) Nothing in this section authorizes the state board to seek penalties for 

categories of violations for which the state board may not recover 

penalties in a civil action. 

(e) If the state board imposes any administrative penalties pursuant to this 

section, the state board may not bring any action pursuant to, or rely 

upon, Chapter 4 (commencing with Section 17000) of Part 2 of 

Division 7 of the Business and Professions Code. 

(f) In determining the amount of any administrative penalty imposed 

pursuant to this section, the state board shall take into consideration all 

relevant circumstances, including, but not limited to, those factors 

specified in subdivision (b) of Section 42403. 

(g) After an order imposing an administrative penalty becomes final 

pursuant to the hearing procedures identified in subdivision (c), and no 

petition for a writ of mandate has been filed within the time allotted for 

seeking judicial review of the order, the state board may apply to the 

Superior Court for the County of Sacramento for a judgment in the 

amount of the administrative penalty. The application, which shall 

include a certified copy of the final order of the administrative hearing 

officer, shall constitute a sufficient showing to warrant the issuance of 

the judgment. 

(h) For any violation that is within the enforcement jurisdiction of both the 

state board and the districts, the state board may impose an 

administrative penalty pursuant to this section only if the district in which 

the violation has occurred has not commenced an enforcement action 

for that violation. 

(i) This section is not intended, and shall not be construed, to grant the 

state board authority to assess an administrative penalty for any 

category of violation that was not subject to enforcement by the state 

board as of January 1, 2002. 

(j) Any administrative penalty assessed pursuant to this section shall be 

paid to the State Treasurer for deposit in the General Fund. 

(k) A party adversely affected by the final decision in the administrative 

hearing may seek independent judicial review by filing a petition for a 

writ of mandate in accordance with Section 1094.5 of the Code of Civil 

Procedure. 

(l) This section shall only apply to violations that occur on or after 

January 1, 2002. 

(m) On or before January 30, 2005, the state board shall prepare and submit 

to the Legislature and the Governor a report summarizing the 
Attachment 1 A1-20 

administrative penalties imposed by the state board pursuant to this 

section for calendar years 2002, 2003, 2004, and 2005. 

Section 42450. Issuance by district board; Hearing 

The district board may, after notice and a hearing, issue an order for 

abatement whenever it finds that any person is constructing or operating any 

article, machine, equipment, or other contrivance without a permit required by 

this part, or is in violation of Section 41700 or 41701 or of any order, rule, or 

regulation prohibiting or limiting the discharge of air contaminants into the air. 

In holding such a hearing, the district board shall be vested with all the 

powers and duties of the hearing board. Notice shall be given, and the 

hearing shall be held, pursuant to Chapter 8 (commencing with Section 

40800) of Part 3. 

Section 42450.1. Application of article 

This article applies to any order for abatement issued pursuant to a 

determination made under Section 42301.7. 

Section 42451. Issuance by hearing board; Stipulated orders 

(a) On its own motion, or upon the motion of the district board or the air 

pollution control officer, the hearing board may, after notice and a 

hearing, issue an order for abatement whenever it finds that any person 

is constructing or operating any article, machine, equipment, or other 

contrivance without a permit required by this part, or is in violation of 

Section 41700 or 41701 or of any order, rule, or regulation prohibiting or 

limiting the discharge of air contaminants into the air. 

(b) As an alternative to subdivision (a), the hearing board may issue an 

order for abatement pursuant to the stipulation of the air pollution control 

officer and the person or persons accused of constructing or operating 

any article, machine, equipment, or other contrivance without a permit 

required by this part, or of violating Section 41700 or 41701, or any 

order, rule, or regulation prohibiting or limiting the discharge of air 

contaminants into the air, upon the terms and conditions set forth in the 

stipulation, without making the finding required under subdivision (a). 

The hearing board shall, however, include a written explanation of its 

action in the order for abatement. 
Attachment 1 A1-21 

Section 42452. Form of order 

The order for abatement shall be framed in the manner of a writ of injunction 

requiring the respondent to refrain from a particular act. The order may be 

conditional and require a respondent to refrain from a particular act unless 

certain conditions are met. The order shall not have the effect of permitting a 

variance unless all the conditions for a variance, including limitation of time, 

are met. 

Section 42453. Injunction against violations 

A proceeding for mandatory or prohibitory injunction shall be brought by the 

district in the name of the people of the State of California in the superior 

court of the county in which the violation occurs to enjoin any person to whom 

an order for abatement pursuant to Section 42452 has been directed and who 

violates such order. 

Section 42454. Injunction proceedings 

Proceedings under Section 42453 shall conform to the requirements of 

Chapter 3 (commencing with Section 525), Title 7, Part 2 of the Code of Civil 

Procedure, except that it shall not be necessary to show lack of adequate 

remedy at law or to show irreparable damage or loss. 

If, in any such proceeding, it shall be shown that an order for abatement has 

been made, that it has become final, and that its operation has not been 

stayed, it shall be sufficient proof to warrant the granting of a preliminary 

injunction. 

If, in addition, it shall be shown that the respondent continues, or threatens to 

continue, to violate such order for abatement, it shall be sufficient proof to 

warrant the immediate granting of a temporary restraining order. 
[This page intentionally blank] 
ATTACHMENT 2 

CALIFORNIA GOVERNMENT CODE AND 

CALIFORNIA CODE OF REGULATIONS SECTIONS 

SUBMTTED FOR APPROVAL AS PART OF 

CALIFORNIA’S STATE IMPLEMENTATION PLAN 
[This page intentionally blank] 
Attachment 2 A2-i 

TABLE OF CONTENTS 

Government Code Section 82048 ............................................................................ A2-1 

Government Code Section 87103 ............................................................................ A2-1 

Government Code Section 87302 ............................................................................ A2-2 

California Code of Regulations, Title 2, section 18700. Basic Rule; Guide to 

 Conflict of Interest Regulations ........................................................................... A2-3 

California Code of Regulations, Title 2, section 18701. Public Official, Definitions ... A2-5 
 

[This page intentionally blank] 
Attachment 2 A2-1 

ATTACHMENT 2 

California Government Code and California Code of Regulations Sections 

Submitted for Approval as Part of California’s State Implementation Plan 

Government Code Section 82048. 

(a) “Public official” means every member, officer, employee or consultant of a 

state or local government agency. 

(b) Notwithstanding subdivision (a), “public official” does not include the 

following: 

(1) A judge or court commissioner in the judicial branch of government. 

(2) A member of the Board of Governors and designated employees of the 

State Bar of California. 

(3) A member of the Judicial Council. 

(4) A member of the Commission on Judicial Performance, provided that 

he or she is subject to the provisions of Article 2.5 (commencing with 

Section 6035) of Chapter 4 of Division 3 of the Business and 

Professions Code as provided in Section 6038 of that article. 

(5) A federal officer or employee serving in an official federal capacity on 

a state or local government agency. 

Government Code Section 87103. 

A public official has a financial interest in a decision within the meaning of 

Section 87100 if it is reasonably foreseeable that the decision will have a material 

financial effect, distinguishable from its effect on the public generally, on the 

official, a member of his or her immediate family, or on any of the following: 

(a) Any business entity in which the public official has a direct or indirect 

investment worth two thousand dollars ($2,000) or more. 

(b) Any real property in which the public official has a direct or indirect interest 

worth two thousand dollars ($2,000) or more. 

(c) Any source of income, except gifts or loans by a commercial lending 

institution made in the regular course of business on terms available to the 

public without regard to official status, aggregating five hundred dollars 

($500) or more in value provided or promised to, received by, the public 

official within 12 months prior to the time when the decision is made. 

(d) Any business entity in which the public official is a director, officer, partner, 

trustee, employee, or holds any position of management. 

(e) Any donor of, or any intermediary or agent for a donor of, a gift or gifts 

aggregating two hundred fifty dollars ($250) or more in value provided to, 

received by, or promised to the public official within 12 months prior to the 

time when the decision is made. The amount of the value of gifts specified 

by this subdivision shall be adjusted biennially by the commission to equal 

the same amount determined by the commission pursuant to subdivision (f) 

of Section 89503. 
Attachment 2 A2-2 

For purposes of this section, indirect investment or interest means any 

investment or interest owned by the spouse or dependent child of a public 

official, by an agent on behalf of a public official, or by a business entity or trust 

in which the official, the official’s agents, spouse, and dependent children own 

directly, indirectly, or beneficially a 10-percent interest or greater. 

Government Code Section 87302. 

Each Conflict of Interest Code shall contain the following provisions: 

(a) Specific enumeration of the positions within the agency, other than those 

specified in Section 87200, which involve the making or participation in the 

making of decisions which may foreseeably have a material effect on any 

financial interest and for each such enumerated position, the specific types 

of investments, business positions, interests in real property, and sources of 

income which are reportable. An investment, business position, interest in 

real property, or source of income shall be made reportable by the Conflict 

of Interest Code if the business entity in which the investment or business 

position is held, the interest in real property, or the income or source of 

income may foreseeably be affected materially by any decision made or 

participated in by the designated employee by virtue of his or her position. 

(b) Requirements that each designated employee, other than those specified in 

Section 87200, file statements at times and under circumstances described 

in this section, disclosing reportable investments, business positions, 

interests in real property and income. The information disclosed with respect 

to reportable investments, interests in real property, and income shall be the 

same as the information required by Sections 87206 and 87207. The first 

statement filed under a Conflict of Interest Code by a designated employee 

shall disclose any reportable investments, business positions, interests in 

real property, and income. An initial statement shall be filed by each 

designated employee within 30 days after the effective date of the Conflict 

of Interest Code, disclosing investments, business positions, and interests in 

real property held on the effective date of the Conflict of Interest Code and 

income received during the 12 months before the effective date of the 

Conflict of Interest Code. Thereafter, each new designated employee shall 

file a statement within 30 days after assuming office, or if subject to State 

Senate confirmation, 30 days after being appointed or nominated, disclosing 

investments, business positions, and interests in real property held on, and 

income received during the 12 months before, the date of assuming office or 

the date of being appointed or nominated, respectively. Each designated 

employee shall file an annual statement, at the time specified in the Conflict 

of Interest Code, disclosing reportable investments, business positions, 

interest in real property and income held or received at any time during the 

previous calendar year or since the date the designated employee took 

office if during the calendar year. Every designated employee who leaves 

office shall file, within 30 days of leaving office, a statement disclosing 

reportable investments, business positions, interests in real property, and 
Attachment 2 A2-3 

income held or received at any time during the period between the closing 

date of the last statement required to be filed and the date of leaving office. 

(c) Specific provisions setting forth any circumstances under which designated 

employees or categories of designated employees must disqualify 

themselves from making, participating in the making, or using their official 

position to influence the making of any decision. Disqualification shall be 

required by the Conflict of Interest Code when the designated employee has 

a financial interest as defined in Section 87103, which it is reasonably 

foreseeable may be affected materially by the decision. No designated 

employee shall be required to disqualify himself or herself with respect to 

any matter which could not legally be acted upon or decided without his or 

her participation. 

(d) For any position enumerated pursuant to subdivision (a), an individual who 

resigns the position within 12 months following initial appointment or within 

30 days of the date of a notice mailed by the filing officer of the individual’s 

filing obligation, whichever is earlier, is not deemed to assume or leave 

office, provided that during the period between appointment and resignation, 

the individual does not make, participate in making, or use the position to 

influence any decision of the agency or receive, or become entitled to 

receive, any form of payment by virtue of being appointed to the position. 

Within 30 days of the date of a notice mailed by the filing officer, the 

individual shall do both of the following: 

(1) File a written resignation with the appointing power. 

(2) File a written statement with the filing officer on a form prescribed by 

the commission and signed under the penalty of perjury stating that the 

individual, during the period between appointment and resignation, did 

not make, participate in the making, or use the position to influence 

any decision of the agency or receive, or become entitled to receive, 

any form of payment by virtue of being appointed to the position. 

California Code of Regulations, Title 2, section 18700. Basic Rule; Guide to 

Conflict of Interest Regulations. 

(a) No public official at any level of state or local government may make, 

participate in making or in any way use or attempt to use his/her official 

position to influence a governmental decision in which he/she knows or has 

reason to know he/she has a disqualifying conflict of interest. A public official 

has a conflict of interest if the decision will have a reasonably foreseeable 

material financial effect on one or more of his/her economic interests, unless 

the public official can establish either: (1) that the effect is indistinguishable 

from the effect on the public generally, or (2) a public official's participation is 

legally required. 

(b) To determine whether a given individual has a disqualifying conflict of 

interest under the Political Reform Act, proceed with the following analysis: 
Attachment 2 A2-4 

(1) Determine whether the individual is a public official, within the meaning 

of the Act. (See Government Code section 82048; 2 Cal. Code Regs. 

§ 18701.) If the individual is not a public official, he or she does not 

have a conflict of interest within the meaning of the Political Reform 

Act. 

(2) Determine whether the public official will be making, participating in 

making, or using or attempting to use his/her official position to 

influence a government decision. (See 2 Cal. Code Regs. § 18702.) If 

the public official is not making, participating in making, or using or 

attempting to use his/her official position to influence a government 

decision, then he or she does not have a conflict of interest within the 

meaning of the Political Reform Act. 

(3) Identify the public official's economic interests. (See 2 Cal. Code Regs. 

§ 18703.) 

(4) For each of the public official's economic interests, determine whether 

that interest is directly or indirectly involved in the governmental 

decision which the public official will be making, participating in making, 

or using or attempting to use his/her official position to influence. (See 

2 Cal. Code Regs. § 18704.) 

(5) Determine the applicable materiality standard for each economic 

interest, based upon the degree of involvement determined pursuant 

to California Code of Regulations, title 2, section 18704. (See 2 Cal. 

Code Regs. § 18705.) 

(6) Determine whether it is reasonably foreseeable that the governmental 

decision will have a material financial effect (as defined in California 

Code of Regulations, title 2, section 18705) on each economic interest 

identified pursuant to California Code of Regulations, title 2, section 

18703. (See 2 Cal. Code Regs. § 18706.) If it is not reasonably 

foreseeable that there will be a material financial effect on any of the 

public official's economic interests, he or she does not have a conflict 

of interest within the meaning of the Political Reform Act. If it is 

reasonably foreseeable that there will be a material financial effect on 

any of the public official's economic interests, and the official does not 

participate in the decision, determine whether the official may segment 

the decision into separate decisions to allow his or her participation in 

subsequent decisions. (See 2 Cal. Code Regs. § 18709.) 

(7) Determine if the reasonably foreseeable financial effect is 

distinguishable from the effect on the public generally. If the official can 

establish that the reasonably foreseeable material financial effect on 

his or her economic interest is indistinguishable from the effect on the 

public generally, he or she does not have a conflict of interest within 

the meaning of the Political Reform Act. If the reasonably foreseeable 

material financial effect on the public official's economic interest is 

distinguishable from the effect on the public generally, he or she has a 

conflict of interest within the meaning of the Political Reform Act. (See 

2 Cal. Code Regs. § 18707.) 
Attachment 2 A2-5 

(8) Determine if the public official's participation is legally required despite 

the conflict of interest. If the official can establish that his or her 

participation is legally required, he or she may participate in the 

governmental decision despite the conflict of interest. (See 2 Cal. Code 

Regs. § 18708.) 

California Code of Regulations, Title 2, section 18701. Public Official, 

Definitions. 

(a) For purposes of Government Code section 82048, which defines “public 

official,” and Government Code section 82019, which defines “designated 

employee,” the following definitions apply: 

(1) “Member” shall include, but not be limited to, salaried or unsalaried 

members of committees, boards or commissions with decisionmaking 

authority. 

(A) A committee, board or commission possesses decisionmaking 

authority whenever: 

(i) It may make a final governmental decision; 

(ii) It may compel a governmental decision; or it may prevent a 

governmental decision either by reason of an exclusive 

power to initiate the decision or by reason of a veto that may 

not be overridden; or 

(iii) It makes substantive recommendations that are, and over an 

extended period of time have been, regularly approved 

without significant amendment or modification by another 

public official or governmental agency. 

(B) A committee, board, or commission does not possess 

decisionmaking authority under subsection (a)(1)(A)(i) of this 

regulation if it is formed for the sole purpose of researching a 

topic and preparing a report or recommendation for submission to 

another governmental body that has final decisionmaking 

authority. 

(2) “Consultant” means an individual who, pursuant to a contract with a 

state or local government agency: 

(A) Makes a governmental decision whether to: 

(i) Approve a rate, rule, or regulation; 

(ii) Adopt or enforce a law; 

(iii) Issue, deny, suspend, or revoke any permit, license, 

application, certificate, approval, order, or similar 

authorization or entitlement; 

(iv) Authorize the agency to enter into, modify, or renew a 

contract provided it is the type of contract that requires 

agency approval; 

(v) Grant agency approval to a contract that requires agency 

approval and to which the agency is a party, or to the 

specifications for such a contract; 
Attachment 2 A2-6 

(vi) Grant agency approval to a plan, design, report, study, or 

similar item; 

(vii) Adopt, or grant agency approval of, policies, standards, or 

guidelines for the agency, or for any subdivision thereof; or 

(B) Serves in a staff capacity with the agency and in that capacity 

participates in making a governmental decision as defined in 

regulation 18702.2 or performs the same or substantially all the 

same duties for the agency that would otherwise be performed by 

an individual holding a position specified in the agency's Conflict 

of Interest Code under Government Code section 87302. 

(b) For purposes of Government Code section 87200, the following definitions 

apply: 

(1) “Other public officials who manage public investments” means: 

(A) Members of boards and commissions, including pension and 

retirement boards or commissions, or of committees thereof, who 

exercise responsibility for the management of public investments; 

(B) High-level officers and employees of public agencies who 

exercise primary responsibility for the management of public 

investments, such as chief or principal investment officers or chief 

financial managers. This category shall not include officers and 

employees who work under the supervision of the chief or 

principal investment officers or the chief financial managers; and 

(C) Individuals who, pursuant to a contract with a state or local 

government agency, perform the same or substantially all the 

same functions that would otherwise be performed by the public 

officials described in subdivision (b)(1)(B) above. 

(2) “Public investments” means the investment of public moneys in real 

estate, securities, or other economic interests for the production of 

revenue or other financial return. 

(3) “Public moneys” means all moneys belonging to, received by, or held 

by, the state, or any city, county, town, district, or public agency therein, 

or by an officer thereof acting in his or her official capacity, and 

includes the proceeds of all bonds and other evidences of 

indebtedness, trust funds held by public pension and retirement 

systems, deferred compensation funds held for investment by public 

agencies, and public moneys held by a financial institution under a 

trust indenture to which a public agency is a party. 

(4) “Management of public investments” means the following 

nonministerial functions: directing the investment of public moneys; 

formulating or approving investment policies; approving or establishing 

guidelines for asset allocations; or approving investment transactions. 
ATTACHMENT 3 

2013 ANNUAL MONITORING NETWORK REPORTS 

INCLUDED FOR INFORMATION ONLY 

AND NOT TO BE INCLUDED IN CALIFORNIA’S 

STATE IMPLEMENTATION PLAN
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Attachment 3 A3-i 

TABLE OF CONTENTS 

2013 Annual Network Reports .................................................................................. A3-1 
[This page intentionally blank] 
Attachment 3 A3-1 

ATTACHMENT 3 

2013 ANNUAL MONITORING NETWORK REPORTS 

INCLUDED FOR INFORMATION ONLY AND NOT TO BE INCLUDED IN 

CALIFORNIA’S STATE IMPLEMENTATION PLAN 

2013 Annual Network Reports 

Annually, per federal regulations, the Air Resources Board (ARB) and local air pollution 

control and air quality management districts (local districts or districts) evaluate the 

adequacy of the State monitoring network to meet federal monitoring requirements. A 

more thorough assessment is conducted every five years. These assessments are 

documented in annual monitoring network reports that are generally prepared and 

submitted by the Primary Quality Assurance Organization, or PQAO. The PQAO is the 

umbrella under which monitoring agencies are organized to ensure that monitoring is 

conducted in accordance with a common set of procedures, uses common calibration 

facilities and standards, and is overseen by a single air quality organization. 

Although the majority of California’s districts are included in the ARB PQAO, the Bay 

Area Air Quality Management District, San Diego County Air Pollution Control District, 

and South Coast Air Quality Management District operate as separate individual 

PQAOs. Each of California’s four PQAOs is responsible for its monitoring network and 

reports directly to the United States Environmental Protection Agency (U.S. EPA) on 

monitoring network requirements. The most recent annual monitoring network report for 

each California PQAO is available on the web. In addition, several local districts 

included in the ARB PQAO compile their own annual report. Links to all of these reports 

are included below. All reports have been submitted to U.S. EPA for approval. 

 ARB PQAO: Annual Monitoring Network Report for Twenty-three Districts in 

California (July 2013) 

(http://www.arb.ca.gov/aqd/amnr/amnr2013.pdf) 

 Great Basin Unified Air Pollution Control District: Draft 2013 Annual Air Quality 

Monitoring Network Plan (July 15, 2013) 

(http://gbuapcd.org/Information/2013AQMNP.pdf) 

 Imperial County Air Pollution Control District: Ambient Air Monitoring Annual 

Network Plan (July 2013) 

(http://www.co.imperial.ca.us/airpollution/Forms%20&%20Documents/MONITORING/2013%20FI

NAL%20ANNUAL%20AMNP%20JULY.pdf) 

 Monterey Bay Unified Air Pollution Control District: North Central Coast Air Basin 

California 2013 Annual Monitoring Network Plan (June 30, 2013) 

(http://www.mbuapcd.org/mbuapcd/pdf/AirMonitor/2013_Annual_Network_Planred.pdf) 
Attachment 3 A3-2 

 North Coast Unified Air Quality Management District: Air Monitoring Network 

Plan 2013 

(http://www.ncuaqmd.org/files/Air%20Data/NCUAQMD%20Air%20Monitoring%20Network%20Pl

an%202013.pdf) 

 Sacramento Metropolitan Air Quality Management District: 2013 Annual 

Monitoring Network Plan (July 1, 2013) 

(http://airquality.org/notices/other/2013AnnualMonitoringNetworkPlan.pdf) 

 San Joaquin Valley Air Pollution Control District: Annual Air Monitoring Network 

Plan (July 25, 2013) 

(http://www.valleyair.org/aqinfo/Docs/2013/AnnualAirMonitoringNetworkPlanandAppendicesAthrou

ghH.pdf) 

 San Luis Obispo County Air Pollution Control District: 2013 Ambient Air 

Monitoring Network Plan (May 2013) 

(http://www.slocleanair.org/images/cms/upload/files/2013%20network%20plan.pdf) 

 Santa Barbara County Air Pollution Control District: Annual Air Monitoring 

Network Plan for Santa Barbara County (July 2013) 

(http://www.sbcapcd.org/airdata/sbcapcd-air-monitor-plan-13.pdf) 

 Ventura County Air Pollution Control District: Ambient Air Monitoring Network 

Plan 2013 

(http://www.vcapcd.org/pubs/Monitoring/2013DraftMonitoringNetworkPlan.pdf) 

 Bay Area PQAO: 2012 Air Monitoring Network Plan (July 1, 2013) 

(http://www.baaqmd.gov/~/media/Files/Technical%20Services/2012_Network_Plan.ashx) 

 San Diego PQAO: 2012 Ambient Air Quality Network Plan (July 19, 2013) 

(http://www.sdapcd.org/air/reports/2012_network_plan.pdf) 

 South Coast PQAO: Annual Air Quality Monitoring Network Plan (July 2013) 

(http://www.aqmd.gov/tao/AQ-Reports/AQMonitoringNetworkPlan/AQnetworkplan.htm)