Draft Technical Support Document 

for

EPA's Notice of Proposed Rulemaking 

for the

Hawaii State Implementation Plan: Minor New Source Review Program

Prepared by: Geoffrey L. Glass

Reviewed by: Gerardo Rios

Air Division, Permits Office

United States Environmental Protection Agency, Region IX

San Francisco, California

March 19, 2012

Acronyms and Abbreviations:

CAA Federal Clean Air Act

CO Carbon monoxide

EPA United States Environmental Protection Agency

HDOH Hawaii State Department of Health

NAAQS National Ambient Air Quality Standards

NOx Reactive oxides of nitrogen

NSR New Source Review

PM10 Particulate matter with an aerodynamic diameter less than 10 micrometers

PM2.5 Particulate matter with an aerodynamic diameter less than 2.5 micrometers

PSD Prevention of Significant Deterioration

SIP State Implementation Plan

SO2 Sulfur dioxide

Hawaii Department of Health (HDOH)

Submitted Rules (Revised November 14, 2003 and submitted on December 14, 2011)

Subchapter 1: General Requirements

Rule 11-60.1-1 Definitions*

Rule 11-60.1-2 Prohibition of air pollution*

Rule 11-60.1-3 General conditions for considering applications

Rule 11-60.1-5 Permit conditions

Rule 11-60.1-7 Transfer of permit

Rule 11-60.1-12 Air quality models

Rule 11-60.1-19 Penalties and remedies

Subchapter 5: Covered Sources

Rule 11-60.1-81 Definitions

Rule 11-60.1-82 Applicability

Rule 11-60.1-83 Initial covered source permit application

Rule 11-60.1-84 Duty to supplement or correct permit applications

Rule 11-60.1-91 Temporary covered source permits

Rule 11-60.1-92 Covered source general permits

Rule 11-60.1-93 Federally-enforceable permit terms and conditions

Rule 11-60.1-99 Public participation

Rule 11-60.1-103 Applications for minor modifications

Rule 11-60.1-104 Applications for significant modifications

*Note: Rules 11-60.1-1 and 11-60.1-2 were previously reviewed by EPA and signed by the 

Regional Administrator on February 1, 2012 for inclusion in the Hawaii State Implementation 

Plan (publication in the Federal Register pending.

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Introduction

The rules listed above, which were submitted by HDOH as revisions to their State 

Implementation Plan (SIP) constitute their minor new source review (NSR) permitting program. 

These rules will replace the permitting provisions in Hawaii’s existing SIP which were submitted 

to EPA on November 9, 1982 and published in the Federal Register on August 18, 1983 (48 FR 

37402). The superseded SIP rules are listed here:

Rule 11-60-02 Permit system, applicability

Rule 11-60-03 Permit system, applications

Rule 11-60-04 Permit system, conditions for considering applications

Rule 11-60-05 Permit system, action on application

Rule 11-60-07 Permit system, cancellation of authority to construct

Rule 11-60-08 Permit system, suspension or revocation of permit to operate

Rule 11-60-09 Permit system, transfer of permit to operate

Rule 11-60-11 Permit system, posting of permit to operate

Rule 11-60-12 Permit system, fees

Rule 11-60-13 Permit system, fee schedule for a permit to operate

Rule 11-60-14 Permit system, period of a permit

Rule 11-60-37 Penalties and Remedies

Hawaii’s Permitting Programs

HDOH is the only Clean Air Act (CAA) permitting authority in the State of Hawaii.

Any sources that are not explicitly exempted from permit requirements because of their low 

potential emissions are required to apply for and obtain permits from HDOH prior to 

construction, reconstruction, or modification. The permit serves as both a preconstruction permit 

and an operating permit.

HDOH’s permitting program differentiates between covered and noncovered sources. Covered 

sources include all title V (part 70) major sources, all PSD major sources, all sources subject to a 

standard under Section 111 of the CAA, and all sources subject to a standard pursuant to part 112 

of the CAA, excluding Section 112(r), Prevention of Accidental Releases. 

Noncovered sources include all stationary sources that have been constructed, modified, or 

relocated since March 20, 1972 that are not covered sources.

The submitted rules constitute HDOH’s minor NSR permitting program, where minor means

activities that do not trigger major NSR, such as PSD. Hawaii HDOH has submitted portions of 

their covered source permitting program to satisfy the requirements of the federal minor NSR 
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program because the rules submitted by Hawaii apply to all covered sources and the covered 

sources contribute the majority of stationary source air emissions within the state.1For example, 

according to Hawaii’s 2008 stationary source emissions inventory, covered sources emitted 94% 

of PM10, 95% of PM2.5, 89% of SO2, 97% of CO, 96% of NOx, 80% of VOC and 98% of Lead.

Thus, the submitted rules would apply to all the sources that would be subject to the minor NSR 

program in Hawaii.

HDOH also implements a delegated PSD permitting program based on the requirements of 40 

CFR 52.21.

Rule Summaries

The following are brief descriptions of rules reviewed by EPA staff as a part of this review. 

These descriptions are for informational purposes only and anyone interested in more detail is 

advised to read the rules directly.

Rule # Title Brief Description

11-60.1-1 Definitions Defines terms used the air pollution control rules, including the 

definitions of covered and noncovered sources.

11.60.1-2 Prohibition of air pollution Requires approval in writing from the director before engaging in 

any activity that causes air pollution.

11-60.1-3 General conditions for 

considering applications

Sets general criteria for approval of applications for noncovered or 

covered source permits. 

11-60.1-5 Permit conditions Under certain circumstances, allows the director to set more 

stringent conditions of approval than would otherwise be required.

11-60.1-7 Transfer of permit Forbids transfer of permits between pieces of equipment or 

between persons without prior approval.

11-60.1-12 Air quality models Requires dispersion modeling to be performed in accordance with 

40 CFR part 51, appendix W unless prior approval is granted.

11-60.1-19 Penalties and remedies Incorporates penalties and remedies from Hawaii Revised Statutes

11-60.1-81 Definitions Defines terms in the covered source permit section

11-60.1-82 Applicability Requires covered sources to obtain covered source permits unless 

they meet one of the listed exemptions

11-60.1-83 Initial covered source permit 

application

Sets requirements for a covered source permit application and 

procedures for processing the application

11-60.1-84 Duty to supplement or 

correct permit applications

Requires applicants to correct errors or supply additional 

information if needed

11-60.1-91 Temporary covered source 

permits

Sets criteria for permitting covered sources that can operate at 

multiple locations

11-60.1-92 Covered source general 

permits

Allows the director to establish general permits for similar 

nonmajor covered sources

11-60.1-93 Federally-enforceable permit 

terms and conditions

Conditions in covered source permits are federally enforceable 

unless otherwise specified

11-60.1-99 Public participation Establishes procedures for public noticing covered source permits 

and accepting comments 

11-60.1-103 Applications for minor 

modifications

Establishes procedures for submitting and processing applications 

for minor modifications of covered source permits 

 

1 Letter from HDOH to EPA Region 9, dated March 13, 2012, Re: Adequacy of Minor Source Review
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Rule # Title Brief Description

11-60.1-104 Applications for significant 

modifications

Establishes procedures for submitting and processing applications 

for significant modifications of covered source permits

Regulatory Analysis

Part A of title I of the CAA requires states to include in their SIPs permit programs that regulate 

the construction and modification of stationary sources adequate to ensure that the NAAQS are 

achieved. (See CAA § 110(a)(2)(C)). This is the legal basis for the NSR permitting program.

Part C of title I of the CAA (Part C) adds additional NSR requirements that apply to major 

stationary sources located in areas that are classified as attainment or unclassifiable of the 

NAAQS. This program is known as the PSD permitting program. Part D of title I of the CAA 

(Part D) adds additional NSR requirements to major stationary sources of non-attainment 

pollutants for sources proposing to locate within areas that are classified as nonattainment (i.e. 

nonattainment NSR). Hawaii implements the PSD program through a delegation agreement with 

EPA. As there are no nonattainment areas in Hawaii, the state does not need to implement part 

D. This submittal only pertains to the minor source permit program, and therefore we are not 

evaluating the submittal under Part C of the CAA.

The criteria that EPA uses to evaluate NSR programs included in a SIP submittal can be found in 

subpart I of 40 CFR 51: Review of New Sources and Modifications. Because Hawaii’s SIP 

submittal is only meant to satisfy the requirements of minor NSR, EPA Staff compared the 

submitted rules with subpart I, excluding 40 CFR 51.165 and 51.166, which relate to review and 

permitting of new major sources and major modifications under Parts C and D. 

In addition, SIP rules must be enforceable (see section 110(a) of the CAA) and must not relax 

existing requirements (see section 110(l)).

Below is our comparison of the federal regulatory requirements and the rules submitted by the 

State of Hawaii to comply with the applicable CAA requirements.

1. 40 CFR 51.160 – Legally enforceable procedures

(a) Each plan must set forth legally enforceable procedures that enable the State or local agency 

to determine whether the construction or modification of a facility, building, structure or 

installation or combination of these will result in (1) a violation of applicable portions of the 

control strategy; or (2) interference with attainment or maintenance of a national standard in the 

state in which the proposed source (or modification) is located or in a neighboring State.

The State of Hawaii submitted the following rules to comply with this requirement.

Rules 11-60.1-83(a)(11)&(12) require applicants for covered source permits for new 

construction and modifications to existing sources to provide an assessment of the 

ambient air quality impact of the source including a comparison with the NAAQS.
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Rule 11-60.1-83(a)(4) requires applicants for covered source permits to provide the 

maximum emission rates of all regulated and hazardous air pollutants in such terms 

necessary to establish compliance consistent with the applicable requirements and 

standard reference test methods.

Rule 11-60.1-83(a)(7) requires applicants for covered source permits to cite all applicable 

requirements in the application and describe test methods to demonstrate compliance.

Upon review, EPA agrees that these rules satisfy the requirements under 40 CFR 51.160(a). 

(b) Such procedures must include means by which the State or local agency responsible for final 

decision-making on the application for approval to construct or modify will prevent such 

construction or modification if (1) it will result in a violation of applicable portions of the control 

strategy; or (2) it will interfere with the attainment or maintenance of a national standard.

The State of Hawaii submitted the following rule to comply with this requirement.

Rule 11-60.1-83(h) allows the director to approve a covered source permit application 

only if the director determines that construction or operation of the source, or significant 

modification, will be in compliance with all applicable requirements including the 

NAAQS.

Upon review, EPA agrees that this rule satisfies the requirements under 40 CFR 51.160(b). 

(c) The procedures must provide for the submission, by the owner of operator of the building, 

facility, structure, or installation to be constructed or modified, of such information on (1) the 

nature and amounts of emissions to be emitted by it or emitted by associated mobile sources; (2) 

the location, design, construction, and operation of such facility, building, structure, or 

installation as may be necessary to permit the State or local agency to make the determination 

referred to in paragraph (a) of this section.

The State of Hawaii submitted the following rules to comply with this requirement.

Rules 11-60.1-83(a)(2)&(4) require applicants for covered source permits to submit 

descriptions of the nature, location, design capacity, production capacity, production 

rates, fuels, fuel use, raw materials, and typical operating schedules and capacities to the 

extent needed to determine or regulate emissions and calculations of emission rates in 

pounds per hour, tons per year, and other terms as needed.

Rule 11-60.1-83(a)(9) requires applicants for covered source permits to supply all 

assumptions and calculations used to prepare the application.

Upon review, EPA agrees that these rules satisfy the requirements under 40 CFR 51.160(c). 
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(d) The procedures must provide that approval of any construction or modification must not 

affect the responsibility on the owner or operator to comply with applicable portions of the 

control strategy.

The State of Hawaii submitted the following rule to comply with this requirement.

Rule 11-60.1-2, which was reviewed as part of a separate SIP modification2, states 

explicitly that written approval from the director to engage in any activity that causes air 

pollution does not release the person from the responsibility to comply with other 

statutes, laws, regulations, or ordinances.

Upon review, EPA agrees that this rule satisfied the requirements under 40 CFR 51.160(d). 

(e) The procedures must identify types and sizes of facilities, buildings, structures, or 

installations which will be subject to review under this section. The plan must discuss the basis 

for determining which facilities will be subject to review.

The State of Hawaii submitted the following rules to comply with this requirement.

Rule 11-60.1-1, which was reviewed as part of a separate SIP modification3, contains the 

definition of a covered source. Rule 11-60.1-82(a) requires all covered sources to obtain 

a covered source permit before commencing construction, reconstruction, or 

modification, unless the source is exempt as provided in subsection (d), (e), and (k) of 

Rule 11-60.1-82.

HDOH has provided information demonstrating that emissions from sources subject to 

the covered source program represent between 80 and 98 percent of criteria pollutants 

emitted from all regulated stationary sources and therefore the covered source program 

provides an adequate program to ensure new and modified sources will not interfere with 

continued compliance with the NAAQS.

4

In 2008, for example, HDOH reports that covered sources, in relation to all regulated 

stationary sources, emitted 80 percent of VOC, 89 percent of SO2, 94 percent of PM10, 

and at least 95 percent of CO, lead, NOx, and PM2.5. 

Thus, given the additional information supplemented by the State of Hawaii, EPA agrees that 

these rules satisfy the requirements under 40 CFR 51.160(e).

(f) The procedures must discuss the air quality data and the dispersion or other air quality 

modeling used to meet the requirements of this subpart. (1) All applications of air quality 

modeling involved in this subpart shall be based on the applicable models, data bases, and other 

 

2

Signed by the Regional Administrator on February 1, 2012 and pending publication in the Federal Register 

3

Signed by the Regional Administrator on February 1, 2012 and pending publication in the Federal Register

4 Letter from HDOH to EPA Region 9 dated March 13, 2012, Re: Adequacy of Minor Source Review
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requirements specified in appendix W of this part (Guidelines on Air Quality Models). (2) Where 

an air quality model specified in appendix W of this part (Guideline on Air Quality Models) is 

inappropriate, the model may be modified or another model substituted. Such a modification or 

substitution of a model may be made on a case-by-case basis or, where appropriate, on a generic 

basis for a specific State program. Written approval of the EPA must be obtained for any 

modification or substitution. In addition, use of a modified or substituted model must be subject 

to notice and opportunity for public comment under procedures set forth in 40 CFR 51.102.

The State of Hawaii submitted the following rule to comply with this requirement.

Rule 11-60.1-12 requires estimates of ambient concentrations to be based on the models, 

databases, and other requirements specified in 40 CFR part 51, appendix W unless 

written approval is obtained from the director, in which case the director will provide for 

public notice and opportunity for public comment. Written approval from EPA is also 

required if an alternate or substitute model is used. 

Upon review, EPA agrees that this rule satisfies the requirements under 40 CFR 51.160(f).

2. 40 CFR 51.161 – Public availability of information

(a) The legally enforceable procedures in 40 CFR 51.160 must also require the State or local 

agency to provide opportunity for public comment on information submitted by owners and 

operators. The public information must include the agency’s analysis of the effect of construction 

or modification on ambient air quality, including the agency’s proposed approval or disapproval.

The State of Hawaii submitted the following rules to comply with this requirement.

Rule 11-60.1-99(a) requires the director to provide all draft covered source permits

except for administrative amendments and minor modifications for public notice, the 

opportunity for public comment, and the opportunity to request a public hearing.

The term administrative amendment is defined in Rule 11-60.1-1 and only refers to 

permit changes with negligible or no change in emissions.

The term minor modification is defined in Rule 11-60.1-80 and refers to a change in a 

covered source permit that: does not result in an increase in emissions above the permit 

limits or results in an increase in emissions of less than 5 tons per year of carbon 

monoxide or less than 2 tons per year of any other criteria pollutant provided there is no 

pollutant specific limit in the permit and otherwise meets the criteria for a minor permit 

modification in 40 CFR 70.7(e)(2).

We asked HDOH to provide further clarification regarding how minor modification 

determinations are performed to ensure appropriate public noticing procedures are being 

followed.
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In summary, all major sources use an actual to potential to emit (PTE) or projected actual 

test, consistent with 40 CFR 52.21. If the project will result in a major modification, then 

a 30 day public notice, consistent with 40 CFR 52.21is required. If the project is not a 

major modification, then a PTE to PTE test is used to determine if project will result in a 

“minor modification”, as defined in HAR § 11-60.1-81. If the project cannot be 

classified as a minor mod, then a 30 day public notice period is required. 

For sources with a pollutant specific emission limit, to qualify as a minor modification, 

the project must not result in an emission increase above the permitted emission limit. 

For sources without a pollutant specific emission limit, to qualify as a minor 

modification, the project must not result in an emission increase above any of these 

specified levels, on a PTE to PTE basis: 

- 500 lbs/yr of each HAP;

- 25% of each pollutant level defined in paragraph (1) in the definition of 

significant;

- 5 tpy of CO; and

- 2 tpy of any regulated air pollutants

For minor sources HDOH has significant flexibility to tailor their minor source permit 

program and EPA finds the minor source public notice thresholds in the submitted rules 

to be acceptable. However, at major sources the public notice applicability test for 

projects that do not trigger PSD review should be based on an actual to potential basis to 

determine if the project will result in an emission increase sufficiently large enough to 

trigger public notice requirements. 

HDOH has committed to use an actual to PTE or projected actual test to determine if a 

project located at a major source constitutes a significant modification (i.e. is not a minor 

modification) and is therefore subject to public notice requirements. HDOH will use a

“50% of each pollutant level defined in paragraph (1) in the definition of significant” to 

determine if the project results in a minor modification. In addition, HDOH commits to

using this methodology until they can revise their current regulations to clarify the 

methods to be used for determining if emission increases at major sources result in 

significant revisions and therefore require public notice.5

Upon review, EPA agrees that these rules and procedures satisfy the requirements under 40 CFR 

51.161(a).

 

5 Letter from HDOH to EPA Region 9, dated March 13, 2012, Re: Public Noticing and Permit Modification 

Procedures
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(b) For the purposes of paragraph (a) of this section, opportunity for public comment shall 

include, as a minimum, (1) Availability for public inspection in at least one location in the area 

affected of the information submitted by the owner or operator and of the State or local agency’s 

analysis of the effect on air quality; (2) A 30-day period for submittal of public comment; and (3) 

A notice by prominent advertisement in the area affected of the location of the source 

information and analysis specified in paragraph (b)(1) of this section. 

The State of Hawaii submitted the following rule to comply with this requirement

Rule 11-60.1-99 requires a public review period of at least 30 days and availability of the 

required information to evaluate the department’s action, including the application 

(except confidential business information) and the department’s analysis. Notification of 

the department’s proposed action must be made in a prominent newspaper in the county 

affected by the proposed action, to persons on a mailing list developed by the director, 

and other means, as necessary.

Upon review, EPA agrees that this rule satisfies the requirements under 40 CFR 51.161(b).

(c) Where the 30-day comment period required in paragraph (b) of this section would conflict 

with existing requirements for acting on requests for permission to construct or modify, the State 

may submit for approval a comment period which is consistent with such existing requirements.

The State of Hawaii did not identify any conflicts. Therefore the provisions under 40 CFR 

51.161(c) are not applicable.

(d) A copy of the notice required by paragraph (b) of this section must also be sent to the EPA 

through the appropriate Regional Office, and to all other State and local air pollution control 

agencies having jurisdiction in the region in which such new or modified installation will be 

located. The notice also must be sent to any other agency in the region having responsibility for 

implementing the procedures required under this subpart. For lead, a copy of the notice is 

required for all point sources. The definition of point source for lead is given in 40 CFR 

51.100(k)(2).

Because of its location in the middle of the Pacific Ocean, there are no affected states in the 

vicinity of Hawaii, nor are there any other CAA permitting authorities in Hawaii.

3. 40 CFR 51.162 – Identification of responsible agency

Each plan must identify the State or local agency which will be responsible for meeting the 

requirements of this subpart in each area of the State. Where such responsibility rests with an 

agency other than an air pollution control agency, such agency will consult with the appropriate 

State or local air pollution control agency in carrying out the provisions of this subpart.

HDOH is the only CAA permitting authority in the State of Hawaii. HDOH is not proposing to 

delegate this authority. Therefore this requirement under 40 CFR 51.162 is met.
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4. 40 CFR 51.163 – Administrative procedures

The plan must include the administrative procedures, which will be followed in making the 

determination specified in paragraph (a) of 40 CFR 51.160.

The State of Hawaii submitted the following rule to comply with this requirement.

Rules 11-60.1-83(b)-(k) describe the procedures for acting upon and making a decision 

when an application for a covered source permit is received. This includes determination 

of application completeness through approval, denial, or conditional approval.

Upon review, EPA agrees that this rule satisfies the requirements under 40 CFR 51.163.

5. 40 CFR 51.164 – Stack height procedures

Such procedures must provide that the degree of emission limitation required of any source for 

control of any air pollutant must not be affected by so much of any source’s stack height that 

exceeds good engineering practice or by any other dispersion technique, except as provided in 40 

CFR 51.118(b). Such procedures must provide that before a State issues a permit to a source 

based on a good engineering practice stack height that exceeds the height allowed by 40 CFR 

51.100(ii)(1) or (2), the State must notify the public of the availability of the demonstration study 

and must provide opportunity for public hearing on it. This section does not require such 

procedures to restrict in any manner the actual stack height of any source.

The State of Hawaii submitted the following rules to comply with this requirement.

Rule 11-60.1-83(a)(5) requires applicants for covered source permits to supply stack 

parameters and stack height limitations developed pursuant to Section 123 of the CAA.

Rule 11-60.1-12 requires estimates of ambient concentrations to be based on the guidance 

in 40 CFR part 51, appendix W, which includes provisions related to good engineering 

practice stack height. Deviation from the modeling procedures in appendix W, which 

requires written approval from the director and EPA, triggers a mandatory public 

comment period.

Upon review, EPA agrees that these rules and procedures satisfy the requirements under 40 CFR 

51.164.

6. Enforceability of SIP Rules

Section 110(a)(2)(A) of the CAA requires SIP rules to be enforceable. Rule 11-60.1-19 specifies 

that any person who violates any provision of chapter 60 or any term or provision of a permit 

shall be subject to the penalties and remedies provided for in the Hawaii Revised Statutes.

Furthermore, the rule revisions do nothing to change Hawaii’s existing authority or capability to 

continue as the State’s minor NSR permitting authority.
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7. SIP Relaxation

Section 110(l) of the CAA states that the Administrator shall not approve any SIP revision that 

would interfere with any applicable requirement concerning attainment or incremental progress 

toward attainment of the NAAQS. EPA staff has reviewed the rules in the SIP submittal in 

comparison to the existing 1983 SIP rules and there are not changes expected to affect Hawaii’s 

attainment status.

Staff Recommendation

Based on the Regulatory Analysis above, EPA staff recommends approval of HDOH’s 

December 14, 2011 SIP submittal. These rules will replace the cited existing SIP rules in their 

entirety.

References

1. Submitted Hawaii Administrative Rules Title 11, Chapter 60.1 Air Pollution Control, 

revised on November 14, 2003 and submitted on December 14, 2011.

2. Applicable SIP Rules revised on November 29, 1982 and approved into the SIP on 

August 18, 1983, 48 FR 37402.

3. 40 CFR 51, appendix I – Review of New Sources and Modifications

4. Letter from HDOH to EPA Region 9 dated March 13, 2012, Re: Adequacy of Minor 

Source Review 

5. Letter from HDOH to EPA Region 9, dated March 13, 2012, Re: Public Noticing and 

Permit Modification Procedures