CALIFORNIA AIR RESOURCES BOARD

SIP COMPLETENESS CHECKLIST

(Electronic Format)

*** TO BE COMPLETED BY DISTRICT AND RETURNED TO ARB ***

All rules submitted to the EPA as State Implementation Plan (SIP) revisions must be supported by certain information and

documentation for the rule packages to be deemed complete for review by the EPA. Rules will not be evaluated for

approvability by the EPA unless the submittal packages are complete. To assist you in determining that all necessary

materials are included in rules packages sent to the ARB for submittal to the EPA, please fill out the following form and

include it with the rule package you send ARB. See the ARB's Guidelines on the Implementation of the 40 CFR 51,

Appendix V, for a more detailed explanation than is provided here. Adopted rules and rule amendments should be checked

against U.S. EPA's Guidance Document for Correcting Common VOC & Other Rule Deficiencies (Little Blue Book, August

21, 2001) to ensure that they contain no elements which will result in disapproval by EPA.

District: Yolo-Solano Rule No: 3.21 Date Adopted or Amended: 12/10/2008 

Rule Title: Rice Straw Emission Reduction Credits

ADMINISTRATIVE MATERIALS

Note: All documents should be in electronic format. Items that have signatures, initials, or stamps may be scanned.

Not

Attached Attached N/A

(X) ( ) ( ) COMPLETE COPY OF THE RULE: Provide an unmarked copy of the entire

rule as adopted or amended by your District Board.

( ) ( ) (X) UNDERLINE AND STRIKEOUT COPY OF THE RULE: If an amended rule,

provide a complete copy of the rule indicating in underline and strikeout

format all language which has been added, deleted, or changed since the rule

was last adopted or amended.

( ) ( ) (X) COMPLETE COPY OF THE REFERENCED RULE(S): For any rule which

includes language specifically referencing another rule, a copy of that other

rule must also be submitted, unless it has already been submitted to EPA as

part of a previous SIP submittal.

(X) ( ) ( ) PUBLIC NOTICE EVIDENCE: Include a copy of the local newspaper clipping

certification(s), stating the date of publication, which must be at least 30 days

before the hearing. As an alternative, include a copy of the actual published

notice of the public hearing as it appeared in the local newspaper(s). In this

case, however, enough of the newspaper page must be included to show the

date of publication. The notice must specifically identify by title and number

each rule adopted or amended.

(X) ( ) ( ) RESOLUTION/MINUTE ORDER: Provide the Board Clerk certified resolution

or minute order. This document must include certification that the hearing

was held in accordance with the information in the public notice. It must also

list the rules that were adopted or amended, the date of the public hearing,

and a statement of compliance with California Health and Safety Code

Sections 40725-40728 (Administrative Procedures Act).

(X) ( ) ( ) PUBLIC COMMENTS AND RESPONSES: Submit copies of writtenpublic

comments made during the notice period and at the public hearing. Also

submit any written responses prepared by the District staff or presented to

the District Board at the public hearing. A summary of the public

comments and responses is adequate. If there were no comments made

during the notice period or at the hearing, please indicate N/A to the left.
CALIFORNIA AIR RESOURCES BOARD

SIP COMPLETENESS CHECKLIST

(Electronic Format)

TECHNICAL MATERIALS

Not

Attached Attached N/A

(X) ( ) ( ) RULE EVALUATION FORM: See instructions for completing the Rule

Evaluation Form and the accompanying sample form.

( ) ( ) (X) NON-EPA TEST METHODS: Attach all test methods that are referenced in

your rule that do not appear in 40 CFR 51, 60, 61, 63, or have not been

previously submitted to EPA. EPA methods used in other media such as

SW846 for solid waste are not automatically approved for air pollution

applications. Submittal of test methods that are not EPA-approved should

include the information and follow the procedure described in Region 9’s “Test

Method Review & Evaluation Process.”

( ) ( ) (X) MODELING SUPPORT: Provide if appropriate. In general, modeling support

is not required for VOC and NOx rules to determine their impacts on ozone

levels. Modeling is required where a rule is a relaxation that affects large

sources (> 100 TPY) in an attainment area for SO2, directly emitted PM10,

CO, or NOx (for NO2 purposes). In cases where EPA is concerned with the

impact on air quality of rule revisions which relax limits or cause a shift in

emission patterns in a nonattainment area, a reference back to the approved

SIP will be sufficient provided the approved SIP accounts for the relaxation

and provided the approved SIP used the current EPA modeling guidelines.

If current EPA modeling guidelines were not used, then new modeling may be

required.

( ) ( ) (X) ECONOMIC AND TECHNICAL JUSTIFICATION FOR DEVIATIONS FROM

EPA POLICIES: The District staff report or other information included with the

submittal should discuss all potential relaxations or deviations from RACT,

RACM, BACT, BACM, enforceability, attainment, RFP, or other relevant EPA

requirements. This includes, for example, demonstrating that exemptions or

emission limits less stringent than the presumptive RACT (e.g., a CTG) meet

EPA’s 5 percent policy, and demonstrating that all source categories

exempted from a RACM/BACM rule are de minimus according to EPA’s

RACM/BACM policy.

() ( ) (X ) ADDITIONAL MATERIALS: Provide District staff reports and any other

supporting information concerning development of the rule or rule

changes. This information should explain the basis for all limits and

thresholds contained in the rule.
CALIFORNIA AIR RESOURCES BOARD

APCD/AQMD RULE EVALUATION FORM – Page 1

(Electronic Format)

I. GENERAL INFORMATION

District: Yolo-Solano Air Quality Management District 

Rule No(s): 3.21 Date Adopted/Amended/Rescinded: December 10, 2008 

Title(s): Rice Straw Emission Reduction Credits 

Date Submitted to ARB: 12/10/2008 

If Amended Rule(s), Date Last Amended or Adopted: 

Is the Rule Intended to be sent to U.S. EPA as a SIP Revision? Yes (X) No ( ) (If No, do not complete remainder of

form)

District Contact: Paul Hensleigh Phone Number: (530) 757-3665 e-mail Address: phensleigh@aol.com 

Narrative Summary of New Rule or Rule Changes: New Rule (X) Amended Rule ( ) 

 This rule establishes procedures which ensure federal recognition of the banking of Emission Reduction Credits (ERCs)

resulting from the permanent reduction of open field burning of rice straw.

Pollutant(s) Regulated by the Rule (Check): ROG (X ) NOx (X ) SO2 (X )

CO (X ) PM (X ) TAC ( ) (name): 

II. EFFECT ON EMISSIONS

Complete this section ONLY for rules that, when implemented, will result in quantifiable changes in emissions. Attach

reference(s) for emission factor(s) and other information. Attach calculation sheet showing how the emission information

provided below was determined.

Net Effect on Emissions: Increase ( ) Decrease ( ) N/A (X)

Emission Reduction Commitment in SIP for this Source Category: 

Inventory Year Used to Calculate Changes in Emissions: Area Affected: 

Future Year Control Profile Estimate (Provide information on as many years as possible): 
CALIFORNIA AIR RESOURCES BOARD

APCD/AQMD RULE EVALUATION FORM - Page 2

(Electronic Format)

Baseline Inventory in the SIP for the Control Measure: 

Emissions Reduction Commitment in the SIP for the Control Measure: 

Revised Baseline Inventory (if any): 

Revised Emission Reduction Estimate (if developed): 

Note that the District’s input to the Rule Evaluation Form will not be used as input to the ARB’s emission forecasting and

planning.

III. SOURCES/ATTAINMENT STATUS

District is: Attainment (X* ) Nonattainment (X* ) Split ( ) *Depending on pollutant

Approximate Total Number of Small (<100 TPY) Sources Affected by this Amendment: 10 

Percent in Nonattainment Area: %

Number of Large (> 100 TPY) Sources Controlled: 0 Percent in Nonattainment Area: %

Name(s) and Location(s) (city and county) of Large (> 100 TPY) Sources Controlled by Rule (Attach additional sheets as

necessary): 

IV. EMISSION REDUCTION TECHNOLOGY

Does the Rule Include Emission Limits that are Continuous? Yes ( ) No ( )

If Yes, Those Limits are in Section(s) of the Rule.

Other Methods in the Rule for Achieving Emission Reductions are: 

V. OTHER REQUIREMENTS

The Rule Contains:

Emission Limits in Section(s): W ork Practice Standards in Section(s): 

Recordkeeping Requirements in Section(s): 500 Reporting Requirements in Section(s): 
CALIFORNIA AIR RESOURCES BOARD

APCD/AQMD RULE EVALUATION FORM - Page 3

(Electronic Format)

VI. IMPACT ON AIR QUALITY PLAN

No Impact (X ) Impacts RFP ( ) Impacts attainment ( )

Discussion: 
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Adopted December 10, 2008 Reg. III, Rule 3.21, Page 1

RULE 3.21 RICE STRAW EMISSION REDUCTION CREDITS

ADOPTED December 10, 2008

INDEX

100 GENERAL

101 PURPOSE

102 APPLICABILITY

200 DEFINITIONS

201 AGRICULTURAL BURNING

202 AGRICULTURAL BURN PERMIT

203 AGRICULTURAL OPERATION

204 AIR POLLUTION CONTROL OFFICER (APCO)

205 APPLICANT

206 APPLICANT DESIGNEE

207 BANKING

208 BASELINE PERIOD

209 CERTIFIED

210 EMISSION REDUCTION CREDITS (ERCs)

211 HISTORIC BURN FRACTION (HBF)

212 NEW APPLICATION

213 PARCEL

214 RE-CERTIFICATION APPLICATION

215 REGISTER

216 RESTRICTED BURN LIST

217 RICE STRAW BURNING 

218 RICE STRAW BURNING EMISSION REDUCTIONS

219 RICE GROWING ACREAGE

220 SURPLUS

300 STANDARDS

301 DETERMINATION IF A PARCEL IS ELIGIBLE

302 DETERMINATION OF AVAILABLE ACREAGE

303 DETERMINATION OF ANNUAL EMISSION REDUCTIONS AVAILABLE

304 DETERMINATION OF QUARTERLY EMISSION REDUCTIONS AVAILABLE

305 PRIORITY RESERVE ADJUSTMENT

306 DEED RESTRICTION

307 RESTRICTED BURN LIST

308 BURNING PROHIBITION
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Adopted December 10, 2008 Reg. III, Rule 3.21, Page 2

400 ADMINISTRATIVE REQUIREMENTS

401 APPLICATION FILING DEADLINE

402 APPLICATION REQUIREMENTS - NEW APPLICATIONS

403 APPLICATION REQUIREMENTS - RE-CERTIFICATION APPLICATIONS

404 AVAILABLE ACREAGE ADJUSTMENT

405 APPLICATION PROCESSING PROCEDURES

406 VIOLATIONS

500 MONITORING AND RECORDS

501 BURN RECORDS

600 PROGRAM EVALUATION
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Adopted December 10, 2008 Reg. III, Rule 3.21, Page 3

100 GENERAL

101 PURPOSE: The purpose of this Rule is to provide a federally recognized procedure

for quantifying and certifying rice straw burning emission reductions, and issuing the

resulting Emission Reduction Credit (ERC) certificates.

This rule provides the only process by which ERC certificates issued for reductions

in rice straw burning may be stored for later use to meet federal new source review

offset requirements. Once issued in accordance with this rule, the procedures in Rule

3.5 EMISSION REDUCTION CREDITS shall be used as the administrative

mechanism for sources to transfer ERCs to other sources for use as offsets.

102 APPLICABILITY: The provisions of this Rule shall apply to any agricultural

operation that grew rice and burned rice straw in the District during the baseline

period.

200 DEFINITIONS: Unless otherwise defined below, the terms used in this Rule are the same

as defined in District Rule 3.5, EMISSION REDUCTION CREDITS, Rule 3.4, NEW

SOURCE REVIEW, or Rule 1.1, GENERAL PROVISIONS, in that order of priority.

201 AGRICULTURAL BURNING: Open outdoor fires used in the growing of crops.

For the purpose of this Rule, agricultural burning is considered to be a source and

such activity requires an agricultural burn permit.

202 AGRICULTURAL BURN PERMIT: A permit issued by the District, which is

required in order to conduct an agricultural burn.

203 AGRICULTURAL OPERATION: Equipment used exclusively in the growing of

agricultural crops or in the commercial raising of fowl or animals.

204 AIR POLLUTION CONTROL OFFICER (APCO): The Air Pollution Control

Officer of the Yolo-Solano Air Quality Management District (District), or his or her

designee.

205 APPLICANT: For a new application, the owner (or his/her designee) of the parcel.

For a re-certification application, the current owner (or his/her designee) of an

existing rice straw burning ERC.

206 APPLICANT DESIGNEE: The person, company, or entity submitting an

application on behalf of the applicant. Such designee shall provide written

authorization signed by the applicant to serve as the designee.

207 BANKING: The system of quantifying, certifying, recording, and storing ERCs for

future use and transfer. This system shall be called the ERC Bank.
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Adopted December 10, 2008 Reg. III, Rule 3.21, Page 4

208 BASELINE PERIOD: Calendar years 1988 through 1992.

209 CERTIFIED: ERCs which have been evaluated under the requirements of this Rule

and other applicable District, State, and Federal Rules and Regulations and which

have been granted by the APCO.

210 EMISSION REDUCTION CREDITS (ERCs): Reductions of actual emissions that

are registered with the District in accordance with the requirements of Rule 3.5,

EMISSION REDUCTION CREDITS.

211 HISTORIC BURN FRACTION (HBF): The amount of rice (as a percentage of the

amount planted) which was burned during the baseline period, equal to 96%.

212 NEW APPLICATION: An application submitted in accordance with this rule for

which the District has not already issued an ERC for reductions in rice straw burning

for a parcel(s) prior to adoption of this Rule.

213 PARCEL: A legally identifiable piece of land as registered with a County

Assessor’s office for property tax purposes and assigned an Assessors Parcel Number

(APN).

214 RE-CERTIFICATION APPLICATION: An application submitted in accordance

with this rule for which the District has previously issued an ERC for reductions in

rice straw burning for a parcel(s) prior to adoption of this Rule.

215 REGISTER: The document that records all ERC deposits, withdrawals, transfers,

and transactions.

216 RESTRICTED BURN LIST: A list (maintained by the District) of parcels which

have restrictions related to future agricultural burning.

217 RICE STRAW BURNING: The intentional open burning of rice straw material.

For the purpose of this Rule, rice straw burning is considered to be a source and such

activity requires an agricultural burn permit.

218 RICE STRAW BURNING EMISSION REDUCTIONS: Emission reductions that

qualify for banking pursuant to Section 41865 of the California Health and Safety

Code.

219 RICE GROWING ACREAGE: The amount of acreage contained in a parcel that

was used for the production of rice during the baseline period.

220 SURPLUS: The amount of emission reductions that are, at the time of generation

of an ERC, not otherwise required by federal, state, or local law, not required by any

legal settlement or consent decree, and not relied upon to meet any requirement
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Adopted December 10, 2008 Reg. III, Rule 3.21, Page 5

related to the California State Implementation Plan (SIP). However, emission

reductions required by a state statute that provides that the subject emission

reductions shall be considered surplus may be considered surplus for purposes of this

Rule if those reductions meet all other requirements of this Section. Examples of

federal, state, and local laws, and of SIP-related requirements, include, but are not

limited to, the following:

220.1 The federally-approved California SIP;

220.2 Other adopted State air quality laws and regulations not in the SIP, including

but not limited to, any requirement, regulation, or measure that: (1) the

District or the State has included on a legally-required and publicly-available

list of measures that are scheduled for adoption by the District or the State in

the future; or (2) is the subject of a public notice distributed by the District

or the State regarding an intent to adopt such revision;

220.3 Any other source- or source-category specific regulatory or permitting

requirement, including, but not limited to, Reasonable Available Control

Technology (RACT), New Source Performance Standards (NSPS), National

Emission Standards for Hazardous Air Pollutants (NESHAP), Best Available

Control Measures (BACM), Best Available Control Technology (BACT),

and the Lowest Achievable Emission Rate (LAER); and

220.4 Any regulation or supporting documentation that is required by the federal

Clean Air Act but is not contained or referenced in 40 Code of Federal

Regulations (CFR) Part 52, including but not limited to: assumptions used in

attainment and maintenance demonstrations (including Reasonable Further

Progress demonstrations and milestone demonstrations), including any

proposed control measure identified as potentially contributing to an

enforceable near-term emissions reduction commitment; assumptions used

in conformity demonstrations; and assumptions used in emissions

inventories.

300 STANDARDS

301 DETERMINATION IF A PARCEL IS ELIGIBLE: A particular parcel qualifies

to generate ERCs under this rule if the following requirements are met:

301.1 The parcel is located in the Sacramento Federal Non-attainment Area

(SFNA); and

301.2 Rice straw burning occurred on the parcel during the baseline period.

302 DETERMINATION OF AVAILABLE ACREAGE: The available acreage for

generating ERCs shall be determined by adding all of the rice growing acreage of an
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Adopted December 10, 2008 Reg. III, Rule 3.21, Page 6

applicant’s eligible parcels and multiplying by the HBF. In no case shall the total

available acreage for the entire District exceed 28,279 acres. In the event that the

District receives applications for which the total available acreage exceeds 28,279

acres, the District shall lower the amount of available acreage for each application

in accordance with section 404.

303 DETERMINATION OF ANNUAL EMISSION REDUCTIONS AVAILABLE:

The amount of annual emission reductions available shall be determined by

multiplying the available acreage times 75% times the applicable emission factor in

the following table:

Pollutant Emission Factor

(lbs/acre)

Volatile Organic Compounds (VOC) 14.1

Nitrogen Oxides (NOx) 15.6

Carbon Monoxide (CO) 172.2

Particulate Matter less than 10

microns (PM10)

18.9

Sulfur Oxides (SOx) 3.3

304 DETERMINATION OF QUARTERLY EMISSION REDUCTIONS

AVAILABLE: The emission reductions shall be quantified on a calendar quarter

basis. The following percentages shall be used to determine the amount of emission

reductions in each calendar quarter:

Calendar Quarter Percentage

First Quarter 28%

Second Quarter 26%

Third Quarter 8%

Fourth Quarter 38%

305 PRIORITY RESERVE ADJUSTMENT: Before the APCO may issue an ERC, the

calculated emission reductions shall be adjusted 1.05 emission reductions to 1.0

ERC. Emission reductions captured by this adjustment shall pass to the District’s

Priority Reserve Bank.

306 DEED RESTRICTION: Prior to the issuance of an ERC, a deed restriction shall

be placed on the parcel or group of contiguous parcels for which ERCs will be
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Adopted December 10, 2008 Reg. III, Rule 3.21, Page 7

granted and a copy provided to the District. The deed restriction shall prohibit

agricultural burning on the parcel which is not consistent with the ERC.

307 RESTRICTED BURN LIST: Prior to the issuance of an ERC, the District shall

place the parcel or group of contiguous parcels on the restricted burn list. In each

calendar year, no agricultural burn permit may be issued for greater than 25% of the

rice growing acreage of any parcel listed on the restricted burn list.

308 BURNING PROHIBITION: No person shall conduct agricultural burning on more

than 25% of the rice growing acreage of a parcel which has received an ERC

certificate pursuant to the provisions of this rule. In addition, applicants must

comply with California Health & Safety Code (CH&SC) 41865.

400 ADMINISTRATIVE REQUIREMENTS

401 APPLICATION FILING DEADLINE: All applications to obtain rice straw ERC

certificates in accordance with this rule shall be submitted by June 10, 2009.

Applications submitted after June 10, 2009 shall not be eligible for ERCs under this

rule.

402 APPLICATION REQUIREMENTS - NEW APPLICATIONS: The applicant

shall submit one application for each parcel or for each set of contiguous parcels.

The application shall contain the following information:

402.1 List of each parcel included in the application, including APN and any

owner’s designation or identifier.

402.2 The acreage of each parcel that was used to grow rice during the baseline

period, and documentation of such acreage.

402.3 Documentation that rice straw burning occurred on the acreage of each parcel

(identified above) during the baseline period. Examples of acceptable

documentation include, but are not limited to, copies of a District burn

permit, log books, pictures, or other District approved verifiable records. In

the event that a burn permit or other records are not available, the District

may accept a signed affidavit (under penalty of perjury) from the applicant

certifying that rice straw on the parcel was burned during the baseline period.

402.4 A statement of intent to file a deed restriction required by Section 305 for

each parcel or for each set of contiguous parcels for which an application is

being submitted (A copy of the deed restriction must be provided prior to

final issuance of the rice straw ERC certificate).

402.5 Filing fees for the evaluation and issuance of ERCs in accordance with

District Rule 4.1, PERMIT FEES - STATIONARY SOURCE.
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Adopted December 10, 2008 Reg. III, Rule 3.21, Page 8

403 APPLICATION REQUIREMENTS - RE-CERTIFICATION

APPLICATIONS: The applicant shall submit one application for each existing ERC

certificate. In addition to the information in 402, prior to re-issuance of the ERC, the

applicant must surrender all previous certificates issued for rice straw burning on the

parcel or group of contiguous parcels.

404 AVAILABLE ACREAGE ADJUSTMENT: In the event that the District receives

applications in which the requested available acreage totals to more than 28,279

acres, the District shall lower the percentage available as follows:

404.1 The re-certification applications meeting the criteria of this rule shall get full

credit on their acreage.

404.2 The applications with verifiable burn records will have second priority. If

the total available acreage for all these applications along with the recertification applications does not exceed 28,279 acres, these applications

will get full credit. If the total of all these applications along with the recertification applications exceeds 28,279 acres, these applications shall be

adjusted proportionally so that the total acreage for which all rice straw

burning ERCs are issued does not exceed 28,279 acres.

404.3 For all remaining applications with affidavits for burn documentation, the

amount of rice straw acreage determined to be available shall be adjusted

proportionally so that the total acreage for which all rice straw burning ERCs

are issued does not exceed 28,279 acres.

405 APPLICATION PROCESSING PROCEDURES:

405.1 COMPLETE APPLICATION: The APCO shall determine whether the

application is complete not later than 30 days after receipt of the application

for ERC certificates. If the APCO determines that the application is not

complete, the applicant shall be notified in writing of the decision specifying

the information required. If the specified information is not submitted within

30 days the application shall be canceled by the APCO.

405.2 ADDITIONAL INFORMATION: Upon receipt of additional information

for an incomplete application a new 30 day period to determine completeness

shall begin. During the processing of the application, the APCO may request

an applicant to clarify, amplify, correct, or otherwise supplement the

information submitted in the application.

405.3 PRELIMINARY DECISION: Following acceptance of an application as

complete, the APCO shall perform the evaluations required to determine

compliance with all applicable District Rules and Regulations and make a
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Adopted December 10, 2008 Reg. III, Rule 3.21, Page 9

preliminary written decision as to whether the emission reduction should be

certified as ERCs. The decision should be supported by a succinct written

analysis.

405.4 PUBLICATION AND PUBLIC COMMENT: Within 10 calendar days

following a preliminary decision, the APCO shall publish, in at least one

newspaper of general circulation in the District, a notice stating the

preliminary decision of the APCO, noting how the pertinent information can

be obtained, and inviting written public comment for a 30 day period

following the date of publication.

405.5 DEED RESTRICTION: Within 90 calendar days of the public notice being

published, the applicant shall submit a final copy of a legal deed restriction.

405.6 PUBLIC INSPECTION: The APCO shall make available for public

inspection at the District office the information submitted by the applicant

and the APCO’s analysis no later than the date the notice of the preliminary

decision is published, pursuant to Section 405.4. Further, all such

information shall be transmitted to the California Air Resources Board and

the US Environmental Protection Agency (EPA) regional office, and to any

party which requests such information no later than the date of publication.

405.7 FINAL ACTION: Within 180 days after the application filing deadline in

Section 401 of this rule, the APCO shall take final action on the applications,

after considering all written comments.

406 VIOLATIONS: Failure to comply with any provision or restriction of this rule shall

be considered a violation of this rule.

500 MONITORING AND RECORDS

501 BURN RECORDS: For any parcel or group of contiguous parcels for which a rice

straw ERC certificate has been issued, the initial ERC holder or current land owner

shall keep records of the amount of acres, crop type and burning that has occurred

during the previous 5 years.

600 PROGRAM EVALUATION: Within two (2) years after adoption of this rule, the District

shall evaluate the program and submit an evaluation report to EPA. The report shall include

a discussion of the total number of applications approved, total acreage subject to this rule,

and total amount of ERCs issued.