United States Environmental Protection Agency

Region IX Air Division

Technical Support Document

for

EPA's Notice of Proposed Rulemaking

for the 

California State Implementation Plan

Santa Barbara County Air Pollution Control District

Rule 201 – Permits Required

Rule 203 – Transfer

Rule 204 – Applications

Rule 206 – Conditional Approval of Authority to Construct or Permit to Operate

Prepared by: Ya-Ting (Sheila) Tsai

Reviewed by 

Gerardo Rios

November 23, 2015
I. INTRODUCTION

This technical support document (TSD) addresses the general New Source Review (NSR)

program requirements of the federal NSR program, and discusses the Environmental Protection 

Agency’s (EPA) findings on whether the rules and regulations related to NSR that have been 

submitted by the Santa Barbara County Air Pollution Control District (SBCAPCD or District) 

for approval into the California State Implementation Plan (SIP) meet federal NSR requirements. 

The TSD also discusses EPA’s findings under sections 110(l) and 193 of the Clean Air Act

(CAA or the Act) relevant to this action.

Section 110(a)(2)(C) of the Act requires that each SIP include a program to provide for 

“regulation of the modification and construction of any stationary source within the areas 

covered by the plan as necessary to assure that national ambient air quality standards are 

achieved, including a permit program as required in parts C and D” of title I of the Act.

Thus, in addition to the permit programs required in parts C and D of title I of the Act, which 

apply to new major stationary sources and major modifications, each SIP must include a 

program regulating stationary sources and modifications with emissions below specified major 

source thresholds. These general preconstruction requirements are commonly referred to as the 

minor or general NSR program and are implemented through EPA’s regulations at Title 40 of the 

Code of Federal Regulations (CFR) part 51, sections 160 through 164. These more general 

program requirements are the only federal requirements that apply to these “minor” stationary 

sources and non-major modifications. These requirements also apply to major sources and major 

modifications, in addition to the more detailed requirements in parts C and D of the Act and their 

implementing regulations at 40 CFR 51.166 and 51.165, respectively. 

SBCAPCD is designated attainment for all pollutants; therefore, the District is not required to 

submit a nonattainment NSR program as required under 40 CFR 51.165. In addition, EPA has 

approved District Rule 810, Federal Prevention of Significant Deterioration (PSD),

1 as meeting 

the requirements of 40 CFR 51.166, which contains the requirements for major source PSD 

programs. For these reasons, we are not evaluating the submitted rules against 40 CFR 51.165 

and 51.166. 

II. SIP REVISION SUBMITTAL

SBCAPCD adopted the submitted permit program related rules as listed in Table 1, as part of 

their general NSR program requirements. The California Air Resources Board (ARB) submitted

the revised rules listed in Table 1 to EPA Region 9 as a revision to the California SIP. ARB is 

the governor’s designee for submitting official revisions of the California SIP to the EPA. Table 

1 provides the name, number, adoption and submittal dates for the rules evaluated as part of this 

TSD.

 

1 80 Fed. Reg. 69,880, 69,881 (Nov. 12, 2015). 
1

Table 1 –Submitted Rules

Rule # Rule Title

Adopted or 

Amended

Date

Submitted

Date

201 Permits Required 6/19/2008 10/20/2008

203 Transfer 4/17/1997 3/10/1998

204 Applications 4/17/1997 3/10/1998

206 Conditional Approval of Authority to 

Construct or Permit to Operate 10/15/1991 1/28/1992

Completeness Determination

With respect to procedures, CAA sections 110(a) and 110(l) require that revisions to a SIP be 

adopted by the State after reasonable notice and public hearing. EPA has promulgated specific 

procedural requirements for SIP revisions in 40 CFR part 51, subpart F. These requirements 

include publication of notices by prominent advertisement in the relevant geographic area, a 

public hearing on the proposed revisions, a public comment period of at least 30 days, and an 

opportunity for a public hearing. Based on our review of the public process documentation 

included in the submittals listed in Table 1, we find that SBCAPCD has provided sufficient 

evidence of public notice and opportunity for comment and public hearings prior to adoption and 

submittal of these rules to EPA. On dates listed in Table 2, EPA determined that ARB’s SIP 

submittal packages in Table 1 conformed to the completeness criteria in 40 CFR part 51, 

appendix V, and was determined to be complete.

Table 2 – Completeness Date

Rule # Rule Title Completeness

Date

201 Permits Required 11/18/2008

203 Transfer 5/21/1998

204 Applications 5/21/1998

206 Conditional Approval of Authority to 

Construct or Permit to Operate 4/28/1992

Existing Rules

EPA approved the rules listed in Table 3 into the SBCAPCD portion of the California SIP on the 

dates listed. When the rules listed in Table 1 are approved by EPA, those rules will take the place 

of the existing SIP approved rules listed in Table 3. 
2

Table 3 –SIP Approved Rules

Rule # Rule Title SIP Approval 

Date

Federal Register 

Citation

201 Permits Required 05/05/1982 47 FR 19330

203 Transfer 05/18/1981 46 FR 27116

206 Conditional Approval of Authority to 

Construct or Permit to Operate 05/18/1981 46 FR 27116

III. BACKGROUND

Section 110(a)(2)(C) requires each SIP to include a program for regulating the modification and 

construction of any stationary source within the areas covered by the plan as necessary to assure 

attainment and maintenance of the National Ambient Air Quality Standards (NAAQS). EPA’s 

regulations at 40 CFR 51.160-51.164 provide general programmatic requirements to implement 

this statutory mandate commonly referred to as the minor or general NSR program. These 

general NSR program regulations contain requirements for SIP approval of State and local 

programs that are more general in nature as compared with the specific regulatory requirements 

for PSD and nonattainment NSR permitting programs. The submitted rules are revisions to 

existing SIP approved general NSR permit program requirements. The revisions are primarily 

administrative in nature (reformatting, provide additional clarity), but we also discuss the rules or 

portions of each rule, that serve to satisfy any of these general permit program requirements. 

IV. RULE REVISION SUMMARIES

Rule 201 – Permits Required

Rule 201 provides the basis for determining whether a source is required to obtain a registration 

or permit. Changes from the approved SIP rule include: 

1. Addition of one new definition regarding equipment that is ready to use as purchased.

2. Addition of the following sections: 

a. Section E.1, Source Compliance Demonstration Period. This section requires 

applicants to demonstrate compliance with the Authority to Construct and certain 

state requirements.

b. Section E.3, Consolidated Authority to Construct/Permit to Operate. This section 

allows the issuance of both the Authority to Construct and Permit to Operate as a 

single document.

c. Section F, Requirement – Expiration of Authority to Construct. This section 

specifies that an Authority to Construct or application for a Permit to Operate 

shall expire in one year unless construction has commenced. 

d. Section G, Requirement – Permit Reissuance and Reevaluation. This section 

specifies conditions under which permits are eligible to be reissued and requires 

that existing permits be reevaluated every three years.

e. Section J, Requirements – Absence of Permitted Equipment. This section requires 

all equipment, other than portable equipment eligible for registration under state 
3

requirements, to be present within the boundaries of the stationary source unless 

otherwise approved. If permitted equipment is not present or if the permittee 

failed to obtain a permit modification listing the absent equipment, the Control 

Officer shall remove the absent equipment from the Permit to Operate.

f. Section K, Requirement – Inoperability of Permitted Equipment. This section 

requires operator to demonstrate that inoperable equipment can either function in 

compliance with applicable permit conditions or that it will not have any pollutant 

emissions.

3. Moved the contents of Section C of Rule 201, Application Information and Processing 

Requirements to Rule 204, Applications, and Rule 208, Action on Applications – Time 

Limits.

4. Combined the contents of Section E, Posting of Permit to Operate, and Section F.

Defacing, etc., a Permit to Operate, into one section under Requirement – Posting of 

Authority to Construct or Permit to Operate.

5. Other minor formatting and editorial revisions to improve clarity and consistency with 

other local rules.

Rule 203 – Transfer

Rule 203 stipulates how permits may be transferred from one owner to another and prohibits the 

transfer of permits from one location to another (excluding portable equipment) or from one 

piece of equipment to another. Changes from the approved SIP rule include: 

1. Removed the prohibition on transferring a permit from one owner to another. 

2. Addition of requirements for a change in business name, transfer of ownership, and for 

transferring a permit from one permit holder to another.

3. Other minor formatting and editorial revisions to improve clarity and consistency with 

other local rules.

Rule 204 – Applications

Rule 204 is a new rule. It lists information required to apply for an Authority to Construct or a 

Permit to Operate. Most of the contents of Rule 204 was previously part of SIP approved Rule 

201 Section C. Changes from the SIP approved version of Rule 201 Section C include:

1. Addition of the following sections:

a. Section D, Requirement - Permit Application Completeness. This section clarifies

what information is necessary for an application to be deemed complete.

b. Section E.1.e. This subsection under General Information requires analyses and 

tests be calculated and reported at standard conditions.

c. Section E.1.g. This subsection under Requirements – General Information 

specifies that offsets must be obtained prior to Authority to Construct approval.

d. Section E.2, Information Required – Applications. This section requires the 

Control Officer to maintain a list of information requirements of an applicant for a 

permit and for all applications to include the information necessary to make a 

completeness determination. 

e. Section E.3.b, Best Available Control Technology Information - Prevention of 

Significant Deterioration Requirements. This section provides a list of 

information the applicant must submit with their application if the project triggers 

Best Available Control Technology requirements under the PSD permit program.
4

f. Section E.5, Information Required – Description of Emission Reduction Credits 

to be Used as Offsets. This section requires the application to include specific

information regarding ERCs if offsets are required for the project.

g. Section E.6, Information Required – Health Risk Assessment. This section 

specifies the methodology for performing a Health Risk Assessment, including 

specific factors that must be addressed. 

2. Modification of the following sections:

a. Section E.3.a, Best Available Control Technology – Nonattainment Review. This 

section added a list of information the applicant must submit with their 

application if their project triggers Best Available Control Technology 

requirements. 

b. Section E.4, Information Required – Air Quality Impact Analysis. This section 

added a list of information applicant must submit with their application package if 

their project triggers Air Quality Impact Analysis.

3. Other minor formatting and editorial revisions to improve clarity and consistency with 

other local rules.

Rule 206 – Conditional Approval of Authority to Construct or Permit to Operate

Rule 206 provides criteria for issuing an authority to construct or permit to operate with

conditional approval. Changes from the approved SIP rule include:

1. Addition of language to clarify that permit holders must comply with all air pollution 

control laws, including a specific section of the California Health and Safety Code 

(Section 44382) and that failure to comply with any permit condition will constitute a 

violation of the rule as well as of the applicable state law. 

2. Other minor formatting and editorial revisions to improve clarity and consistency with 

other local rules.

V. EPA EVALUATION OF RULE REVISIONS

The District has made many minor formatting and editorial revisions which improve the clarity 

and enforceability of each rule. These changes are mostly administrative in nature and their 

approval will not interfere with any applicable requirement concerning attainment and 

reasonable further progress, or any other CAA applicable requirement.

Rule 201 – Permits Required

The new definition and rule sections are acceptable because they provide additional clarity and 

enforceability. Several of the additions were made to add provisions related to state law. These 

additions are acceptable because they do not conflict with any federal program requirements. 

Section C of Rule 201, Application Information and Processing Requirements, was moved to 

Rule 204, Applications, and Rule 208, Action on Applications – Time Limits. Rule 204 is being 

evaluated separately in this TSD and we have determined that the provisions now contained in 

Rule 208, which was not submitted for SIP approval, are not required for a general NSR program 

and can therefore be removed from Rule 201. 

Rule 203 – Transfer
5

Rule 203 is an administrative rule regarding the transfer of permits. The existing SIP version of 

the rule prohibited the transfer of an Authority to Construct or Permit to Operate under any 

circumstances. The submitted version retains this prohibition for changes of location and 

changes of equipment, but now allows the permit transfer from one person to another. The rule 

specifies the requirements for such a transfer. The revisions are acceptable since they do not 

conflict with any federal program requirements or interfere with the attainment or maintenance 

of a NAAQS. 

Rule 204 – Applications

The provisions contained in Rule 204 were previously SIP approved as part of Rule 201 Section 

C. Several new sections were added to clarify the specific information applicants need to supply 

as part of their application. The addition of these new sections help are satisfy the requirements

of 40 CFR 51.160(c), which requires applicants to provide the information necessary for the 

permit authority to determine if a proposed source complies with all applicable requirements. 

The revisions do not conflict with any federal program requirements or interfere with the 

attainment or maintenance of a NAAQS. Overall we find new Rule 204 is approvable.

Rule 206 – Conditional Approval of Authority to Construct or Permit to Operate

The revisions to Rule 206 provide additional clarity, such as what type of source the permit may 

be issued to and the purpose of the written permit conditions. The rule revisions are acceptable 

since they do not conflict with any federal program requirements or interfere with the attainment 

or maintenance of a NAAQS.

Clean Air Act Section 110(l) Analysis

Section 110(l) of the CAA states that each SIP revision submitted by a State shall be adopted by 

such State after reasonable notice and public hearing. It also states that the Administrator shall 

not approve a SIP revision if the revision would interfere with any applicable requirement 

concerning attainment and reasonable further progress, or any other CAA applicable 

requirement.

With respect to the procedural requirements of CAA section 110(l), based on our review of the 

public process documentation included in the SIP submittal packages listed in Table 1, we find 

that SBCAPCD has provided sufficient evidence of public notice and opportunity for comment 

and public hearings prior to adoption and submittal of these rules to EPA. 

With respect to the substantive requirements of CAA section 110(l), each of the rules being 

reviewed contains several minor revisions which generally improve the clarity and enforceability 

of the rule. These rules are administrative or procedural in nature and do not require any specific 

level of emission control, therefore their approval will not interfere with any applicable 

requirement concerning attainment and reasonable further progress, or any other CAA applicable 

requirement. For the reasons stated above, we find the revisions provided in the submitted rules 

to be approvable under 110(l).
6

Clean Air Act Section 193 Analysis

Section 193 of the Act, which was added by the Clean Air Act Amendments of 1990, includes a 

savings clause which provides, in pertinent part: “No control requirement in effect, or required to 

be adopted by an order, settlement agreement, or plan in effect before November 15, 1990, in 

any area which is a nonattainment area for any air pollutant may be modified after November 15, 

1990, in any manner unless the modification insures equivalent or greater emission reductions of 

such air pollutant.” 

The SBAPCD is currently classified as attainment for all NAAQSs, therefore the provisions of 

Section 193 are not applicable to this action. 

VI. EPA’S PROPOSED ACTION

Portions of submitted Rules 201, 203 and 206 were previously SIP-approved as meeting certain 

requirements of a minor or general NSR permit program. (47 FR 19330, 05/05/1982; 46 FR 

27116, 05/18/1981; and 46 FR 27116, 05/18/1981, respectively) The revisions to Rules 201, 203, 

and 206 and the movement of certain provisions contained in Rule 201 to 204, are mostly

administrative in nature and generally provide additional clarification and enforceability. The 

rule provisions themselves are mostly procedurally in nature, but also ensure compliance with 

certain general NSR program requirements contained in 40 CFR 51.160-164. The revisions 

comply with the requirements of section 110(l) of the CAA. We recommend approval of Rules 

201, 203, 204, and 206 pursuant to CAA §110(k)(3) and §301(a).

VII. ATTACHMENTS

1. Current SBCAPCD SIP Rule 201, Permits Required, SIP approved May 5, 1982

2. Current SBCAPCD SIP Rule 203, Transfer, SIP approved May 18, 1981

3. Current SBCAPCD SIP Rule 204, Applications, SIP approved May 5, 1982

4. Current SBCAPCD SIP Rule 206, Conditional Approval of Authority to Construct or 

Permit to Operate, SIP approved May 18, 1981

5. Submitted SBCAPCD Rule 201, Permits Required, revised June 19, 2008

6. Submitted SBCAPCD Rule 203, Transfer, revised April 17, 1997

7. Submitted SBCAPCD Rule 204, Applications, revised April 17, 1997

8. Submitted SBCAPCD Rule 206, Conditional Approval of Authority to Construct or 

Permit to Operate, revised October 15, 1991