BUTTE COUNTY AQMD RULES AND REGULATIONS

Rule 400 April 24, 2014 400-1

Rule 400 Permit Requirements

(Adopted January 4, 1972; Amended & Recodified August 6, 1985; Amended September 18, 1990

and November 9, 1993; Recodified and Amended April 26, 2001; Recodified August 22, 2002;

Repealed and Adopted May 26, 2011; Amended April 24, 2014)

RULE 400 CONTENTS

1 PURPOSE

2 EXEMPTIONS

3 DEFINITIONS

4 STANDARDS

5 ADMINISTRATIVE REQUIREMENTS

6 MONITORING AND RECORDS
BUTTE COUNTY AQMD RULES AND REGULATIONS

Rule 400 April 24, 2014 400-2

Rule 400

1 PURPOSE: The purpose of this Rule is to require any person constructing, altering, 

or operating a source that emits or may emit air contaminants to obtain an Authority 

to Construct or Permit to Operate from the Air Pollution Control Officer (APCO) and 

to provide an orderly procedure for application, review, and authorization of new 

sources and of the modification and operation of existing sources of air pollution.

Stationary sources that are subject to Rule 1101-Title V-Federal Operating Permits

of these Rules and Regulations shall also comply with the procedures specified in 

this Rule.

2 EXEMPTIONS: An Authority to Construct, Permit to Operate, or other written 

authority shall not be required for emissions units listed in Rule 401-Exemptions of 

these Rules and Regulations, provided the required records, documentation, and other 

stipulations of Rule 401 are met.

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

the same as defined in Rule 101-Definitions of these Rules and Regulations:

3.1 Administrative Permit Amendment: An amendment to an application,

Authority to Construct permit, or Permit to Operate which:

3.1.1 Corrects a typographical error; or

3.1.2 Identifies a minor administrative change at the stationary source; for 

example, a change in the name, address, or phone number of any 

person identified in the permit.

3.2 Air Pollution Control Officer (APCO): The Air Pollution Control Officer 

of the Butte County Air Quality Management District (DISTRICT) or his or 

her designated representative.

3.3 Ambient Air Quality Standards (AAQS): All references to ambient air 

quality standards shall be interpreted to include both national and State 

ambient air quality standards. For the purpose of submittal to the U.S. 

Environmental Protection Agency (EPA) for inclusion in the California State 

Implementation Plan (SIP), all references in this Rule to ambient air quality 

standards shall be interpreted as National Ambient Air Quality Standards.

3.4 Annual Permit Renewal Date: The day and month that a Permit to Operate 

is set to expire unless renewed, and that same day and month of each 

succeeding year.

3.5 Applicable Requirements: Air quality requirements with which a facility 

must comply which includes, but is not limited to, the DISTRICT's Rules and 

Regulations, any terms and conditions of an Authority to Construct permit or 

Permit to Operate, codes of California regulations and statutory law, the 

Federal Clean Air Act as amended in 1990 and implementing regulations, 

other provisions of the United States Code (U.S.C.), and the Code of Federal 

Regulations (CFR).
BUTTE COUNTY AQMD RULES AND REGULATIONS

Rule 400 April 24, 2014 400-3

3.6 Authority To Construct: A pre-construction permit which authorizes 

construction, installation, replacement or other modification to an emissions 

unit and conforms to the requirements of Rule 430-State New Source Review

or Rule 432-Federal New Source Review of these Rules and Regulations, as 

applicable.

3.7 Commence: As applied to construction, means that the owner or operator 

has met all applicable requirements and has:

3.7.1 Begun, or caused to begin, a continuous program of on-site 

construction of the source, to be completed in a reasonable time; or

3.7.2 Entered into binding agreements or contractual obligations to 

undertake a program of actual on-site construction of the source to 

be completed within a reasonable time, which cannot be canceled or 

modified without substantial loss to the owner or operator.

3.8 Emissions Unit: An identifiable operation, process, or piece of process 

equipment such as an article, machine, or other contrivance which controls, 

emits, may emit, or results in the emissions of any air pollutant directly or as 

fugitive emissions. 

3.9 Initial Start-up: The first time a source, emissions unit, control device, or 

other instrumentation or activity authorized by permit becomes operational.

3.10 Permit to Operate: A permit issued by the APCO that authorizes the 

operation of a newly constructed or existing emissions unit which may 

contain conditions of operation to ensure the operation of the emissions unit 

complies with all applicable requirements.

3.11 Responsible Official: An individual with the authority to certify that a 

source complies with all applicable requirements, including the conditions of 

permits issued to sources in accordance with Regulation IV-PERMITS of 

these Rules and Regulations; one of the following:

3.11.1 For a corporation, either a president, secretary, treasurer, or vicepresident of the corporation in charge of a principal business 

function, or any other person who performs similar policy or 

decision-making functions for the corporation, or a duly authorized 

representative of such person if the representative is responsible for 

the overall operation of one or more manufacturing, production, or 

operating facilities applying for or subject to a permit and either:

3.11.1.1 The facilities employ more than 250 persons or have 

gross annual sales or expenditures exceeding $25 

million; or

3.11.1.2 The delegation of authority to such representative is 

approved in advance by the APCO;

3.11.2 For a partnership or sole proprietorship, either a general partner or 

the proprietor, respectively; or

3.11.3 For a municipality, State, federal, or other public agency, either a 
BUTTE COUNTY AQMD RULES AND REGULATIONS

Rule 400 April 24, 2014 400-4

principal executive officer or a ranking elected official; or

3.11.4 For an acid rain unit subject to Title IV (Acid Deposition Control) of 

the Federal Clean Air Act, the "responsible official" is the 

designated representative of that unit for any purposes under Title 

IV and Rule 1101.

3.12 Startup: The setting in operation of a stationary source, emission unit, 

control device, monitoring instrumentation or other activity authorized by 

permit for any purpose.

3.13 Title V Permits: A permit issued, denied, renewed, amended, or reopened 

pursuant to Rule 1101 and the Federal Clean Air Act as amended in 1990 (42 

U.S.C. Section 7401 et seq.), and Part 70 CFR, "State Operating Permit 

Programs".

4 STANDARDS

4.1 Authority To Construct: Any person building, erecting, placing on site, 

altering or replacing any article, machine, equipment or other contrivance

(emissions unit), the use of which may cause, eliminate, reduce, or control the 

issuance of air contaminants, shall first obtain written authorization for such 

construction from the APCO as specified in Section 4.4 of this Rule. The 

emissions unit(s) shall not commence construction until the APCO takes final 

action to approve the Authority to Construct. 

4.1.1 Except as noted in Section 4.1.2 below, an Authority to Construct

shall expire one (1) year following the date of permit issuance.

4.1.2 If a written request to extend an Authority to Construct is received 

by the APCO prior to the expiration of any currently issued, and all 

future, Authority to Construct permits, up to two (2) one-year

extensions may be granted, if the APCO determines that:

4.1.2.1 Commencement of construction has occurred, and a 

good faith effort to complete the project has been 

made; 

4.1.2.2 The parameters of the project remain the same as in the 

initial application; and

4.1.2.3 Construction has not lapsed for more than eighteen (18)

consecutive months.

4.1.3 The APCO shall be notified in writing at least two (2) days prior to 

the anticipated date of initial startup or operation of any permitted 

emissions unit. 

4.1.4 After the permit holder gives the appropriate notification and 

commences operation, the Authority to Construct may remain in 

effect as a Temporary Permit to Operate until a Permit to Operate 

for the equipment is granted or denied or the application is canceled

but not for a period to exceed twelve (12) months.

4.2 Permit To Operate: Any person operating an emissions unit subject to this 

Rule shall first obtain a permit from the APCO.
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Rule 400 April 24, 2014 400-5

4.3 Required Information: The APCO may require from an applicant or permit 

holder of any permit provided for in these Rules and Regulations any

information, analyses, plans, or specifications which will disclose the nature, 

extent, quality, or degree of air contaminants which are or may be discharged 

by the source for which the permit was issued or applied. The APCO may 

require that such disclosures be certified by a professional engineer registered 

in the State of California. A responsible official representing the owner or 

operator shall certify the truth, accuracy and completeness of disclosures. 

Studies necessary to provide such information shall be at the expense of the 

owner or operator of the source for which a permit was issued or applied.

4.4 Standards For Granting Applications

4.4.1 The APCO shall not grant an Authority to Construct or Permit to 

Operate unless the APCO determines the source or emissions unit

will comply with all applicable requirements and will not interfere 

with maintenance or attainment of an AAQS.

4.4.2 The regulations in effect at the time any application for an Authority 

to Construct for a new or modified source or emissions unit is 

deemed complete shall apply to that source, except when a new 

federal requirement not yet incorporated in this Rule applies to the 

new or modified source.

4.4.3 No Permit to Operate shall be granted, either by the APCO or the 

DISTRICT Hearing Board, for any source or emissions unit which 

has been constructed or installed without authorization as required 

by Section 4.1 of this Rule, until:

4.4.3.1 The information is submitted that enables the APCO to 

determine the source or emissions unit is in compliance 

with all applicable requirements and that it will not 

interfere with maintenance or attainment of an AAQS; 

and

4.4.3.2 Such emission unit is altered, if necessary, and made to 

conform to or comply with all applicable requirements.

4.4.4 When determining whether or not to issue a Permit to Operate, if the 

APCO finds that the emission unit has not been constructed in 

accordance with the Authority to Construct, the APCO shall deny 

the Permit to Operate. 

4.4.5 The APCO shall require enforceable emissions limitations as permit 

conditions in any Authority to Construct and Permit to Operate to 

assure the permanence of surplus actual emissions reductions 

applied for use as onsite internal reductions or emission reduction 

credits (ERCs).

4.4.6 Issuance of an Authority to Construct shall not relieve any owner or 

operator of the responsibility to comply fully with all applicable 

requirements.

4.4.7 (Removed for SIP submittal)

4.4.8 The APCO may impose terms and conditions as necessary in any 

Authority to Construct or Permit to Operate to assure compliance 

with applicable requirements.
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4.5 Public Notice and Publication Actions: For the sources applying for a 

permit that have a potential to emit over 25 tons per year for any AAQS 

pollutant (except Carbon Monoxide PTE shall be 50 TPY), the APCO shall:

4.5.1 Publish within ten (10) calendar days following a preliminary 

decision to issue an Authority to Construct for an emissions unit in 

at least one (1) newspaper of general circulation in the District, a 

notice stating the preliminary decision of the APCO noting how 

pertinent information may be obtained, how to request a hearing on 

the proposed item, and inviting written public comment for at least a

thirty (30)-day period following the date of publication.

4.5.2 No later than the date of publication, transmit the preliminary 

decision, the application analysis, and copies of the notice submitted

for publication to the applicant.

4.5.3 No later than the date of publication, transmit the preliminary 

decision and copies of the permit application, analysis, and the 

notice submitted for publication to the California Air Resources 

Board (CARB) and EPA.

4.5.4 No later than the date of publication, make available for public 

inspection the applicable information submitted in the application, 

the proposed permit, the application analysis, and copies of the 

notice submitted for publication.

4.6 Permit Renewal

4.6.1 The APCO shall review the conditions of every Permit to Operate 

prior to its expiration to ensure compliance and enforceability of all 

applicable requirements. The APCO shall revise the conditions to 

include requirements which were in effect at the time the permit was 

issued or modified, or which have subsequently been adopted and 

made retroactively applicable to an existing emission unit, or any 

new applicable requirements, if these permit conditions are 

necessary to assure compliance with all applicable requirements.

4.6.2 The APCO may establish an annual permit renewal date for all 

Permits to Operate held by a stationary source. At the request of the 

source, the APCO may revise the annual permit renewal dates for a 

stationary source with more than one (1) Permit to Operate to make 

the permits renewable on the same date. Thereafter, all Permits to 

Operate at the stationary source shall be renewable that same day 

and month of each succeeding year, subject to any other applicable

requirements regarding validity, voiding or revocation of permits.

4.6.3 Every Permit to Operate shall be renewed annually on the permit's 

annual permit renewal date unless action to suspend, cancel, or 

revoke the permit has been initiated in accordance with Sections 5.5, 

5.6, or 5.7 of this Rule and has resulted in a final determination to 

suspend or revoke the permit by the APCO or the Hearing Board 

and all appeals have been exhausted or the time for appeals has

expired. 
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Rule 400 April 24, 2014 400-7

4.7 Permit Conveyance

4.7.1 Transfer of Ownership: An Authority to Construct or Permit to 

Operate shall only be transferable from one person to another by 

submittal of an application for authorization in accordance with 

Section 5.1 of this Rule.

4.7.2 Change of Location: An Authority to Construct or Permit to 

Operate shall not be transferable from one location to another. This

action constitutes a new source or emissions unit which is subject to 

the requirements of Section 4.4 of this Rule. 

4.8 Provisions for Sampling and Testing Facilities: The APCO may require a 

person operating or using any article, machine, equipment or other 

contrivance, the use of which may cause the issuance of air contaminants or 

the use of which may eliminate, reduce or control the issuance of air 

contaminants to provide and maintain such facilities as are necessary for 

sampling and testing. In the event of such requirements, the APCO shall 

notify the person in writing of the required size, number and location of 

sampling ports; the size and location of sampling platform; the access to the 

sampling platform; and the utilities for operating the sampling and testing 

equipment. The platform and access shall be constructed in accordance with 

the General Industry Safety Orders of the State of California.

4.9 Source Performance Testing: The owner or operator of a source shall 

conduct performance test(s) as required by the conditions of the Authority to 

Construct or Permit to Operate in accordance with the test methods and 

operating conditions specified by the Authority to Construct/Permit to 

Operate and/or as approved by the APCO to determine compliance with 

applicable emission limitations or to confirm emission reductions claimed.

4.9.1 The performance test(s) shall occur within sixty (60) days after 

achieving the maximum production rate or the maximum rate of 

emissions to which the source is limited by enforceable conditions, 

but not later than one hundred eighty (180) days after initial startup 

of such source.

4.9.2 A performance test protocol shall be submitted to the APCO for 

review and written approval at least thirty (30) days prior to the 

scheduled test date.

4.9.3 The owner or operator of a source shall provide the APCO with ten 

(10) days prior notice of the performance test date, time and location 

to afford the APCO the opportunity to have an observer present.

4.9.4 The owner or operator shall furnish the APCO a written report of 

the performance test(s) results within sixty (60) days of completion 

of such tests unless an extension is requested in writing and granted 

by the APCO.

4.9.5 The performance test(s) shall be at the expense of the owner or 

operator.

4.9.6 Testing shall be conducted with the source(s) of emissions operating 

at or near maximum capacity or other rate conforming to the 

maximum rate of emissions to which the source(s) is limited by 
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Rule 400 April 24, 2014 400-8

enforceable condition(s).

4.9.7 The source testing shall follow the applicable methods as specified 

in Section 6.1 of this Rule.

4.9.8 The APCO may monitor such tests and may also conduct performance tests and charge fees to perform such activities in 

accordance with Rule 502-Source Testing Fees of these Rules and 

Regulations.

4.9.9 The APCO may waive the requirement for performance tests if the 

owner or operator of a source has demonstrated by other means to 

the APCO's satisfaction that the source is being operated in 

compliance with all applicable requirements.

4.9.10 Any changes to or deviations from the requirements in this 4.9 must 

first be approved in writing by the APCO.

4.10 Air Quality Impact Analysis: For the purpose of performing an impact 

analysis, the following shall apply:

4.10.1 Air quality models shall be consistent with the requirements 

specified in 40 CFR Part 51, Appendix W (“Guidelines on Air 

Quality Models”), unless the APCO finds that such model is 

inappropriate for use. After making such a finding, the APCO may 

designate an alternative model only after allowing for public 

comment and only with the concurrence of CARB and EPA;

4.10.2 All modeling costs associated with the site of a new or modified 

emissions unit shall be borne by the applicant;

4.10.3 In performing an air quality impact analysis, if the proposed stack 

height is higher than is dictated by good engineering practices, as 

defined in 40 CFR 100(ii), then the actual height used for the 

purposes of modeling shall be calculated in accordance with good 

engineering practices. 

4.10.4 Maximum ground level concentration added to background levels 

shall be compared to ambient air quality standards.

4.11 (Removed for SIP submittal)

5 ADMINISTRATIVE REQUIREMENTS

5.1 Applications: An application for an Authority to Construct, Permit to 

Operate, change of ownership, permit amendment or modification, permit 

reopening, revision, or exemption that requires a determination by the APCO,

shall be filed in the manner and form prescribed by the APCO and shall give 

all the information necessary to enable the APCO to make the determinations 

required by Section 4 of this Rule.

5.1.1 A responsible official representing the owner or operator shall 

certify the truth, accuracy and completeness of application forms.

5.1.2 When the information submitted with the application is insufficient 

for the APCO to make the required determinations, the APCO shall 

request in writing to a responsible official to supplement any 
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Rule 400 April 24, 2014 400-9

application with additional information within the time frame 

specified by the APCO.

5.1.3 A responsible official shall promptly provide additional information 

in writing to the APCO upon discovery of submittal of any 

inaccurate information as part of the application or supplement or of 

any additional relevant facts previously omitted which are needed 

for accurate analysis of the application.

5.1.4 Intentional or negligent submittal of inaccurate information shall be 

reason for denial of an application.

5.1.5 An application submitted in accordance with this Section shall be 

accompanied by payment of the application filing fee specified in 

Regulation V-FEES of these Rules and Regulations.

5.1.6 A responsible official may request an administrative permit 

amendment in writing. The APCO shall take final action no later 

than sixty (60) days after receiving the written request for an 

administrative permit amendment, and take the following actions:

5.1.6.1 After verifying the permit revision is an administrative 

permit amendment, the APCO may revise the permit 

without providing notice to the public or any affected 

state.

5.1.6.2 The APCO shall provide a copy of the revised permit 

to the responsible official,

5.1.6.3 While the APCO need not make a completeness 

determination, the APCO shall notify the responsible 

official if the APCO determines that the permit cannot 

be revised as an administrative permit amendment.

5.1.6.4 No additional fees shall be assessed for an 

administrative permit amendment. 

5.2 Action On Applications

5.2.1 Complete Application: The APCO shall determine whether the 

application is complete not later than thirty (30) days after receipt of 

the application, or after such longer time mutually agreeable to the 

applicant and the APCO, and notify the applicant in writing. 

5.2.2 Preliminary Decision: Following acceptance of an application as 

complete, the APCO shall perform the evaluations required to 

determine compliance with this Rule (including all other applicable 

requirements) and make a preliminary written decision as to whether 

an Authority to Construct should be approved, conditionally 

approved, or disapproved. The decision shall be supported by a 

written analysis.

5.2.3 Denial Of Application

5.2.3.1 An Authority to Construct or Permit to Operate 

application may be denied by the APCO:

5.2.3.1.1 At the request of the applicant; or

5.2.3.1.2 If additional information requested in 

accordance with Section 5.1.2 of this 

Rule has not been submitted within one 
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Rule 400 April 24, 2014 400-10

hundred eighty (180) days of the 

request.

5.2.3.1.3 If applicable permit fees of Rule 500-

Permit Fees of these Rules and 

Regulations are not paid when due, the 

application may be denied and the 

APCO may take action on any issued 

Authority to Construct or Permit to 

Operate pursuant to the requirements of 

Section 5.7 of this Rule.

5.2.3.2 In the event of a denial of an Authority to Construct or 

Permit to Operate, the APCO shall notify the applicant 

in writing of the reasons. Service of this notification 

may be made in person or by certified mail. If 

delivered in person, such service may be proved by the 

written acknowledgment of the person(s) served or 

affidavit of the person making the service. The APCO

shall not accept a further application unless the 

applicant has complied with the objections specified by 

the APCO as his or her reasons for denial of the 

Authority to Construct or the Permit to Operate.

5.2.4 Conditional Approval

5.2.4.1 The APCO shall issue an Authority to Construct or a 

Permit to Operate with conditions which will ensure 

compliance with all applicable requirements. The 

conditions shall be specified in writing. 

5.2.4.2 The APCO shall consider all written comments

received in response to public notice for an application

prior to issuing an Authority to Construct or Permit to 

Operate.

5.2.4.3 Commencing work under an Authority to Construct or 

operation under a Permit to Operate shall be deemed 

acceptance of all the conditions of the authorization or 

permit. 

5.2.4.4 The APCO shall issue an Authority to Construct or a 

Permit to Operate with revised conditions upon receipt 

of a new application, if the applicant effectively 

demonstrates that the emissions unit can operate under 

the revised conditions within the standards of Section 

4.4 of this Rule.

5.2.4.5 The APCO shall require the applicant, as a condition of 

the Authority to Construct, to comply with the 

requirements of HSC Part 6, (Section 44300 et seq.), 

Air Toxics "Hot Spots" Information and Assessment 

Act. (Remove for SIP submittal)

5.2.4.6 The Authority to Construct or Permit to Operate 

becomes valid upon payment of all fees assessed at 

permit issuance in accordance with Rule 500.
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Rule 400 April 24, 2014 400-11

5.2.5 Temporary Permit: The APCO may issue a temporary Permit to 

Operate. The Temporary Permit to Operate shall specify a 

reasonable period of time during which the emissions unit may be 

operated in order for the DISTRICT to determine whether it will 

operate in accordance with the conditions specified in the permit.

5.3 (Removed for SIP submittal)

5.4 (Removed for SIP submittal)

5.5 Suspension: The APCO may suspend a permit if a holder of such permit 

willfully fails and refuses to furnish information, analyses, plans, and 

specifications, within a reasonable time, as requested by the APCO in 

accordance with applicable requirements. The APCO shall serve written 

notice of such suspension and the reasons for suspension. Service of said 

notification may be made in person or by certified mail. If delivered in 

person, such service may be proved by the written acknowledgment of the 

person(s) served or affidavit of the person making the service. The permit 

shall be reinstated when the APCO is furnished with all requested 

information, analyses, plans, and specifications, and the APCO determines 

the source is operating in compliance with all applicable requirements.

5.6 (Removed for SIP submittal)

5.7 (Removed for SIP submittal)

5.8 (Removed for SIP submittal)

6 MONITORING AND RECORDS

6.1 Testing Procedures

6.1.1 General Requirements: Except as otherwise specified in the 

DISTRICT Rules and Regulations, the SIP, and the applicable 

federal requirements of Rule 1101, testing methods for determining 

compliance with emission limits shall be:

6.1.1.1 The appropriate methods adopted by CARB and

approved by EPA as equivalent test methods, or

6.1.1.2 The appropriate methods of 40 CFR Part 50, Appendix 

M, Recommended Test Methods for SIPs; or

6.1.1.3 Any appropriate method of 40 CFR Part 60, Appendix 

A, Test Methods; or

6.1.1.4 An alternative method following review and approval 

of that method by CARB and EPA.

6.1.2 Initial Boiling Point: American Society for Testing of Materials 

(ASTM) D-1078-86, "Test Method for Distillation Range of Volatile 

Organic Liquids".

6.1.3 Vapor Pressure: ASTM D-2879-86, "Vapor Pressure-Temperature 
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Rule 400 April 24, 2014 400-12

Relation and Initial Decomposition Temperature of Liquids by 

Isoteniscope".

6.2 Monitoring: As applicable, each emission source subject to continuous 

emission monitoring requirements shall comply with the requirements of Title 

40, CFR, Part 60, Appendix B upon initial installation and Appendix F

annually.

6.3 Recordkeeping: The following records shall be maintained and provided to 

the APCO upon request:

6.3.1 Emissions monitoring and process data records necessary for the 

determination and reporting of emissions, in accordance with 

applicable provisions of the DISTRICT Rules and Regulations. 

Records shall be kept for at least five (5) years.

6.3.2 Other records of the nature and amounts of emissions or any other 

information as may be deemed necessary by the APCO to determine 

whether the stationary source or emissions unit is in compliance 

with applicable emission limitations, credited emission reductions, 

exemptions from rule provisions, or other requirements. The 

information must include emission measurements, continuous 

emission monitoring system performance testing measurements, 

performance evaluations, calibration checks and adjustments, 

maintenance performed on such monitoring systems, and other 

records and reports required by Title 40, CFR, Part 60, Appendix B 

and F.

6.3.3 Operation and maintenance plans for all add-on capture and control 

equipment. Such plans shall demonstrate, through the use of 

specific recordkeeping requirements, continuous operation of the 

add-on control equipment when emission producing operations 

occur. The plan shall also specify records to be kept to document 

the performance of required periodic maintenance. Records shall be 

consistent with compliance time frames and employ the most recent 

EPA recordkeeping guidance.