Lesson 1

Introduction

The lessons in the course attempt to describe the basic components and processes in air
permitting. In order to present the material in a logical and straightforward sequence, liberties are
taken with many definitions. Therefore, many definitions are provided in a global setting. These
same definitions, when applied to specific processes or programs, require the addition of specific
conditions, regulations, and considerations in order to be absolutely correct in the given context.

Since the Title V operating permit covers the broadest span of processes and requirements, a
majority of the lessons use it for the model. In actual permit work, the differences for the
different permit programs must be adhered to.

One of the largest obstacles to surmount in achieving a detailed perspective and knowledge of the
permitting process is gaining the ability and knowledge necessary to find, interpret, and apply
appropriate regulations to the process. In this arena, one of the major challenges in processing a
permit is ensuring consistency in regulatory interpretations between the local/state agency, EPA
Region, and EPA headquarters.

It must be understood that permit processing is not an exact science, neither is it a stationary
process. New rules and regulations are constantly being added and current rules are subject to
modification. Therefore, the art of permit writing is an evolutionary process requiring the permit
writer to constantly upgrade skill and knowledge levels.

Overview

There is a tremendous amount of knowledge and information used in the preparation of air permits.
The magnitude of the knowledge and information precludes covering all aspects of air permitting in a
single training document or with just a few days or weeks of experience. The purpose of this course
is to introduce the basic components and processes necessary for the creation of a proper permit.

This first lesson will provide an overview of the origins and basis for the air permitting programs.
Basic terms related to permit processing are introduced and defined. To avoid wandering into the
minute details of the air permitting processes, many definitions given will be very short and basic.
The purpose of the short definitions is to provide a basic understanding of air permitting concepts, not
to provide an exhaustive description of all of the complex variables that can cause some terms to take
on different meanings and values.

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Objectives
Upon completion of this lesson, the student should be able to:

1. Describe the basic purpose of the federal air permit programs.

2. In the context of air quality control, define (generally) the following terms:
a. (emission) source
b. emission unit
c. potential-to-emit
d. permitting authority
e. non-attainment area
f. major source
g. state implementation plan

Air Permits
Air permits are the result of federal and state legislation designed to protect air quality. Federal
and state agencies have been established to regulate and control all businesses and industries
having the potential to discharge pollutants into the atmosphere. Businesses and industries that
are capable of reaching or exceeding certain established thresholds of pollutant release are
required to have a permit. The purpose of the permit is to legally limit the amount of air
pollutants released into the atmosphere. It is important to understand that the permit programs are
designed to control and limit the total amount of pollutants released over both wide geographic
areas and near sources themselves by controlling
and limiting releases at the individual sources.
source: a business operation,
A source may have many processes with different organization, plant, or plant
equipment being used for each process, and each complex, whose operation is
piece of equipment within the process may capable of creating and
produce one or more different air pollutants. Each releasing regulated air
piece of equipment within a source that is capable pollutants
of producing one or more air pollutants is identified as an emission unit.

Exercising control over air emissions by

implementing statutory and regulatory
emission unit: each piece of
requirements is the purpose of the air permit
equipment within a source that
programs. This control is effected via one or more
is capable of producing air
types of permit programs and accompanying
pollutants
permits. The type of program or permit required,
and subsequently the content or composition of a
permit for a given source will depend primarily upon three basic factors:

1. The source's potential-to-emit (PTE).

potential-to-emit: the amount
2. The type of emission(s) the source can emit. of emissions a source is capable
of emitting, not necessarily the
amount it is or will actually
emit
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3. The status of the area in which the source is located.

[The three factors will be described in more detail later.]

The content or composition of a finished air permit will vary from state to state. Generally
speaking, an air permit contains a description of the source and specifies the various enforceable
standards and limits that apply to the source. Most permits also contain specific monitoring,
recordkeeping and reporting requirements.

An air permit that has been duly issued by the
proper permitting authority carries the force of
law behind it. Thus, violation of permit conditions
can result in enforcement action by the appropriate
authority.
permitting authority: any
federal, state, or local agency
mandated under law to issue
permits and assure air quality

Air quality management and the air permit programs take their lead from federal clean air
legislation, and it was the 1990 Clean Air Act Amendments (1990 CAAA) that had the most
profound effect and impetus for the permitting programs. The following paragraphs outline the
legislative and regulatory processes relative to the Clean Air Act (CAA).

A detailed description of the legislative and regulatory processes is beyond the scope of this
manual. Many terms may be introduced in the text that follows. Those terms and concepts (in
bold type) pertinent to understanding this manual will be described or defined more fully as they
are applied in the lessons that follow.

Legislation, Regulation, Authority, and Responsibilities

Legislation and Regulations

The CAA (Clean Air Act) is the statute or law passed by the U.S. Congress establishing the
scope of clean air management and provides the authority to implement and control air
emission standards. The CAA is subdivided into segments called "titles," and was last
amended in 1990 to provide additional air quality elements. Creation of air quality
regulations at the federal level is vested in the Environmental Protection Agency (EPA).
EPA has the authority to delegate its authority to states that meet certain criteria.

States and local areas also have created air quality regulations. It is important to note that
federal mandate requires that state and local regulations must be: at least as stringent as the
federal regulations (they may be more stringent).

The CAA (statute or law), itself, does not contain language defining how air quality is to be
established and maintained. The "how to" is defined in regulations. Air quality regulations
are developed under the auspices of the EPA and delegated to responsible agencies. The
regulatory language is found in The Code of Federal Regulations (CFR) and this "how to"
language is used in the content of permits. Air programs are found under CFR Title 40 and
are noted as: 40CFR xxx (where: xxx = part).

1990 Clean Air Act Amendments and Air Permits

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The 1990 Clean Air Act Amendments

(CAAA) to the Clean Air Act (CAA) effected
non-attainment area: a
major revisions to the Clean Air Act, and
geographic area that does not
numerous requirements have had an impact on
meet (exceeds) established air
air permitting. Title I of the 1990 CAAA, for
pollution levels (National
example, defined different classes of non-
Ambient Air Quality
attainment areas and changed the definition
Standards).
of a major source (for now we will use a very
simplified definition of major source). Since
many aspects of air permitting programs major source: a source capable
determine applicability on the basis of source of producing emissions equal to
category, the change in definition impacted or greater than established
permitting. thresholds. Generally, sources
are classified as major or non-
The major change brought into effect is the major sources
creation of the Title V operating air permit
program, which requires that all states establish a uniform operating air permit program with
EPA approval and delegation of the program. This is the first such uniform program
established by Congress for air permits. In addition to the Title V operating permit program,
Congress also established a uniform permitting program for electric utility generating plants,
under the Title IV acid rain program to be integrated into Title V permits.

Permitting Authority
Permitting authority was defined earlier, but a little more background is in order. At the
federal level, the Clean Air Act gives EPA the authority to implement numerous air quality
programs and other statutory requirements related to attaining and maintaining air quality
standards and requirements. Therefore, in this role, EPA has the authority to establish permit
programs. EPA also has the authority to delegate the authority to implement certain
programs to state and local permitting authorities (agencies). Thus, EPA can delegate
permitting authority to states. The state then has the authority to implement an appropriate
permitting program. Whether a program is administered by EPA or by a state or local
agency, the agency who administers the program is generically referred to as the permitting
authority or permitting agency.

State Implementation Plan (SIP)

A formal mechanism by which EPA can state implementation plan: a
approve authority for state agencies is through plan developed by a state or
a state implementation plan (SIP). Each state local entity and approved by the
develops a plan for carrying out the mandates EPA detailing how air quality
of the CAA. The plan must, at a minimum, management will be assured
meet CAA requirements. However, a state
may elect to include (state) regulations that
exceed federal (CAA) requirements. Upon approval by the EPA, the state implementation
plan (SIP) becomes the state's legal authority for enforcing federal Clean Air Act
requirements. It must be noted that if the EPA does not approve a particular element of the
state implementation plan (SIP) the EPA will implement and control that air program.

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Responsibilities
Permits have different origins within the regulatory framework of air quality. Although most
permit programs have an origin within the federal framework of the Clean Air Act, some
permit programs are solely state or local in origin and many states had permit programs prior
to the 1990 Clean Air Act Amendments (CAAA). This manual will consider only the
federally mandated programs. Listed below are the three primary players in the permitting
process and some of their more significant functions.

EPA
• Develop and promulgate federal regulations for the air quality programs, thus
establishing minimum requirements for air quality programs.

• Review and approve (or object to) delegation of permitting program authority to
the state or local agency.

• Review and approve (or object to) issuance of certain types of permits.

• Administer a permit program for a state if the permit program cannot be

approved for that state.

State (Local) Permitting Agency

• Approved, the state agency handles the entire permit process.

• Work with the applicant to assure accurate and effective permit will be created.

• Process applications, prepare a proposed permit, and forward the proposed permit
to EPA for approval (does not apply to all permits).

• Issue a permit (with EPA approval, if required).

• Administratively manage the permit program, including financial management,

public participation, issuance, and renewal of permits.

Emission Source (Applicant)

• Complete and submit the appropriate permit application.

• Work with the issuing authority in providing correct and additional information
on a timely basis.

• Comply with all the terms and conditions of the permit.

Permit Fees (Title V)

A key federal requirement of state operating permit programs is that states establish an
adequate fee program. This requirement was placed in the 1990 Amendments to ensure that
states will have sufficient resources to administer the operating permit program. EPA defined
the scope of costs that must be covered by the fees, and each state’s operating permit program

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submittal to EPA must demonstrate how the total fees collected will adequately cover those
costs. States have taken a number of different approaches in establishing these fees for
individual sources.

Permit fees for small sources vary considerably by state. Some states have annual fee
assessments based on emissions. Other states have a fixed annual administrative fee that is
based on source classification (e.g. small, synthetic minor, Title V, PSD, etc.). A permit
should contain specific language requiring the prompt payment of fees.

Appendix A contains additional text relative to the CAA history. The material contained therein is
for reference and is not included in course testing.

In the following lessons, the basic steps for initiating and processing air permits will be presented.
However, due to unique classification and requirements, acid rain permits will not be included in
these lessons.

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Review Questions
1. The purpose of the air permitting programs is to:
a. Establish uniform controls for emissions
b. Legally limit the amounts of air pollutants released by a source.
c. Regulate the release of certain toxics into the atmosphere.
d. Prohibit release of certain toxics into the atmosphere.
e. Provide a revenue base for air pollution control organizations

2. A source can consist of:

a. Each piece of equipment capable of emitting pollutants into the atmosphere
b. A geographic area where pollutants are emitted into the atmosphere
c. All stationary pieces of equipment and/or processes, in one location, capable of emitting
pollutants into the atmosphere.
d. a and c above
e. All of the above

3. An emission unit is:

a. A business, plant, or organization whose operation is capable of creating and releasing
air pollutants
b. A measure of the amount of pollutants a source is capable of emitting, not necessarily the
amount that is actually emitted
c. A piece of equipment within a source capable of emitting air pollutants
d. A source capable of emitting pollutants in excess of established thresholds
e. None of the above

4. Potential-to-emit refers to:

a. A business, plant, or organization whose operation is capable of creating and releasing
air pollutants
b. A measure of the amount of pollutants a source is capable of emitting, not necessarily the
amount that is actually emitted
c. A piece of equipment within a source capable of emitting air pollutants
d. A source capable of emitting pollutants in excess of established thresholds
e. None of the above

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5. A major source is:

a. A business, plant, or organization whose operation is capable of creating and releasing
air pollutants
b. A measure of the amount of pollutants a source is capable of emitting, not necessarily the
amount that is actually emitted
c. A piece of equipment within a source capable of emitting air pollutants
d. A source capable of emitting pollutants in excess of established thresholds
e. None of the above

6. As a result of the 1990 Clean Air Act Amendment, EPA no longer has to approve a Title V
operating permit issued by the state.
a. True
b. False

7. A state or local authority gains permitting authority upon EPA approval of:
a. CAA
b. CAAA
c. CFR
d. PTE
e. SIP

8. Permit conditions are likely to be more stringent for a source located in a non-attainment
area.
a. True
b. False

9. The term potential-to-emit refers to the amount of air pollutants a source would emit if it did
not have an air permit.
a. True
b. False

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Review Question Answers

1. b. Legally limit the amounts of air pollutants released by a source.

2. d. a and c above (b is too broad)

3. c. A piece of equipment within a source capable of emitting air pollutants

4. b. A measure of the amount of pollutants a source is capable of emitting, not

necessarily the amount that is actually emitted

5. d. A source capable of emitting pollutants in excess of established thresholds

6. b. False. The 1990 CAAA gave EPA authority to approve Title V permits.

7. e. SIP

8. a. True

9. b. False

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