UNITEDSTATESENVIRONMENTALPROTECTIONAGENCYRESEARCHTRIANGLEPARK,NC27711PRO12



# OCT

22001OFFICEOFVAIRQUALITYPLANNINGANDSTANDARDSMEMORANDUMSUBJECT:GuidanceonSIPElementsRequiredUnderSections11O(a)(1)and(2)forthe19978-hourOzoneandPM25NationalAmbientAirQualityStandardsFROM:çWilliamT.Harnett,D 

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0AirQualityPolicyDiTO:AirDivisionDirectors,RegionsI-XThepurposeofthismemorandumistoprovideguidanceonthe“infrastructure”elementsforStateImplementationPlans(SIPs)requiredundersection11O(a)(1)and(2)oftheCleanAirAct(CAA)forthe19978-hourozoneandfineparticulatematter(PM2.5)nationalambientairqualitystandards(NAAQS).AttachmentAtothismemoprovidesalistofthebasicelementsthatStatesmustincludeintheirSIPs.TotheextentthatexistingSIPsforozoneandparticulatematteralreadymeettheserequirements,StatesneedonlycertifythatfacttotheEnvironmentalProtectionAgency(EPA).TotheextentthatexistingSIPsforozoneandparticulatematterfailtoaddressanyoftheserequirementsforpurposesofthe19978-hourozoneorPM2,5NAAQS,StatesneedtomaketimelySIPsubmissionstoEPAtoaddresstheserequirements.WeanticipatethatStateswillalreadyhaveapprovedSIPsinplaceforozonethatmeetthebasicrequirementsofsections110(a)(1)and(2).ForPM25,however,weanticipatethatmanyStatesmayneedtomakeSIPrevisionstoensurethattheirexistingSIPsforpriorparticulatematterNAAQSarerevisedtoincludethenewparticlesizeindicator.Background--OnJuly18,1997,theEPApromulgatednewandrevisedNAAQSforozoneandparticulatematter.Forozone,EPArevisedtheNAAQStoprovidean8-houraveragingperiod(versusa1-houraveragingperiodforthepre-existingNAAQS),andsetthelevelofthestandardat0.08ppm(versus0.12ppmforthepre-existingNAAQS).ForPM,EPApromulgatedanew24-hourandanewInternetAddress(UJRL)•http://www.epa.govRGcycled/Recyc?abfB•PthiIedw1hVegetableOilBasedInksonRecycledPaper(Minimum25%Poslconsumer)annualNAAQSforPM2.5(particleswithanaerodynamicdiameterlessthanorequaltoanominal2.5micrometers).’Undersections110(a)(1)and(2)oftheCAA,allStatesarerequiredtosubmitplanstoprovidefortheimplementation,maintenance,andenforcementofthe8-hourozoneandPM2,5standards.Sections110(a)(1)and(2)requireStatestoaddressbasicSIPrequirements,includingemissionsinventories,monitoring,andmodelingtoassureattainmentandmaintenanceofthestandards.Bystatute,SIPsmeetingtherequirementsofsections1l0(a)(l)and(2)aretobesubmittedbyStateswithin3yearsafterpromulgationofaneworrevisedstandard.Thisbeingthecase,StateswererequiredtosubmitsuchSIPsforthe1997standardstoEPAnolaterthanJuly2000.However,interveninglitigationoverthe19978-hourozoneandPM2.5NAAQS,createduncertaintyabouthowtoproceedand,todate,StateshavenotsubmittedSIPstomeetthebasicorinfrastructurerequirementsenumeratedinsections110(a)(1)and(2).InMarchof2004,EarthJusticeinitiatedalawsuitagainstEPAforfailuretotakeactionagainstStatesthathadnotmadeSIPsubmissionstomeettherequirementsofsectionsll0(a)(1)and(2),i.e.,failuretomakea“findingoffailuretosubmit.”OnMarch10,2005,EPAenteredintoaConsentDecreewithEarthJusticethatobligatesEPAtomakeofficialfindingswhetherStateshavemaderequiredSIPsubmissionsbydatescertain.TheConsentDecreeobligatesEPAtodeterminewhetherStateshavemadeSIPsubmissionsrequiredtomeetCAAsection110(a)(2)(D)(i)relatingtointerstatetransportbynolaterthanMarch15,2005..TheConsentDecreealsoobligatesEPAtomakeadeterminationwhetherStateshavemadesubmissionsnecessarytomeettheremaining110(a)(l)and(2)requirementsbyDecember15,2007,forthe8-hourozoneNAAQS,andbyOctober5,2008,forthePM2.5NAAQS.2Itshouldbenotedthatthelatterdeterminationspertainonlytowhetherthesubmissionsarecomplete,pursuanttosection110(k)(1)(A),anddonotconstituteEPAapprovalordisapprovalofsuchsubmissions.Inaddition,thedeterminationsrequiredbytheConsentDecreeexplicitlyexcludeanydeterminationsregarding:(i)‘Morerecently,onDecember18,2006,EPAagainrevisedthestandardsforparticulatematter,tighteningthe24-hourPM25standardfrom65microgramspercubicmeter(jig/rn3)to35jig/rn,3andretainingthecurrentannualfineparticlestandardat15l.Lg/m3EPAalsodecidedtoretaintheexisting24-hourPM10standardof150jig/rn3andtorevoketheannualPM,0.ThisguidancedocumentappliesonlytotheSIPsubmissionrequirementsforthe19978-hourOzoneandPM25NAAQS.EPAwilladdressSIPrequirementsforthe2006NAAQSseparately,althoughtheAgency-notesthatthestatutoryrequirements-forSIPsforneworrevisedNAAQSarecomparable.-2ThedatesspecifiedintheConsentDecreereflecttheanticipateddatesforsubmissionofnonattainmentareaSIPsforeachNAAQS,plussixmonthsforEPAevaluation.EPApresumedthatStateswouldmakeSIPsubmissionsmeetingthebasicrequirementsofsections110(a)(l)and(2)foreachNAAQScontemporaneouslywith,ornotlaterthan,SIPsmeetingthenonattainmentareaplanrequirements.EPAnotesthatrecentdecisionsbytheU.S.CourtofAppealsfortheDistrictofColumbiaconcerningtheimplementationruleforthe8-hourOzoneNAAQShaveaffectedcertainnonattainmentareaSIPrequirements.Thesejudicialdecisionsdonot,however,affectStates’obligationsundertheCAAorEPA’sobligationsundertheConsentDecreeconcerningtheinfrastructureSIPrequirementsofsections110(a)(1)and(2).2submissionsrequiredbysection110(a)(2)(C)totheextentthatsubsectionpertainstoanonattainmentareanewsourcepermitprograminpartDTitleIoftheCAA;and(ii)submissionsrequiredbysection1l0(a)(2)(I)forPartDTitleInonattainmentareaplans.InaccordancewiththeConsentDecree,EPAhasalreadypublishedafindingthatallStateshadfailedtosubmitnewSIPsaddressinginterstatetransportforthe8-hourozoneandPM2,5NAAQS,asrequiredbysection110(a)(2)(D)(i)oftheCAA(70FR21147,April25,2005).Thatfindinginitiateda2-yeardeadlineforthepromulgationofaFederalImplementationPlan(FIP)byEPAforeachsuchStateunless,priortothattime,eachStatemakesasubmissiontomeettherequirementsofSection110(a)(2)(D)(i)andEPAapprovessuchsubmission.OnMay12,2005,EPApublishedtheCleanAirInterstateRule(CAIR)whichidentifiesthedegreetowhichemissionsofSO2andNOincertainStatessignificantlycontributetononattainmentof,orinterferewithmaintenanceof,the19978-hourozoneandPM2.5NAAQSindownwindStates,andthereductionsthatmustbeachievedinthoseStatestoeliminatesuchcontributions.OnAugust15,2006,EPAissuedguidanceentitled“GuidanceforStateImplementationPlan(SIP)SubmissionstoMeetCurrentOutstandingObligationsUnderSection110(a)(2)(D)(i)forthe8-hourOzoneandPM25NationalAmbientAirQualityStandards.”Thesection110(a)(2)(D)(i)guidanceindicatesthatStateswithintheCAIRregioncansatisfy110(a)(2)(D)bysatisfyingtherequirementsoftheCAIR,andaddresseswhatotherStatesthatareoutsideoftheCAIRregionshouldconsiderdoingtomeetthe“significantcontribution”and“interferewithmaintenance”requirementsofsection1l0(a)(2)(D)(i)forthe1997standards.Thesection110(a)(2)(D)(i)guidancealsoaddresseswhatallStates(whetherinsideoroutsideoftheCAIRregion)shouldconsiderinmakingSIPsubmissionstomeetthe“preventionofsignificantdeterioration”and“protectvisibility”requirementsofsection110(a)(2)(D)(i).TheSIPsubmissionsaddressedbythesection110(a)(2)(D)(i)guidancearethosethatarenecessarytorectifythefindingoffailuretosubmitthatEPAhasalreadyissuedforallStatesforsection110(a)(2)(D)(i).TheguidancecontainedinthismemorandumisintendedasareminderthatStatesmusthaveSIPsforthe19978-hourozoneandPM25NAAQSthatmeetalloftherequirementsofsections110(a)(l)and(2).PursuanttotheConsentDecree,EPAhasanobligationtotakeactiontodeterminewhetherStateshavemadesuchsubmissionsbythedatesnotedabove.BecauseStatesshouldcurrentlybeintheprocessofsubmittingnonattainmentSIPsforthe8-hourozonestandardandworkingonnonattainmentareaSIPsforthePM25standard,wewanttoalertthemtobesurethattheirSIPsalsomeetthebasicrequirementsofsections110(a)(1)and(2).3GuidanceTheEPAbelievesthatthecurrently-approvedsection110SIPsforozonemayalreadybeadequateinmostcasestoimplementthe8-hourozoneNAAQS.Manyoftherequiredsection110(a)(1)and(2)SIPelementsrelatetothegeneralinformationandauthoritiesthatconstitutethe“infrastructure”oftheozoneairqualitymanagementprogram,andthesehavebeeninplacesincetheinitialSIPsweresubmittedinresponsetothe1970CleanAirAct.Forparticulatematter,however,EPAbelievesthatsomeStatesmayneedtoadoptlanguagespecifictothePM2.5NAAQStoensurethattheyhaveadequateSIPprovisionstoimplementthePM2.5NAAQS,e.g.,existingStatelawsmayrefertoPM10specificallyortoparticulatemattermoregenerally,ratherthantoPM2,5Webelievethatwithoneexception,theinfrastructurerequirementsofsections110(a)(1)and(2)arerelativelyselfexplanatory,andpastexperiencewithSIPsforotherNAAQSshouldenableStatestomeettheserequirementswithassistancefromEPARegions.Theoneexceptionissection110(a)(2)(G)relatingtoemergencyepisodes,forwhichEPAintendstotakeadditionalregulatoryactiontoprovidenecessarynumericallimitsandconcentrationlevelsforemergencyepisodeactionplansforPM2,5.Statesshouldreviewandrevise,asappropriate,theirexistingozoneandparticulate.matterSIPstoensurethattheyareadequatetoaddressthe8-hourozoneandPM25NAAQS.IfaStatedeterminesthatitsexistingSIPisadequate,thentheStateneedstocertify,viaalettertotheAgencyfromtheGovernororhis/herdesignee,thattheexistingSIPscontainprovisionsthataddresstherequirementsforthe8-hourozoneandPM2,5NAAQS.IfaStatedeterminesthatitsexistingozoneorparticulatematterSIPsareinadequate,however,thentheStateneedstosubmitaSIPrevisiontomaketheappropriatechanges.WithrespecttoPM2,5StatesmayfinditmoreadvantageoustorevisethelanguageintheirSIPstoidentify.”particulatematter”asthepollutantbeingimplementedanddefinethesizefractionsas“thosethatEPAhascurrentlysetfortheNAAQS”totheextentsuchanapproachwouldbeauthorizedbyStatelaw.Thiswillensurethattheprovisionsremainadequateintheeventthatfuturechangesoccurtotheparticulatematterstandards.StatescouldalsospecifybothPM10andPM2.5asthesizefractionsifaStatepreferstobemorespecific.AsanaidtotheStatesinaddressingthePM2,5relatedrequirementsofSection110(a)(2)(G)pertainingtoemergencyepisodeprovisions,EPAintendstotakeactiontorevise40CFR,Part51,subpartH(sections51.150).Therulechangeswillestablishthepriorityclassificationswhichdeterminetheemergencyepisodeplanrequirementsforeachareaandestablishasignificantharmlevel(SHL)forPM25.Untilthesechangesarefinal,EPArecommendsthatStatesrelyonrelevantinformationcontainedinupcomingEPAruleproposalsorotherEPAissuedinterimguidancetosatisf’thesection110(a)(2)(G)requirementsforPM25.AfterEPAissuesfinalrules,EPAwillworkwithStatestoreviseSIP4submissionsthatwerebasedoninteriminformation,asappropriate.Statesmaywishtotakeadvantageoftheparallelprocessingmechanismformakingtheirsection110(a)(2)(G)submittalintheinterimwhileEPAcompletesrulemakingsontheSHLandtheemergencyepisodeplanrequirementsunder40CFR51.150.TheSHLforthe8-hourozoneNAAQSwillremainunchangedas0.60ppmozone,2-hraverage,asindicatedin40CFRPart51.151.EPAbelievesthattheexistingozone-relatedprovisionsof40CFRSubpartHremainappropriate.Therefore,EPAexpectsthatforpurposesofthe19978-hourozoneNAAQS,StatesneedonlytoconfirmthattheyhaveexistingemergencyepisodeplanprovisionsconsistentwithEPA’sexistingregulatoryrequirements.Bystatute,StatesarerequiredtomakeSIPsubmissionstomeetthebasicrequirementsofCAAsections110(a)(1)and(2)within3yearsafterpromulgationofanyneworrevisedstandards.Forthe19978-hourozoneandPM2.5standards,thisdeadlinewasJuly2000.ByConsentDecree,asnotedabove,EPAhasagreedtomakeadeterminationwhetherornotStateshavesubmittedSIPstomeettheserequirementsbyadatecertain.Inthecaseof8-hourozoneSIPs,thisdateisDecember15,2007.ForPM2.5SIPs,thisdateisOctober15,2008.InorderforEPAtoevaluatethesubmissionsadequately,EPArequeststhatStatesmaketheircertificationsofSIPadequacyorSIPrevisionsassoonaspossibleandtotheextentfeasiblesufficientlyinadvanceofthesedatestoallowEPAtimetodeterminewhethercompletesubmissionshavebeenmade.Ifyouhaveanyquestionsconcerningthisguidance,pleasecontactMr.DavidSandersat(919)541-3356.PleaseensurethattheappropriateairagencyofficialsforStatesinyourRegionaremadeawareofthisguidance.Attachmentscc:MargoOge,OTAQStevePage,OAQPSBrianMcLean,OAPRichardWayland,OAQPSLydiaWegman,OAQPSPeterTsirigotis,OAQPS5AttachmentA:RequiredSection110SIPElementsTheSIPelementslistedbelowarerequiredundersection11O(a)(1)and(2).Section11O(a)(1)providestheproceduralandtimingrequirementsforSIPs.Section1lO(a)(2)liststhebasicor“infrastructure”elementsthatallSIPsmustcontain.Wenotethatthislistisnotintendedtoconstituteaninterpretationoftheseprovisions,orachangeofpastpracticewithrespecttotheseprovisions,merelyabriefdescriptionoftherequiredSIPelements.Emissionlimitsandothercontrolmeasures:Section11O(a)(2)(A)requiresSIPstoincludeenforceableemissionlimitsandothercontrolmeasures,meansortechniques,schedulesforcomplianceandotherrelatedmatters.EPAnotesthatthespecificnonattainmentareaplanrequirementsofsection11O(a)(2)(I)aresubjecttothetimingrequirementofsection172,notthetimingrequirementofsectionIIO(a)(1),andalsothatSIPstomeetthissectionarenotcoveredbytheConsentDecree.Ambientairqualitymonitoring/datasystem:Section11O(a)(2)(B)requiresSIPstoincludeprovisionstoprovideforestablishmentandoperationofambientairqualitymonitors,collectingandanalyzingambientairqualitydata,andmakingthesedataavailabletoEPAuponrequest.Programforenforcementofcontrolmeasures:Section1lO(a)(2)(C)requiresStatestoincludeaprogramprovidingforenforcementofallSIPmeasuresandtheregulationofconstructionofnewormodifiedstationarysourcestomeetpreventionofsignificantdeterioration(PSD)andnonattainmentNSRrequirements.Interstatetransport:Section11O(a)(2)(D)requiresSIPstoincludeprovisionsprohibitinganysourceoiothertypeofemissionsactivityinoneStatefromcontributingsignificantlytononattainment,orinterferingwithmaintenance,oftheNAAQsinanotherState,orfrominterferingwithmeasuresrequiredtopreventsignificantdeteriorationofairqualityortoprotectvisibilityinanotherState.EPAhasalreadyissuedCAIRtoassistStatesindevelopingSIPstomeetthisrequirementforpurposesofthe8-hourOzoneandPM25NAAQS,andhasissuedseparateguidancetoallStatesonhowtocomplywitheachprongofthisstatutoryprovision.Adequateresources:Section11O(a)(2)(E)requiresStatestoprovideforadequatepersonnel,funding,andlegalauthorityunderStatelawtocarryoutitsSIP,andrelatedissues.Stationarysourcemonitoringsystem:Section11O(a)(2)(F)requiresStatestoestablishasystemtomonitoremissionsfromstationarysourcesandtosubmitperiodicemissionsreports.Emergencypower:Section11O(a)(2)(G)requiresStatestoprovideforauthoritytoaddressactivitiescausingimminentandsubstantialendangermenttopublichealth,includingcontingencyplanstoimplementtheemergencyepisodeprovisionsintheirSIPs.FutureSIPrevisions:Section11O(a)(2)(H)requiresStatestohavetheauthoritytorevisetheirSIPsinresponsetochangesintheNAAQS,availabilityofimprovedmethodsforattainingtheNAAQS,orinresponsetoanEPAfindingthattheSIPissubstantiallyinadequate.Consultationwithgovernmentofficials:Section1IO(a)(2)(J)requiresStatestoprovideaprocessforconsultationwithlocalgovernmentsandFederalLandManagerscarryingoutNAAQSimplementationrequirementspursuanttosection121relatingtoconsultation.Publicnotification:Section1lO(a)(2)(J)furtherrequiresStatestonotifithepublicifNAAQSareexceededinanareaandtoenhancepublicawarenessofmeasuresthatcanbetakentopreventexceedances.PSDandvisibilityprotection:Section11O(a)(2)(J)alsorequiresStatestomeetapplicablerequirementsofpartCrelatedtopreventionofsignificantdeteriorationandvisibilityprotection.Airqualitymodeling/data:Section11O(a)(2)(K)requiresthatSIPsprovideforperformingairqualitymodelingforpredictingeffectsonairqualityofemissionsfromanyNAAQSpollutantandsubmissionofsuchdatatoEPAuponrequest.Permittingfees:Sectionl1O(a)(2)(L)requiresSIPstorequireeachmajorstationarysourcetopaypermittingfeestocoverthecostofreviewing,approving,implementingandenforcingapermit.Consultation/participationbyaffectedlocalentities:Section1lO(a)(2)(M)requiresStatestoprovideforconsultationandparticipationinSIPdevelopmentbylocalpoliticalsubdivisionsaffectedbytheSIP.2fita.