Draft as of 6/17/11

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MEMORANDUM

SUBJECT: Guidance on SIP Elements Required Under Sections 110(a)(1) and (2) for the 

2008 Lead (Pb) National Ambient Air Quality Standards (NAAQS)

FROM: Scott Mathias

Interim Director, OAQPS

TO: Regional Air Division Directors, Regions 1 – 10

This guidance addresses the “infrastructure” elements for State Implementation Plans 

(SIPs) to meet the requirements of sections 110(a)(1) and 110(a)(2) of the Clean Air Act (CAA) 

for the 2008 Pb NAAQS (see 73 FR 66964). http://69.175.53.6/register/2008/nov/12/E8-

25654.pdf. On October 15, 2008, EPA revised the primary and secondary Pb NAAQS from 

1.5 micrograms per cubic meter (μg/m3) to 0.15 μg/m3. Pursuant to sections 110(a)(1) and 

110(a)(2) of the CAA, each State is required to submit a plan to provide for the implementation, 

maintenance, and enforcement of a newly promulgated or revised NAAQS. 

The CAA directs states to address basic SIP requirements (see Attachment A), to ensure 

attainment and maintenance of the NAAQS. The CAA provides that states are to submit SIPs 

addressing the requirements of sections 110(a)(1) and 110(a)(2) within 3 years of promulgation 

of a new or revised standard.1 EPA recognizes that many of the required section 110(a)(2) 

elements relate to the general information and authorities that constitute the infrastructure of a 

State’s air quality management program – elements that have been in place since the initial SIPs 

were submitted in response to the Clean Air Act of 1970 and some required element may have 

been adopted to satisfy the infrastructure SIP requirements for the 1997 PM 2.5, 1997 8-hour 

ozone, and 2006 PM 2.5 NAAQS. It is the responsibility of each State to review its air quality 

management program's infrastructure SIP provisions in light of each new or revised NAAQS.

 

1 Although the effective date of the Federal Register notice for the final rule was January 12, 

2009, the rule was signed by the Administrator and publicly disseminated on October 15, 2008. 

Therefore, the deadline for submittal of infrastructure SIPs for the 2008 Pb NAAQS is 

October 15, 2011. http://www.epa.gov/oaqps001/lead/fr/20081112.pdf
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Determining Completeness of State Submittals

Pursuant to section 110(a)(1), States will have to review and revise, as appropriate, their 

existing Pb NAAQS SIPs to ensure that the SIPs are adequate to address the 2008 Pb NAAQS. 

States should, in consultation with EPA Regional Offices, refer to applicable EPA regulations 

governing SIP submittals per 40 CFR Part 51. http://ecfr.gpoaccess.gov/cgi/t/text/textidx?c=ecfr&tpl=/ecfrbrowse/Title40/40cfr51_main_02.tpl

These regulations include, but are not limited to:

- Subpart I – Review of New Sources and Modifications

- Subpart J – Ambient Air Quality Surveillance

- Subpart K – Source Surveillance

- Subpart L – Legal Authority

- Subpart M – Intergovernmental Consultation

- Subpart O – Miscellaneous Plan Content Requirements

- Subpart P – Protection of Visibility

- Subpart Q – Reports.

If a State determines that its existing SIP is adequate, then the State's SIP submittal may 

be a certification that the existing SIP contains provisions addressing all requirements of the 

section 110(a)(2) infrastructure elements as applicable for the 2008 Pb NAAQS. Such 

certification (e.g., in the form of a letter to EPA from the Governor or her/his designee) should 

cite the applicable provisions in the existing SIP. As for all SIP submittals, section 110(l) directs 

the state to provide reasonable public notice and opportunity for public hearing on a certification 

letter prior to submission to EPA.

Section 110(a)(2) specifies the elements and sub-elements that are required In order for 

EPA to determine that an infrastructure SIP submittal is complete. Specifically, each State 

should include documentation demonstrating a correlation between each infrastructure element 

and an equivalent State statutory or regulatory authority in the existing or submitted SIP. At a 

minimum, a complete submittal is a letter from an appropriate State official (e.g., Governor or 

designee) certifying compliance with each element which has gone through state notice and 

hearing procedures. Furthermore, the State should provide a specific description of how 

compliance with each element is achieved. Submittals lacking a detailed explanation for how the 

State’s SIP meets each applicable requirement of section 110(a)(2) should be found incomplete

and a letter should be sent to the state notifying it of the finding of incompleteness. EPA's 

criteria for determining the completeness of a SIP submittal are set out in EPA's regulations at 40 

CFR Part 51, Appendix V. http://ecfr.gpoaccess.gov/cgi/t/text/text-
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idx?c=ecfr&sid=efccd778ba0879113d39b8894d179d4a&rgn=div9&view=text&node=40:2.0.1.1

.2.22.11.14.36&idno=40

EPA has determined that the elements and sub-elements of section 110(a)(2) with respect 

to the 2008 Pb NAAQS are, for the most part, severable.2 For example:

 SIP submittals that address some but not all elements or sub-elements of 

section 110(a)(2) should be found incomplete for the unaddressed elements or subelements.

 If EPA makes a finding of failure to submit a SIP, that finding will only apply to the 

elements or sub-elements that were not addressed by the state’s SIP revision. In order for 

EPA to make a determination as to whether a subsequent SIP submittal is complete, the 

state only be required to submit those elements that were earlier found not to have been 

submitted.

 A State's obligation to make a SIP submittal that addresses one or more infrastructure SIP 

elements cannot be fulfilled through a letter from the State that merely promises a future 

submittal.

A finding that a SIP submittal is complete does not necessarily mean that the submittal is 

approvable, because the completeness review only addresses whether the State has provided 

information sufficient to warrant formal EPA review for approvability. Section 110(k) directs 

EPA to take final action on a SIP submittal within 1 year after the SIP is determined to be 

complete. If EPA makes an affirmative finding that a SIP submittal is complete, the date of the 

finding establishes the "completeness date" for the submittal; if EPA makes no finding, the 

submittal is deemed complete, by operation of law, on the date 6 months after the submittal date. 

Actions on a SIP submittal may include approval (full, partial, or conditional) and disapproval 

(full or partial).

The obligations of EPA to promulgate a Federal Implementation Plan (FIP) are set out in 

section 110(c) of the CAA. EPA's obligation to promulgate a FIP for a state is triggered if EPA 

takes any of the following actions associated with the required SIP: 1) EPA makes a finding that 

a State has failed to make a SIP submittal; 2) EPA makes a finding that a state has made an 

incomplete submittal; or 3) EPA disapproves a SIP submittal. If EPA takes one of these actions, 

Section 110(c) directs EPA to take further action within 2 years, under what is commonly 

 

2 Please see Attachment A for clarification of “severable” versus “non-severable” infrastructure 

elements. 
Draft as of 6/17/11

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referred to as the "FIP clock.” In order to remove EPA from the FIP obligation, a state SIP 

submittal must meet the applicable requirements and be approved by EPA.

For Further Information

If you have any questions concerning this guidance, please contact Mia South by 

telephone at (919) 541-5550 or by email at south.mia@epa.gov. Please ensure that the 

appropriate air agency officials for states in your Region are made aware of this guidance.

Attachments

cc: 
Draft as of 6/17/11

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Attachment A: Required Section 110 Infrastructure SIP Elements

The Clean Air Act (CAA) directs states to address basic State Implementation Plan (SIP)

requirements to implement, maintain and enforce the standards. Under CAA sections, By law, 

sections 110(a)(1) and 110(a)(2) states are to submit these SIPs within 3 years after 

promulgation of a new or revised standard. Many of the section 110(a)(2) SIP elements relate to 

the general information and authorities that constitute the "infrastructure" of a state's air quality 

management program, and these have been in place since the initial SIPs were submitted in 

response to the 1970 CAA. It is the responsibility of each state to review its air quality 

management program's infrastructure SIP provisions in light of each new or revised NAAQS.

States should review and revise, as appropriate, their existing SIPs to ensure that they are 

adequate to address the 2008 NAAQS. States should, in consultation with EPA Regional Offices, 

follow applicable EPA regulations governing SIP submittals in 40 CFR Part 51 - e.g., Subpart I 

("Review of New Sources and Modifications"), Subpart J (Ambient Air Quality Surveillance), 

Subpart K (Source Surveillance), Subpart L (Legal Authority), Subpart M ("Intergovernmental 

Consultation"), Subpart O (Miscellaneous Plan Content Requirements), Subpart P ("Protection of 

Visibility"), and Subpart Q ("Reports"). 

For many infrastructure SIP elements, a SIP submittal should refer to and include 

citations to relevant state regulations. See, e.g., our guidance below regarding elements (F), (H), 

(J), and (M). For EPA's general criteria for SIP submittals, refer to 40 CFR Part 51, Appendix V, 

"Criteria for Determining the Completeness of Plan Submissions." http://cfr.vlex.com/vid/51-

criteria-determining-completeness-19784745. For example, in accordance with Appendix V, 
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paragraph 2.1(d), a SIP submittal would include a copy of the actual regulation that the state is 

submitting for approval and incorporation by reference into its SIP.

Pursuant to section 110(a), states must provide reasonable notice and opportunity for 

public hearing for all infrastructure SIP submittals. Pursuant to EPA's regulations at 40 CFR 

Part 51, a SIP submittal will include a certification by the state that the public hearing was held 

in accordance with EPA's procedural requirements for public hearings. See paragraph 2.1(g) of 

Appendix V to Part 51 and 40 CFR 51.102. http://cfr.vlex.com/vid/51-102-public-hearings19784894.

If a state believes that its existing approved infrastructure SIP is adequate, then the state's 

SIP submission may be a certification that the existing SIP contains provisions addressing all 

requirements of the section 110(a)(2) infrastructure elements as applicable for the 2008 Pb 

NAAQS. Such certification (e.g., in the form of a letter to EPA from the Governor or her/his 

designee) should cite the applicable provisions in the existing SIP and provide a specific 

description of how compliance with each element is achieved. 

Section 110(a)(2) of the CAA directs all states to develop and maintain an air quality 

management infrastructure that includes enforceable emission limitations, an ambient monitoring 

program, an enforcement program, air quality modeling capabilities, and adequate personnel, 

resources, and legal authority. Section 110(a)(2)(D) also directs SIPs to prevent emissions from 

within the state that contribute significantly to nonattainment in any other state, or that interfere 

with maintenance in any other state, or that interfere with programs under part C of the CAA to 

prevent significant deterioration of air quality or to protect visibility in any other state.
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Two elements identified in section 110(a)(2) are not governed by the 3-year submission 

deadline of section 110(a)(1). The elements pertain to part D, in title I of the CAA, which 

addresses plan requirements for nonattainment areas. Therefore, the following section 110(a)(2) 

elements are considered by EPA to be outside the scope of infrastructure SIP actions: 

(1) section 110(a)(2)(C) to the extent it refers to permit programs (known as "nonattainment new 

source review") under part D; and (2) section 110(a)(2)(I) in its entirety. EPA does not expect 

infrastructure SIP submittals to include regulations or emission limits developed specifically for 

attaining the relevant standard. Those submittals are due at the time the nonattainment area 

planning elements are due (18 months following designation).

Except as described above, subsections (A) through (M) of section 110(a)(2) set forth the 

infrastructure elements that a SIP should address, in order to be approved by EPA. The 

elements are presented below in context of the 2008 Pb NAAQS. 

Section 110(a)(2)(A): Emission limits and other control measures

“Each such plan shall [. . .] include enforceable emission limitations and other control 

measures, means, or techniques (including economic incentives such as fees, marketable 

permits, and auctions of emissions rights), as well as schedules and timetables for 

compliance, as may be necessary or appropriate to meet the applicable requirements of 

this chapter.”

EPA would not expect infrastructure SIP submission to identify nonattainment emission 

controls. Emissions limitations and other control measures to attain the 2008 NAAQS in areas

designated nonattainment for the 2008 Pb NAAQS are due on a different schedule from the 
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section 110 infrastructure elements and will be reviewed and acted upon through a separate 

process. However, the infrastructure SIP submission should include 

a list or table referencing all Pb emission reduction measures adopted and relied on by the state to 

meet other CAA requirements, such as maintenance of the 2008 NAAQS.

SIP submittals such as for the 2008 Pb NAAQS should be consistent with EPA's 

longstanding policy on SSM and director's discretion, which policy is briefly summarized as 

follows3 See page 25652 http://69.175.53.6/register/2011/may/05/2011-10995.pdf. Because 

excess emissions might aggravate air quality so as to prevent attainment and maintenance of the 

NAAQS and compliance with other CAA requirements, EPA views all periods of excess 

emissions as violations of the applicable emission limitation. Therefore, an approvable SIP 

submittal cannot exempt from enforcement excess emissions that may occur at a facility during a 

period of startup or shutdown. Further, an approvable SIP submittal cannot automatically 

exempt from enforcement excess emissions claimed to result from an equipment malfunction. In 

addition, an approvable SIP submittal cannot allow a state air director the discretion to determine 

whether an instance of excess emissions is a violation of an emission limitation, because such a 

determination could bar EPA and citizens from enforcing applicable requirements.

Section 110(a)(2)(B): Ambient air quality monitoring/data system

 

3

For further description of EPA's policy on SSM and director's discretion, see, e.g., a memorandum dated 

September 20, 1999, entitled, "State Implementation Plans: Policy Regarding Excess Emissions During 

Malfunctions, Startup, and Shutdown," from Steven A. Herman, Assistant Administrator for Enforcement and 

Compliance Assurance, and Robert Perciasepe, Assistant Administrator for Air and Radiation.
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“Each such plan shall [. . .] provide for establishment and operation of appropriate 

devices, methods, systems, and procedures necessary to

(i) monitor, compile, and analyze data on ambient air quality, and 

(ii) upon request, make such data available to the Administrator.”

To meet section 110(a)(2)(B) requirements for this NAAQS, the state’s SIP monitoring system 

should: 

 Monitor air quality for Pb at appropriate locations throughout the state using EPA 

approved Federal Reference Method or equivalent monitors. States would need to install 

new Pb monitors in accordance with recent revisions to the Pb monitoring network 

requirements. See the Lead Ambient Air Monitoring Requirements, December 14, 2010 

http://origin.www.gpo.gov/fdsys/pkg/FR-2010-12-27/pdf/2010-32153.pdf#page=1.

- Submit data to EPA’s Air Quality System (AQS) in a timely manner. AQ data reporting 

51.320, http://cfr.vlex.com/vid/51-320-annual-air-quality-data-report-19785104

 Submit approvable annual monitoring plans to EPA that describe how the state has 

complied with monitoring requirements and explain any proposed changes to the network.

 Provide the EPA Regional Office prior notification of any planned changes to monitoring 

sites or to the network plan.

Section 110(a)(2)(C): Programs for enforcement, PSD, and NSR

“Each such plan shall [. . .] include a program to provide for the enforcement of the measures 

described in subparagraph (A), and 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 this subchapter.”
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The Prevention of Significant Deterioration (PSD) and nonattainment New Source 

Review (NNSR) programs contained in parts C and D of Title I of the CAA, and collectively 

referred to as the major New Source Review (NSR) program, govern preconstruction review and 

permitting of any new or modified major stationary sources of air pollutants regulated under the 

CAA as well as any precursors to the formation of that pollutant when identified for regulation 

by the Administrator.4 The EPA rules addressing these programs can be found generally at 40 

CFR 51.166 and 52.21 (for PSD), and 51.165, 52.24, and Part 51, Appendix S (for NNSR).

http://cfr.vlex.com/vid/51-166-prevention-significant-deterioration-19784998, 

http://cfr.vlex.com/vid/124-41-definitions-applicable-psd-permits-19811787, 

http://cfr.vlex.com/vid/51-165-permit-requirements-19784994

http://www.federalregister.gov/articles/2007/03/08/E7-3888/nonattainment-new-source-reviewnsr

To meet section 110(a)(2)(C) requirements for this NAAQS, the SIP submitted should: 

 Reference relevant state and federal regulations that provide for enforcement of Pb

emission limits and control measures. 

 Identify the various state regulations that govern permitting of new and modified 

stationary sources (minor and major) of Pb in the state. 

 

4 The terms “major” and “minor” categorize a stationary source, for NSR applicability purposes, in terms of an 

annual emissions rate (tons per year, tpy) for a pollutant. Generally, a minor source is any source that is not 

“major.” “Major” is defined in the applicable NSR regulations—PSD or nonattainment NSR.
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 Revise its PSD program regulations to address any applicable EPA amendments to Pb 

PSD rules within 3 years from the date of such amendments. 

For areas subject to a state’s SIP-approved PSD program, the state should demonstrate that it 

is authorized to implement its existing PSD permit program to ensure that the construction and 

modification of major stationary sources does not cause or contribute to a violation of the Pb 

NAAQS. 

For areas subject to a state’s SIP-approved PSD program, the state should demonstrate 

that it is authorized to implement its existing PSD permit program to ensure that the construction 

and modification of major stationary sources does not cause or contribute to a violation of Pb 

NAAQS. The state's PSD program should ensure that new or modified sources will apply the 

Best Available Control Technology to reduce Pb emissions in accordance with CAA 

sections 165 (a)(3) and (4).

The state's PSD program should apply to sources that emit greenhouse gases (GHG) in 

accordance with EPA's Tailoring Rule.5 Among other things, the state's PSD program must 

either: (i) limit PSD applicability to GHG-emitting sources by adopting the applicability 

thresholds included in the Tailoring Rule; or (ii) adopt lower GHG thresholds and show that the 

state has adequate personnel and funding to administer and implement those lower thresholds. 

Otherwise, the state is directed to remove from EPA’s consideration for approval that portion of 

the SIP (or SIP submission) for which EPA rescinded our previous approval of the PSD program 

 

5 Prevention of Significant Deterioration and Title V Greenhouse Gas Tailoring Rule; Final Rule. 75 FR 31514 

(June 3, 2010).
Draft as of 6/17/11

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(in a rulemaking referred to as the "GHG PSD SIP Narrowing Rule").6 To request such removal, 

a state may choose to follow the example of the letter request submitted by South Carolina.7

If a state lacks a SIP-approved PSD program, it is subject to a federal implementation 

plan (FIP), and major stationary sources within its jurisdiction are subject to the federal PSD 

requirements in 40 CFR 52.21. Some states are subject to a FIP for PSD permitting of all 

regulated NSR pollutants, and fewer states are subject to a FIP for PSD permitting that is limited 

to GHG. Note that a state subject to a FIP for PSD permitting, whether applicable to all 

regulated NSR pollutants or limited to GHG, remains obligated to adopt and submit a PSD 

program for EPA approval that applies to all regulated NSR pollutants, including GHG. Until a 

state provides such a program, its SIP would not be approvable with respect to 

section 110(a)(2)(C).

Minor NSR programs are subject to the statutory requirements in section 110(a)(2)(C) of 

the CAA which requires “...regulation of the modification and construction of any stationary 

source ...as necessary to assure that the [NAAQS] are achieved.” These programs should be 

established in each state within 3 years of the promulgation of a new or revised NAAQS. 

EPA has not proposed to amend the PSD regulations with regard to the Pb NAAQS. EPA is

planning to issue Pb modeling guidance to supplement the guidance contained in EPA’s 

 

6

Limitation of Approval of Prevention of Significant Deterioration Provisions Concerning Greenhouse Gas-Emitting 

Sources in State Implementation Plans; Final Rule, 75 FR 82536 (December 30, 2010).

7

South Carolina's letter request can be found at http://www.regulations.gov, at EPA-R04-OAR-2010-0721-0006.
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Guideline on Air Quality Models (40 CFR Part 51 Appendix S), which will assist states and 

prospective sources in carrying out the analyses necessary to satisfy the PSD requirements for Pb. 

Section 110(a)(2)(D)(i): Interstate transport provisions

“Each such plan shall [...] contain adequate provisions:

prohibiting, consistent with the provisions of this subchapter, any source or other type of 

emissions activity within the state from emitting any air pollutant in amounts which willcontribute significantly to nonattainment in, or interfere with maintenance by, any other 

state with respect to any such national primary or secondary ambient air quality 

standard, or interfere with measures required to be included in the applicable 

implementation plan for any other state under part C of this subchapter to prevent 

significant deterioration of air quality to protect visibility.”

Section 110(a)(2)(D)(i) provides for SIPs to include provisions prohibiting any source or 

other type of emissions activity in one state from contributing significantly to nonattainment, or 

interfering with maintenance, of the NAAQS in another state. (The preceding requirements, 

from subsection (2)(D)(i)(I), respectively refer to what may be called prongs 1 and 2.) Further, 

this section directs SIPs to include provisions prohibiting any source or other type of emissions 

activity in one state from interfering with measures required to prevent significant deterioration 

of air quality, or from interfering with measures required to protect visibility (i.e., measures to 

address regional haze) in any state. (The preceding requirements, from subsection (2)(D)(i)(II), 

respectively refer to what may be called prongs 3 and 4.)

The physical properties of Pb prevent Pb emissions from experiencing the same travel or 

formation phenomena as PM2.5 or ozone. More specifically, there is a sharp decrease in Pb 

concentrations, at least in the coarse fraction, as the distance from a Pb source increases.8

 

8 Reference forthcoming
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Accordingly, while it may be possible for a source in a state to emit Pb in a location and in 

quantities that may contribute significantly to nonattainment in, or interfere with maintenance by, 

any other state, EPA anticipates that this would be a rare situation, e.g., where large sources are 

in close proximity to state boundaries. 

EPA believes that requirements of subsection (2)(D)(i)(I) (prongs 1 and 2) could be satisfied 

through a state’s assessment as to whether or not emissions from Pb sources located in close 

proximity to their state borders (e.g., within 2 miles) have emissions that impact the neighboring 

state such that they contribute significantly to nonattainment by having a emissions threshold of 

0.5 tons per year or greater or interfere with maintenance in that state.9 The states’ conclusions 

could be supported by the technical information or data used to support the initial area 

designations for Pb.

Therefore, to address prongs 1 and 2 of section 110(a)(2)(D)(i)(I) the state’s submission 

should include an explanation in support of the state’s conclusion and, if applicable, should 

address the impact in their submittal.

Under section 110(a)(2)(D)(i)(II), the PSD sub-element (prong 3) may be met by the state’s 

confirmation in a SIP submission that new major sources and major modifications in the state are 

subject to PSD and (if the state contains a nonattainment area for the relevant pollutant) NNSR 

programs that implement the 2008 Pb NAAQS.

10

 

9 Reference forthcoming

10 Memorandum issued by William T. Harnett, Director, OAQPS/AQPD, “Guidance on SIP Elements Required Under 

Sections 110(a)(1) and (2) for the 2006 24-Hour Fine Particle (PM2.5) National Ambient Air Quality Standards 

(NAAQS),” dated September 25, 2009.
Draft as of 6/17/11

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With regard to the requirement of prong 4, i.e., visibility under subsection (2)(D)(i)(II), 

significant impacts from Pb emissions from stationary sources are expected to be limited to short 

distances from the source and most, if not all Pb stationary sources are located at distances from 

Class I areas such that visibility impacts would be negligible. In addition, Pb is not directly 

regulated under sections 169(A) and (B) (visibility program) of the CAA. Although Pb can be a 

component of coarse and fine particles, Pb comprises a small fraction of coarse and fine 

particles. Furthermore, when evaluating the extent that Pb could impact visibility, Pb-related 

visibility impacts were found to be insignificant (e.g., less than 0.10%) .11 Since all areas are 

currently subject to the regional haze progam which addresses visibility-impairing pollutants, at 

this time EPA would not expect infrastructure SIP submissions for the Pb NAAQS to address 

prong 4.

Section 110(a)(2)(D)(ii): Interstate and International transport provisions

“Each such plan shall [. . .] contain adequate provisions insuring compliance with the 

applicable requirements of sections 115 or 126 (b) that involve Pb emissions (relating to 

interstate and international pollution abatement).” EPA has no reason to approve or 

disapprove any existing state rules with regard to these provisions.

Section 126(a) of the CAA directs each SIP to include provisions requiring a new or modified 

source to notify neighboring states of potential impacts from the source. States with SIPapproved PSD programs should have a regulatory provision in place, consistent with 40 CFR 

 

11 Ambient Pb’s Contribution to Class 1 Area Visibility Impairment, 6/172011, Mark Schmidt, OAQPS.
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51.166(q)(2)(iv), that requires such notification of other state and local agencies. 

http://cfr.vlex.com/vid/51-166-prevention-significant-deterioration-19784998.

States relying on the federal program requirements of 40 CFR 52.21(q), which provide for 

notification of affected state and local air agencies, to satisfy this requirement have programs that 

are technically deficient and not approvable.

http://edocket.access.gpo.gov/cfr_2010/julqtr/pdf/40cfr124.41.pdf.

Although, these programs are deficient and these States have not “submitted” anything to EPA, 

EPA would not be required to take further action with respect to this element because the federal 

rules represent a FIP which fully addresses the notification issue. In addition, mandatory 

sanctions would not apply because the deficiencies are neither with regard to a required submittal 

under part D nor in response to a SIP call under Section 110 (k) (5). 

http://www.epa.gov/air/caa/caaa.txt. As described in this infrastructure SIP guidance for element 

(c), such states remain obligated to adopt and submit a PSD program for EPA approval that 

applies to all regulated NSR pollutants, including, GHG. Until a state provides such a program, 

its SIP would not be approvable with respect to section 110 (a) (2) (D) (ii). 

Section 110(a)(2)(E): Adequate personnel, funding, and authority

“Each such plan shall [. . .] provide:

(i) necessary assurances that the state (or, except where the Administrator deems 

inappropriate, the general purpose local government or governments, or a regional agency 

designated by the state or general purpose local governments for such purpose) will have 

adequate personnel, funding, and authority under state (and, as appropriate, local) law to 

carry out such implementation plan (and is not prohibited by any provision of federal or 

state law from carrying out such implementation plan or portion thereof), 
Draft as of 6/17/11

17

(ii) requirements that the state comply with the requirements respecting state boards under 

section 128, (See section 40 CFR 52.1182, 

http://edocket.access.gpo.gov/cfr_2004/julqtr/pdf/40cfr52.1180.pdf

(iii) necessary assurances that, where the state has relied on a local or regional government, 

agency, or instrumentality for the implementation of any plan provision, the state has 

responsibility for ensuring adequate implementation of such plan provision.”

The SIP should assure that the state has adequate authority under its rules and regulations to 

carry out the state's SIP obligations with respect to the 20008 Pb NAAQS and to revise the SIP 

as necessary. See EPA's regulations at 40 CFR Part 51,subpart L (“Legal Authority”) and 

subpart O (“Miscellaneous Plan Content Requirements”). For example:

 In accordance with EPA's regulations at subpart L, the SIP should show that the state 

has the legal authority to carry out the plan; the provisions of the state's laws or 

regulations that provide that authority are to be specifically identified in the SIP, and 

copies of the laws or regulations should be included in the SIP submittal. See 40 

CFR sections 51.230 through 51.231. http://ecfr.gpoaccess.gov/cgi/t/text/textidx?c=ecfr&sid=b458b0027fa357aba560ed3fc0cbd3ef&rgn=div8&view=text&node=

40:2.0.1.1.2.9.8.1&idno=40\

 A state may assign responsibility for carrying out a portion of a SIP to a state 

government agency other than the state air pollution control agency, if the SIP 

demonstrates that such other agency has the necessary legal authority. Similarly, the 

state may authorize a local agency to carry out a SIP or portion of a SIP within the 

local agency's jurisdiction, if the SIP demonstrates that the local agency has the 
Draft as of 6/17/11

18

necessary legal authority; however, the authorizing state is not relieved of 

responsibility for carrying out the SIP. See 40 CFR 51.232, "Assignment of legal 

authority to local agencies." http://cfr.vlex.com/vid/51-232-assignment-legal-localagencies-19785032

 In accordance with EPA's regulations at subpart O, the SIP submittal should include 

copies of rules and regulations that show that the state has adopted the emission 

limitations and other measures necessary for attainment and maintenance of the 2008 

Pb NAAQS. See 40 CFR 51.281, "Copies of rules and regulations."

http://cfr.vlex.com/vid/51-281-copies-rules-and-regulations-19785057

Further, the SIP should assure that the state has adequate funding and personnel to 

implement the Pb NAAQS. See EPA's regulations at 40 CFR Part 51, subpart M 

("Intergovernmental Consultation") and subpart O ("Miscellaneous Plan Content 

Requirements"). For example:

 In accordance with EPA's regulations at subpart M, the SIP should identify the 

organizations that will participate in developing, implementing, and enforcing the SIP. 

The SIP should identify the responsibilities of such organizations and include related 

agreements among the organizations. See 40 CFR 51.240, "General plan requirements."

http://cfr.vlex.com/vid/51-240-general-plan-requirements-19785034 

 In accordance with EPA's regulations at subpart O, the SIP should describe 

resources for carrying out the SIP. Resources to be described include: (1) those available 

to the state (and local agencies, where appropriate) as of the date of SIP submittal; 
Draft as of 6/17/11

19

(2) those considered necessary during the 5 years following SIP submittal; and 

(3) projections regarding acquisition of the described resources. See 40 CFR 51.280, 

"Resources." http://law.justia.com/cfr/title40/40-2.0.1.1.2.12.9.1.html

Section 110(a)(2)(F): Stationary source monitoring and reporting

“Each such plan shall [. . .] require, as may be prescribed by the Administrator:

(i) the installation, maintenance, and replacement of equipment, and the implementation 

of other necessary steps, by owners or operators of stationary sources to monitor 

emissions from such sources, 

(ii) periodic reports on the nature and amounts of emissions and emissions-related data 

from such source

(iii) correlation of such reports by the state agency with any emission limitations or 

standards established pursuant to this chapter, which reports shall be available at 

reasonable times for public inspection.”

The SIP should provide citations to the state's regulations for source monitoring, 

recordkeeping, and reporting requirements applicable to Pb. For example: The Air Emission 

Reporting Rule (AERR). http://www.federalregister.gov/articles/2008/12/17/E8-29737/airemissions-reporting-requirements.

In accordance with EPA regulations at 40 CFR Part 51, subpart K ("Source Surveillance"), 

the SIP should provide for monitoring the status of sources' compliance with the Pb NAAQS. 

http://ecfr.gpoaccess.gov/cgi/t/text/textidx?c=ecfr&sid=0dd0e4252c33076cd2cbb6b9423d9006&r

gn=div6&view=text&node=40:2.0.1.1.2.8&idno=40 For example, the SIP should include 

provisions for owners or operators of stationary sources to maintain records of emissions and 

other information as may be necessary to enable the state to determine whether the sources are in 

compliance, and the SIP should further include provisions for the sources to periodically report 
Draft as of 6/17/11

20

that information to the state. See 40 CFR 51.211, "Emission reports and recordkeeping." 

http://cfr.vlex.com/vid/51-211-emission-reports-recordkeeping-19785011

The SIP should include provisions for stationary sources subject to the Pb NAAQS to 

install, calibrate, maintain, and operate equipment for continuously monitoring and recording 

emissions, and the SIP should further include provisions for the sources to maintain the 

monitoring data and periodically submit it to the state. See 40 CFR 51.214, "Continuous 

emission monitoring." http://cfr.vlex.com/vid/51-214-continuous-emission-monitoring-19785021

In accordance with EPA regulations at 40 CFR Part 51, subpart A ("Air Emissions 

Reporting Requirements")

http://ecfr.gpoaccess.gov/cgi/t/text/textidx?c=ecfr&tpl=/ecfrbrowse/Title40/40cfr51_main_02.tpl

and subpart Q ("Reports"), the responsible state agency should analyze the Pb emissions data and 

correlate such data with applicable emission limitations or standards. The SIP should provide for 

periodic reporting of emissions inventory data by the state to the Administrator (through the 

appropriate Regional Office). See e.g., 40 CFR 51.321. http://cfr.vlex.com/vid/51-321-annualsource-emissions-report-19785106. All reports should be made available to the public.

Section 110(a)(2)(G): Emergency episodes

“Each such plan shall provide for authority comparable to that in section 303 of this title 

and adequate contingency plans to implement such authority.”

Section 303 of the CAA provides authority to the EPA Administrator to restrain any source 

from causing or contributing to emissions which present an “imminent and substantial 
Draft as of 6/17/11

21

endangerment to public health or welfare, or the environment. As directed under section 

110(a)(2)(G), each SIP submittal should specify authority, rested in an appropriate official, to 

restrain any source from causing or controlling Pb emissions. The SIP should also contain a plan 

determined adequate by the state to implement the authority to constrain sources of Pb emissions, 

as necessary, in an emergency situation. As part of the infrastructure SIP submittal, the plan 

should be comply with regulations at 40 CFR 51.150 through 51.153 as applicable. 

http://cfr.vlex.com/vid/51-150-classification-regions-episode-19784960

For Pb, EPA regulations do not specify priority region classifications or other specific 

requirements for the content of contingency plans. Therefore, states should determine the content 

of an adequate plan. Example regulations that states could choose to adopt to satisfy the element

(G) are presented in Appendix L to 40 CFR Part 51. http://cfr.vlex.com/vid/appendix-51-

example-pollution-episodes-19784732

Section 110(a)(2)(H): Future SIP revisions

“Each such plan shall [. . .] provide for revision of such plan—

(i) from time to time as may be necessary to take account of revisions of such national 

primary or secondary ambient air quality standard or the availability of improved or 

more expeditious methods of attaining such standard, and 

(ii) except as provided in paragraph (3)(C), whenever the Administrator finds on the 

basis of information available to the Administrator that the plan is substantially 

inadequate to attain the national ambient air quality standard which it implements or to 

otherwise comply with any additional requirements established under this chapter 

(CAA).”
Draft as of 6/17/11

22

The SIP should provide citations to the state regulatory provisions requiring the state to 1) 

revise its section 110 plan from time to time as may be necessary to take into account revisions of 

such primary or secondary NAAQS or the availability of improved or more expeditious methods 

of attaining such standards; and 2) revise its section 110 plan in the event the Administrator finds 

the plan to be substantially inadequate to attain the NAAQS. See 40 CFR 51.104, “Revisions”.

http://cfr.vlex.com/vid/51-104-revisions-19784899

Section 110(a)(2)(I): Nonattainment area plan or plan revision Under Part D 

“Each such plan shall [. . .] in the case of a plan or plan revision for an area designated 

as a nonattainment area, meet the applicable requirements of part D of this subchapter 

(relating to nonattainment areas).”

As noted in the inductor text of this infrastructure SIP guidance document, EPA would not 

expect infrastructure SIP submissions to address subsection 110(a)(2)(I). Nonattainment area 

plans required under part D are required on a different schedule from the section 110 

infrastructure elements and will be reviewed and acted upon through a separate process. 

Section 110(a)(2)(J): Consultation with government officials, public notification, PSD and 

visibility protection

“Each such plan shall [. . .] meet the applicable requirements of section 121 of this title 

(relating to consultation), section 127 of this title (relating to public notification), and part C 

of this subchapter (relating to prevention of significant deterioration of air quality and 

visibility protection).”
Draft as of 6/17/11

23

The SIP should reference the state rules that provide a process of consultation with general 

purpose local governments, designated organizations of elected officials of local governments,

and any federal land manager having authority over federal land to which the plan applies, 

consistent with the requirements of CAA § 121.

The SIP should provide citations to regulations requiring the state to regularly notify the 

public of: instances or areas in which any primary NAAQS was exceeded; the associated health 

hazards; and ways in which the public can participate in regulatory and other efforts to improve 

air quality. See 40 CFR 51.285, “Public notification”. http://cfr.vlex.com/vid/51-285-publicnotification-19785060

Pursuant to the CAA, a SIP should allow a state to implement any new PSD requirements 

that are triggered upon the effective date of any new NAAQS. However, sources in a state may 

be subject to the federal PSD requirements pursuant to 40 CFR 52.21, if a state does not have a 

SIP-approved PSD program. http://cfr.vlex.com/vid/52-prevention-significant-deterioration19785934. As described in this infrastructure SIP guidance for element (C), such states remain 

obligated to adopt and submit a PSD program for EPA approval that applies to all regulated NSR 

pollutants, including GHG. Until a state provides such a program, its SIP would not be 

approvable with respect to section 110(a)(2)(J).

With regard to the requirement of the plan to meet the applicable requirements for 

visibility protection, EPA would not expect to treat this provision as applicable for purposes of 

the infrastructure SIP approval process. EPA recognizes that states are subject to visibility

protection and regional haze program requirements under Part C of the Act (which includes 

sections 169A and 169B). However, in the event of the establishment of a new primary NAAQS, 
Draft as of 6/17/11

24

the visibility protection and regional haze program requirements under part C do not change. 

Thus, EPA concludes there are no new applicable visibility protection obligations under section 

110(a)(2)(J) as a result of the 2008 Pb NAAQS. 

Section 110(a)(2)(K): Air quality modeling/data

“Each such plan shall [. . .] provide for—

(i) the performance of such air quality modeling as the Administrator may prescribe for 

the purpose of predicting the effect on ambient air quality of any emissions of any air 

pollutant for which the Administrator has established a national ambient air quality 

standard, and 

(ii) the submission, upon request, of data related to such air quality modeling to the 

Administrator.”

The SIP should demonstrate that the state has the authority and technical capability to 

conduct air quality modeling in order to assess the effect on ambient air quality of relevant 

pollutant emissions; and that the state can provide relevant data as part of the permitting and 

NAAQS implementation processes. The SIP should also provide that, upon request, the state will 

submit current and future data relating to such air quality modeling to the Administrator. EPA 

anticipates that the predominant type of air quality modeling to be conducted with respect to 

implementing the Pb NAAQS will be source-oriented dispersion modeling with models such as 

AERMOD.

Section 110(a)(2)(L): Permitting fees

“Each such plan shall require the owner or operator of each major stationary source to 

pay to the permitting authority, as a condition of any permit required under this chapter, 

a fee sufficient to cover—

(i) the reasonable costs of reviewing and acting upon any application for such a permit, 

and 
Draft as of 6/17/11

25

(ii) if the owner or operator receives a permit for such source, the reasonable costs of 

implementing and enforcing the terms and conditions of any such permit (not including 

any court costs or other costs associated with any enforcement action), until such fee 

requirement is superseded with respect to such sources by the Administrator’s approval 

of a fee program under subchapter (title) V of this chapter.”

The SIP should provide citations to the regulations providing for collection of permitting 

fees under the state’s EPA-approved Title V permit program. See 40 CFR 70.9 (“Fee 

determination and certification”), http://cfr.vlex.com/vid/70-9-fee-determination-certification19801429, 40 CFR Part 70, Appendix A, “Approval Status of State and Local Operating Permits 

Programs”, http://law.justia.com/cfr/title40/40-15.0.1.1.7.0.1.12.14.html.

Section 110(a)(2)(M): Consultation/participation by affected local entities

“Each such plan shall [. . .] provide for consultation and participation by local political 

subdivisions affected by the plan.”

To satisfy this element (M), and in accordance with EPA's regulations at 40 CFR Part 51, 

subpart M ("Intergovernmental Consultation"), http://cfr.vlex.com/vid/51-240-general-planrequirements-19785034 the SIP should identify the organizations that will participate in 

developing, implementing, and enforcing the SIP. Further, the SIP should identify the 

responsibilities of such organizations and include related agreements among the organizations. 

See 40 CFR 51.240, "General plan requirements." http://cfr.vlex.com/vid/51-240-general-planrequirements-19785034

The SIP should identify policies or procedures requiring consultation and participation by 

local political subdivisions affected by the SIP. For example, the SIP should provide a citation to 

the state regulations that provide notice and opportunity for public hearing in accordance with 
Draft as of 6/17/11

26

EPA regulations at 40 CFR Part 51, subpart F ("Procedural Requirements") 

http://ecfr.gpoaccess.gov/cgi/t/text/textidx?c=ecfr&rgn=div8&view=text&node=40:2.0.1.1.2.3.8.

1&idno=40. Prior to submitting a SIP revision or a compliance schedule, a state must provide 

notice, provide the opportunity to submit written comments, and allow the public the opportunity 

to request a public hearing. See 40 CFR 51.102, "Public hearings." http://cfr.vlex.com/vid/51-

102-public-hearings-19784894.