UNITED STATES ENVIRONMENTAL PROTECTION A G EN CY RESEARCH TRI A NG L E PAR K , N C 27711 

### OCT 2 2007



## MEMORANDUM OFF I CE OF AIR QUALITY P LANN IN G

AND STANDARDS



### SUBJECT: Guidance on SIP Elements Required Under Sections l lO(a)( l ) and (2) for the 1997 8

-hour Ozone and PM2 .s National Ambient Air Quality Standards 

### FROM: 

# ri,,William T

. Harnett, Direct

_ ;( (} 

# j

# ~ lJAir Quality Policy

# Divi**i;~f(t** T O : Air Division Directors, Regions I-X

The purpose ofthis memorandum is to provide guidance on the "infrastructure" elements for State Implementation Plans (SIPs) required under section l l O(a)(l) and (2) ofthe Clean Air Act (CAA) for the 1997 8-hour ozone and fine particulate matter (PM2 . 5) 

### national amb i ent air quality standards (NAAQS). Attaclunent A to this memo provides a list ofthe basic elements that States must include in their SIPs. To the extent that exist i ng SIPs for ozone and particulate matter already meet these requirements, States need only certify tha t fact to the Environmental Protection Agency (EPA). To the extent that existing SIPs for ozone and particulat e matter fail to address any of these requirements for purposes of the 1997 8-hour ozone or PM2 .s NAAQS, Sta tes need to make timely SIP submissions to EPA to address these requirements. We anticipate that States will already have approved SIPs in place for ozone that meet the basic requirements of sections 11 O(a)(l) and (2). For PM25 , however, we anticipate that many States may need to make SIP revisions to ensure that their existing SIPs for prior particulate matter NAAQS are revised to include the new part icle size indicator. 

### Backg r ound On July 18, 1997, the EPA promulgated new and revis ed NAAQS for ozo ne and particulate matter. For ozone, EPA revised the NAAQS to provide an 8-hour averaging period (ver sus a 1 -hour averaging period for the p re-exi sting NAAQ S) , and set the level ofthe standard at 0.08 ppm (versus 0

. 12 ppm for the pre-existing NAAQS). For PM, EPA promulgated a new 24-hour and a new

I nternet Address (URL) • http :/ /www.epa
. gov Recycl&d/Recyclable •Printed**w~h** Vege tab l e OU Based I nks on Recycled Pape r (Min imum 25% Postconsumer)annual NAAQS for PM2 . 5 (particles with an aerodynamic diameter less than or equal to a nominal 2.5 micrometers). 1
Under sections l IO(a)(l) and (2) of the CAA, all States are required to submit plans to provide for the implementation, maintenance, and enforcement of the 8-hour ozone and PM2 .5 standards. Sections l lO(a)(l) and (2 ) require States to address basic SIP requirements, including emissions inventories, monitoring, and modeling to assure attainment and maintenance of the standards. By statute, SlPs meeting the r equirements of sections l lO(a)(l) and (2) are to be submitted by States within 3 years after promulgation of a new or revised standard. This being the case, States were required to submit such SIPs for the 1997 standards to EPA no later than July 2000. However, intervening litigation over the 1997 8-hour ozone and PM2 .s NAAQS, created uncertainty about how to proceed and, to date, States have not submitted SIPs to meet the basic or infrastructure requirements enumerated in sections 11 O(a)(l) and (2). In March of2004, Earth Justice initiated a lawsuit against EPA for failure to take action against States that had not made SIP submissions to meet the requirements of sections 11 O ( a)(l) and (2), i.e., failure to make a "finding of failure to submit." On March 10, 2005, EPA entered into a Consent Decree with Earth Justice that obligates EPA to make official findings whether States have made required SIP submissions by dates certain. The Consent Decree obligates EPA to determine whether States have made SIP submissions required to meet CAA section 11 O(a)(2)(D)(i) relating to interstate transport by no later than March 15, 2005. The Consent Decree also obligates EPA to make a determination whether States have made submissions necessary to meet the remaining 1 lO (a)(l) and (2) requirements by December 15, 2007, for the 8-hour ozone NAAQS, and by October 5, 2008, for the

### PM**.~** NAAQS. 2 

### It should 

### be noted that the latter determinations pertain only to whether the submissions are complete, pursuant to section l lO(k)(l)(A), and do not constitute EPA approval or disapproval of such submissions. 

### In addition, the determinations required by the Consent Decree explicitly exch_ide any determinations regarding: (i)

1 More recently, on December 18, 2006, EPA again revised the standards for particulate matter, tightening the 24-hour PMi.s standard from 65 micrograms per cubic meter (μg/mJ) to 35 μg/m, 3 and retaining the current annual fine particle standard at 15 μg/m 3

. EPA also decided to retain the existing 24-hour PM 10 standard of 150 μg/m 3 and to revoke the annual PM 10 . This guidance document applies only t o the SIP submission requirements fo r the 1997 8-hour Ozone and PM 2.s NAAQS. EPA will address SIP requirements for the 2006 NAAQS separately, although the Agency notes that the statutory requirements for SIPs for new or revised NAAQS are comparable. 2The dates specified in the Consent Decree reflect the anticipated dates for submission of nonattainment area SIPs for each NAAQS, plus six months for EPA evaluation. EPA presumed that States would make SIP submissions meeting the basic requirements of sections 11 O ( a)( I) and (2) fo r each NAAQS contemporaneously with, or not later than , SIPs meeting the nonattainment area plan requirements. EPA notes that recent decisions by the U.S. Court of Appeals for the District of Columbia concerning the implementation rule for the 8-hour Ozone NAAQS have affected certain nonattainment area SIP requirements. These judicial decisions do n ot, however, affect States ' obligations under the CAA or EPA's obligations under the Consent Decree concerning the infrastructure SIP requirements of sections 11 O(a)( I) and (2). 2submissions required by section 11 O(a)(2)(C) to the extent that subsection pertains to a nonattainment area new source permit program in part D Title I of the CAA; and (ii) submissions required by section 11 O(a)(2)(1) for Part D Title I nonattainment area plans. In accordance with the Consent Decree , EPA has al ready published a finding that all States had failed to submit new SIPs addressing interstate transport for the 8

-hour ozone and PM2 .5 NAAQS, as required by section 11 O(a)(2)(D)(i) of the CAA (70 FR 21147, April 25, 2005). That finding initiated a 2-year deadline for the promulgation of a Federal Implementation Plan (FIP) by EPA for each such State unless, prior to that time, each State makes a submission to meet the requirements of Section 11 O(a)(2)(D)(i) and EPA approves such submission. On May 12, 2005, EPA published the Clean Air Interstate Rule (CAIR) which identifies the degree to which emissions of S0 2 and NOx in certain States significantly contribute to nonattainment of, or interfere with maintenance of, the 1997 8

-hour ozone and PM2 .5 NAAQS in downwind States, and the reductions that must be achieved in those States to eliminate such contribut i ons . On August 15, 2006, EPA issued guidance entitled "Guidance for State Implementation Plan ( SIP) Submissions to Meet Current Outstanding Obligations Under Section 11 O(a)(2)(D)(i) for the 8-hour Ozone and 

### PM2s National Ambient Air Quality Standards." The section 11 O(a)(2)(D)(i) guidance indicates that States within the CAIR region can satisfy 1 1 O(a)(2)(D) by satisfying the requirements of the CAIR, and addresses what other States that are outside of the CAIR region should consider doing to meet the "significant contribution" and "interfere with maintenance" requirements of section 1 1 O(a)(2)(D)(i) for the 1997 standards. The section 11 O(a)(2)(D)(i) guidance also addresses what all States (whether inside or outside of the CAIR region) should consider in making SIP submissions to meet the "prevention of significant deterioration" and "protect visib ility" requirements of section 11 O(a)(2)(D)(i)

. The SIP submissions addressed by the section 11 O(a)(2)(D)(i) gui dan ce are· those that are necessary to rectify the finding of failure to submit that EPA has already is sued for all States for section 11 O(a)(2)(D)(i). The guidance contained in this memorandum is intended as a reminder that States must have SrPs for the 1997 8-hour ozone and PM2 . 5 NAAQS that meet all of the requirements of sections llO(a)(l) and (2). Pursuant to the Consent Decree, EPA has an obligation to take action to determine whether States have made such submissions by the dates noted above. Because States should currently be in the process of submitting nonattainrnent SIPs for the 8-hour ozone standard and working on nonattainment area S!Ps for the PM2 . 5 standard, we want to alert them to be sure that their SIPs also meet the basic requirements of sections 11 O(a)(l) and (2)

.

3

### Guidance The E PA believes that the currently-approved section 110 SIPs for ozone may already be adequate in most cases to implement the 8-hour ozone NAAQS. Many of the required section 11O(a)(1) and (2) SIP elements relate to the general information and authorities that constitute the "infrastructure" of the ozone air quality management program, and these have been in place since the initial SIPs were s ubmitted in response to the 1970 Clean Air Act. For particulate matter, however, E PA believes that some States may need to adopt language specific to the PM2 

### .s NAAQS to ensure that they have adequate SIP provisions to implement the P M2 .s NAAQS, e.g., e xisti ng State laws may refer to PM 1o specificall y or to particulate matter more generally, rather than to PM2 . 5 . We believe that with one exception, the infrastructure requirements of sections 11 O(a)(l) and (2) are relatively self explanatory, and past experience with SIPs for other NAAQS should enable States to meet these requ ir ements with assistance from EPA Regions. The one exception is section 110(a) (2)(G) relating to emergency episodes, for which EPA intends to take additional regulatory action to provide necessary numeri cal limits and concentration levels for emergency episode action plans for PM2 5

. States should review and revise, as approp riate, their ex isting ozo ne and part iculate.ma tter SIPs to ensure that t hey are adequate to address the 8 -h our ozone and PM2 .s NAAQS. 

### If a State determines that its existing SIP is adeq uate , then the State needs to certify, via a letter to the Agency from the Governor or his/her designee, that the existing SIPs contain provisions that address the requirements for the 8

- hour ozone and PM2
. 5 NAAQS. 

### If a State determines that its existing o zone or particulate matter SIPs are inadequate , however, then the State needs to submit a SIP revision to make the appropriate changes

. With respect to PM2s, States may find \t more advantageous to revise the language in their SIPs to identify "part ic ulat e matter" as t h e pollutant being imp lemented and define the size fractions as "thos e that EP A has currently set for the NAAQS" to the exte nt such an approach would be authorized by State law. This will ensure that the provisions remain adequate 

### in the event that future changes occur to the particulate matter standards. States could also specify both PM 1 0 and PM2

.5 as the size fractions if a Stat e prefers to b e m ore specific. As an aid to the States in addressing the PM2
.5 re lated requirements of Section 11 O(a)(2)(G) pertaining to emergency episode provisions, EPA intends to take action to revi se 40 CFR, Part 51, subpart H (sec tions 51.150). The rule changes will establi sh the priority classifications which determine the emergency episode plan requirements for each area and establish a significant harm level (SHL) for PM2

.s- Until these changes are final , EPA recommends that States rely on relevant information contained 

### in upcoming EPA rule proposals or other EP A

issued inte rim g uidance to satisfy the section 11 O(a)(2)(G) requirements for PM2. 5 . Afte r EPA issues final rules, EPA w ill work with States to revise SIP
4submiss i ons that were based on interim information, as appr opriate. States may wi sh to take advantage of the parallel processing mechanism for making their section 11 O(a)(2)( G ) s ubm ittal in the interim while EPA completes rulemakings o n the SHL and the emergency episode plan requirements under 40 CFR 51.150. The SHL for the 8-hour ozone NAA Q S will remain unchanged as 0.60 ppm ozone, 2 -hr average, as indi cated in 40 CFR Part 51.151. E PA believes t hat the existing ozone-related provisions of 40 CFR Subpart H remain appropriate. Therefore, EPA expects that for purposes of the 1997 8

- hour ozone NAAQS, States need only to confirm that they have existing emergency episode plan provisions consistent with EPA's existing regulatory requirements. By s tatute, States are required to make SIP submissions t o meet the basic requirements of CAA sec tions 1 lO(a)(l) and (2) within 3 years after promulgation of any new or revi s ed standards. For the 1997 8-hour ozone and PM2 . 5 standards, thi s deadline was July 2000. By Consent Decree , as noted above, E PA has agreed to make a determination whether or not States have submitted SIPs to meet these requirements by a date certain. In the case of 8-hour ozone SIPs, this date is December 15, 2007. For PM 2

.s SIPs, this date i s October 15, 2008. In order for EPA to evaluate the submissions adequate ly, EPA requests that Sta tes make their certificat ions of SIP adequacy or SIP rev i sion s as soon as poss ib le and to the extent feasible sufficiently in advance ofthese dates to allow EPA time to determine whether complete submissions have been made. If you have any questions concerning this guidance, please contact Mr

. Dav id Sanders at ( 919) 541

- 3356. Please ensure that the appropriate air agency o fficials for States in your Region are made aware of this guidance. Attaclunents

cc : Margo Oge, OT AQ Steve Page, OAQPS Brian McLean , OAP Richard Wayland, OAQPS Lydia Wegman, OAQPS Peter Tsirigotis, OAQPS



### 5Attac hment A: Required Sectio n 110 S IP E le m ents The SIP e lement s listed below are required under section 11O(a)(1) and (2). Section 11 O(a)(l) provides the pro cedural and timing requi rements for SIPs. Section 11 O(a)(2) lists the basic or " infra structure" elements that all SIPs must contain. We note that this list is not intended to constitute an interpretation of these provisions, or a change ofpast practice with respect t o these provisions, merel y a brief description of the required SIP elements.

E mi ss io n limits and o ther co ntrol m eas u res: Section l 10(a)(2)(A) requires SIPs to include enforcea ble em ission limits and other control meas ures, means or techniques, schedules fo r compl iance and other re lated mat ters. EP /\. notes that the specific nonattainment area plan requirements of section 11 O(a)(2)(I) are s ubjec t to the timing requirement of section 172, not the timing requirement of section 11 O(a)(l ), and also that SIPs to meet this secti o n are no t covered by the Consent De cree. Ambie nt ai r quali ty monitoring /data system: Section 11 O(a)(2)(B) requires SIPs to include provisions to provide for estab li shment and operation of ambient air qu ality monitors, c o llecting and analyzi ng amb ient air quality data, and making these data available to EPA upon reque st. P ro g r am for e nforcem e nt of co ntrol m eas ures: Section 11 O(a)(2)(C) requ i res States to include a program providing fo r enforcement of all STP measures and the regulation of construc ti o n of new or modified stat ionary sources to meet prevention of significant deterioration (PS D) and nonattainment NSR requirements
. Interstate tran sport: Section 11 O(a)(2)(D) requires SIPs to include provisions prohibiting a ny source or other type of emission s activity in one S tate from contributing s ig nificantly to nonattai nment, or interfering 

### with maintenance , of the NAAQs in another State, or from interferin g with measures required to prevent significant deterioration of air quality or to pro tect visibility in another S tate. EPA has already issued CAIR to ass i st S tates in developing SIPs to meet this requirement fo r purposes of the 8-hour Ozone and PM 2. 5 • AAQS; and has issued separate guidance to all States on how to comply with each prong o f thi s statutory provis ion. Adequate resources : Section 11 O( a)(2)(E) requires States to provide for adequate personnel, funding, and legal authority under S ta te law to carry out its SIP, and r e lated issues. Stationary s ourc e monitoring sys tem: Section 1 1 O(a)(2)(F) requires States to establish a system to monitor emissions from stationary sources and to submitperiodic emissions reports. E m e r gency pow e r: Section 

### 11 O(a)(2)(G) requires States to provide for authority to address activities causing imminent and substantial endangerment to public health, including contingency plans to implement the emergency episode provisions in their SIPs.
F ut ure SIP r ev is ion s: Section 

### 11 O(a)(2)(H) requ ires States to have the autho ri ty to revise their SIPs in response to changes in the NAAQS, availability of improved methods for attaining the NAAQS, or in respo11se to an EPA finding t11at the SIP is substant i ally inadequate. Co nsultation wit h government officials : Section 11 O(a)(2)(J ) requires States to provide a process for consultation with local governments and Federal Land Managers carrying out NAAQS implementation requirements pursu ant to section 121 relating to consultation.
P ublic n otifi c ati o n: Section 

### 11 O(a)(2)(J) further requires States to notify the public if NAAQS arc exceeded in an area and to enhance public awareness of measures that can be taken to prevent exceedances

. P S D an d v is ibility protectio n: Secti on 11 O(a )(2)(J) a lso requires Stat e s to meet applicable requirements ofpart C related to prevention of significant deterioration and visibility protection. Air qu a lity m o d eling /data: Section 11 O(a)(2)(K) requires that SIPs provide for performing air quality modeling for predicting effects on air quality of emissions from any NAAQS pollutant and submission of such data to EPA upon request. Pe rmittin g fees: Section 11 O(a)(2)(L) requires SIPs to require each major stationary source to pay permitting fees to cover the cost of reviewing, approving, implementing and enforcing a permit. Co nsulta tion/ p a rticipation by affected local ent iti es: Section 11 O(a)(2)(M) requires States to provide for consultation and participation in SIP deve lopment by local political subdivisions affected by the S IP.

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