MEMORANDUM UNITED STATES ENVIRONMENTAL PROTECTION AGENCY RESEARCH TRIANGLE PARK, NC 27711


### SEP 2 5 2009

OFFICE OF AIR QUALITY PLANNING AND STANDARDS SUBJECT:

FROM:

TO: Guidance on SIP Elements Required Under Sections 110(a)(I) and (2) for the 2006 24-HourFine Particle (PM2.5) National Ambient Air Quality Standards (NAAQS) WHliam T. Harnett, Director

# W~ 

# 1: Air Quality Policy Division (C539-01)



### . . Regional Air Division Directors, Regions I-X The purpose ofthis memorandum is to provide guidance on addressing the "infrastructure" elements for State Implementation Plans (SIPs) required under sections 11 O(a)(1) and 110(a)(2) ofthe Clean AirAct (CAA) for the 2006 24-hourPM2.5 NAAQS (71 FR 61144). On December 18, 2006, EPA revised the 24-hour average PM2.5 primary and secondary NAAQS from 65 micrograms per cubic meter (!-tg/m3) to 35 

### !-tglm3. Under sections 11O(a)(I) and 11O(a)(2) ofthe CAA, afterpromulgation ofa new orrevised NAAQS, each state is required to submit aplan to provide for the implementation, maintenance, and enforcement ofthat NAAQS. States are**r~quired** to address basic SIP requireme.nts (see Attachment A), to assure attainment and maintenance ofthe standards. By law, SIPs to address sections lI0(a) (1) and 110(a)(2) areto be submitted by states within 3 years afterpromulgation ofa new orrevised standard. I In many cases the section 110(a)(2) SIPs for the 1997 PM2 .5NAAQS may already be adequate to implement the 2006 24-hourPM2.5 NAAQS. Many ofthe required section 11 O(a)(1) and 110(a)(2) SIP elements relate to the general information and authorities that constitutethe "infi-astructure" ofa state's airquality management program, and these have been inplace since the initial SIPs wer'e submitted in response to the'1970 Clean Air Act. However, it is still the responsibility ofeach stateto make this determination for each new orrevised NAAQS. Determining Completeness ofState Submittals As required by section 11O(a)(1), states will have to review and revise, as appropriate, their existing particulatematter SIPs to ensure thatthey are adequate to address the 2006 24-hour PM2.5NAAQS. States should, in consultation with EPA Regional Offices, refer to applicable EPA regulations governing SIP submittals in 40 CFR Part 51

- e.g., Subpart H ("Prevention of

I Although the rule for the revised PM2.5 standard has an effective date ofDecember 18,2006, therule was signed by the Administrator and publically disseminated on September 21, 2006. Therefore, the deadline for submittal of 110(a) SIPs for the 2006 24-hourPM2.5 NAAQS is September 21,2009 based on the signature date.

Internet Address (URL). http://www.epa.gov Recycled/Recyclable. Printed wnh Vegetable 011 Based Inks on Recycled Paper (Minimum 25% Postconsumer)2
AirPollution Emergency Episodes"), Subpart I ("Review ofNew Sources and Modifications"), Subpart 

### J (Ambient Air Quality Surveillance), Subpart K (Source Surveillance), Subpart L (Legal Authority), Subpart M ("Intergovernmental Consultation"), Subpart 

### 0 (Miscellaneous Plan Content Requirements), Subpart P ("Protection ofVisibility"), and Subpart Q ("Reports"). Ifa state determines that its existing SIP is adequate, then the stateneeds to certifYthrough a SIP submittal (e.g., a letterto the Agency fi'om the Governororhis/her designee) thatdemonstratcs the existing SIP contains provisions addressing all requirements ofthe section I 10(a)(2) infi'astructure elements as applicable for the 2006 24-hour PM2.5 NAAQS. Forpurposes ofthe 2006 24-hourPM2.5 NAAQS, in cases where a statebelieves that it meets the requirements of sections I IO(a)(I) and I10(a)(2) without further revision ofits SIP, EPA believes it is appropriate forthe stateto submit a certification letterwithout holding an additional public hearing. Because prior submissions for infi'astructurerequirements will have met the statutory requirements for notice and public hearing, EPA believes that such proccss is not required now. Thepublic will have an opportunity to review the certification when EPA takes action on the submittal through the notice-and-comment rulemaking process. In orderfor EPA to determine that a submittal fora SIP is complete, the submittal must affirmatively address all required elements/sub-elements, and should include documentation demonstrating a correspondencebetween each infrastructure element and an equivalent state statutory orregulatory authority in the existing or submitted SIP. At aminimum, a complete submission is a letter fi'om an appropriatc stateofficial (i.e., Governorordesignee) certifying compliance with each element and with a spccific description ofhow compliance with each element is achievcd. Submissions lacking adetailed explanation for how the state's SIP meets each applicable requirement ofsection I 10(a)(2) should bc decmcd incomplcte. Submissions that address somebut not all elements/sub-elements should notbe deemed complete for the unaddressed elements/sub-elements, but will result in findings offailure to submit fur onlythe unaddressed elements/sub-elements. After EPA makes a finding offailure to submit, the state would only be required to submit those elements that were found not to have been submitted in order for EPA to make a determination that the SIP is fully complete. Letters stating that the state will submit a SIP revision some time in the future are not complete. A finding that the submittal is complete does notmean that the submittal is approvable because thc completeness review only addresses whetherthe statehas provided information sufficientto warrant formal EPA review for approvability. OnceEPA determines a SIP submission to be complete, orafter six months when that submission is deemed completeby operation oflaw, EPA has up to I yearto take action on (i.e., to approve ordisapprove) the submission. EPA must promulgate aFederal Implementation Plan (FIP) fur the state ifEPA takes any ofthe following final actions associated with the required SIP: (I) determines that a state has failed to make a SIP submission, (2) determines that a state has made an incomplete submission, or (3) disapproves a SIP submission. Any ofthese actions starts atwo year FIP clock. In orderto stop orrescind aFIP, the state must submit, and EPA must approve, a SIP submissionthat meets the applicable requirements.3
Guidance for Satisfying the Section llO(a)(2)(D) Requirement Compliance with CAA section 11 0(a)(2)(D) requires that states address 4 separate elements. 1. SIP Snbmissions from States pertaining to the "significantcontribution" I'equirement ofsection 110(a)(2)(D)(i). Section 11 0(a)(2)(D)(i)(I) specifically provides that each state's SIP must contain adequate provisions to prohibit airpollutant emissions fi0111 within the state that significantly contribute to nonattainment ofthe NAAQS in any other state. Therefore, the state's submission must explain whether ornot emissions from the state have this impact and, ifso, address the impact. The state's conclusion must be supported by an adequatetechnical analysis. Information to supportthe state's determination with respect to significant contribution to nonattainment might include, but is not limited to, information concerning emissions in the state, meteorological conditions in the state and the potentially impacted states, monitored ambient concentrations in the state and the potentially impacted states, the distance to the nearest areathat is not attaining the NAAQS in another state, and air quality modeling. The EPA believes that it would be appropriate for states to make this assessment by considering the impact ofcurrent or future emissions on nearby nonattainment areas, and evaluating the air quality impact and potential mitigation strategies.2 Using these kinds ofevaluations, it is EPA's intention to complete a rule to address interstate pollution transport in the eastern halfofthe continental United States. EPA is eurrently working on a new rule to replace the CAIR rule that will address issues raised by the court inNorth Carolina v. EPA, 531 F.3d 896 (D.C. Cir. 2008). That new rule will assist states with obligations to address interstate transport that significantly contributes to nonattainment in anothcr state. However, all states must submit complcte 110 SIPs at this time that address the requirements ofsection II0(a)(2)(D) for the 2006 24-hour PM2.5 NAAQS, and states cannot wait for the CAIR replacement rule without getting a finding offailure to submit at this time. In addition, even ifthe CAIR rule were not remanded by the court, states cannot rely on the current CAIRrule for this submission for the 2006 24-hour PM25 NAAQS because the CAIRrule does not address this NAAQS. 2. SIP Submissions fl'om States pertainingto the "interfere with maintenance" requirementofsection 110(a)(2)(D)(i). Seetion 110(a)(2)(D)(i)(I) specifically provides that each state's SIP must contain adequate provisions to prohibit airpollutant emissions ]iomwithin the state that interfere with maintenance ofthe NAAQS in any other state. States' submissions must address this independent requirement ofthe statute. This provision requires evaluation ofimpacts on areas of other states that are meeting the 2006 24-hour PM25 NAAQS, not merely areas formerly

2 Ifassessing future emissions the state should attempt to represent

# a future year that is no further in the future than the year in which attainment ofthe NAAQS is required in the downwind state. In most cases we expect the attainmentdate to beno later than 5years fr0111 the date ofnonattainment designations. Since designations arc expected to be issued in 2009, the maximum attainment date would be 2014.4 designated nonattainment that are subject to amaintenanee SIP. Therefore, the state's submission must explain whetherornot emissions ft.-om the statehave this impact and, ifso, address the impact. A state's submission for this requirement should provide the technical information which the state deems appropriate to SUppOlt its conclusions. Suitable information might include, but is not limited to, information concerning emissions in the state,meteorological conditions in the state and the potentially impacted states, monitored ambient concentrations in the state and the potentially impacted states, and airquality modeling. Using these kinds ofevaluations, it is EPA's intention to complete arule to address interstate pollution transpOlt in the eastern halfofthe continental United States. However, all states must submit complete 110 SIPs at this time that address the requirements ofsection I 10(a)(2)(D) for the 2006 24-hourPM2.5 NAAQS and states cannot wait for the CAIR replacement rule without getting a finding offailure to submit at this time. 3. SIP submissions pertaining to the "prevention ofsignificant deteriomtion" requirement ofsection IlO(a)(2)(D)(i). Section I I0(a)(2)(D)(i)(II) contains a requirement for all states to submit SIPs that contain adequate provisions prohibiting"
.... any source orothertype ofemission activity within the state fi-Oln emitting any air pollutant in amounts which will interfere with measures required to be included in the applicable implementationplan for anyother state
....to prevent significant deterioration ofairquality
..." EPAbelieves this requirement is satisfied for PM2.5 ifa state's SIP includes preconstruction review programs for major sources that satisfy the requirements of40 CFR 51.165(b)(1) and 40 CFR 51.166 (i.e., New SourceReview for major stationary sources locating in attainment areas when the source will cause orcontribute to aviolation oftheNAAQS, and Prevention ofSignificant Deterioration (PSD), respectively). Unless the area has known outstanding permit programdeficiencies, it is not necessary, at this time, for states to make a SIP submission containing rule changes specifically to address section II0(a)(2)(D)(i)(II) forthe 2006 24-hour PM2.5 NAAQS. Ifthis is the case, the statecan submit an appropriate certification as described previously in this guidance. All areas are currently required to have some form ofpreconstruction permitting program for PM2Y This programmay include a transitional programoraprogramthat conforms withthe minimumrequirements ofEPA's May 2008 final rule on implementation ofthe NSR program for PM2.5. 73 Fed. Reg. 28321. In this action, EPA issued new final rules for certain components ofPM2.5 preconstruction permitting programs R))' attainment and nonattainment areas. States are currently required to revise theirpreconstruction review permit programs to incorporate these new requirements into an approved SIP by May 20II. However, this provision underthe May 2008 rules has been challenged and is now under apetition for reconsideration whereby EPA has agreed to reconsiderthe schedule fbI' revising state PSD programs for PM25. Accordingly, EPA may revise the schedule for submitting the revised PSD SIPs 

### RH' EPA approval. Forthe present time, however, the deadline for adopting and submitting PM25 SIPs for NSR/PSD is May 2011. Thus, states are not required to adoptthe May 2008 rules for the5
purposes ofsatisfying the section 110(a) SIP requirement by September2009 and may rely instead on implementing atransitional program for PM2.5, Forexample, the state's PSD program would satisfy the requirements of40 CFR 51.166 atthis time ifthe applicable rule defines the pollutants subject to regulation, e.g., "regulated NSR pollutant," in such way as to automatically include any new NAAQS, e.g., 24-hour PM25 NAAQS, that EPA may promulgate. States with PSD FlPs in place generally are required under a delegation agreement with EPA to implement.PSD in accordance with the federal PSD program, which provides for the automatic protection ofany new NAAQS that EPA maypromulgate. These states must ensure thattheir delegation agreement clearly authorizes them to implement the federal PSD program requirements as amended in May 2008. Ifa delegation agreement is defIcient in this regard, the state should work with EPA to modify the agreement to enable implementation ofPM25 requirements. In addition to the PSD permitting program, a state's SIP may include additional measures as necessaryto prevent airpollution in excess ofthe PSD increment that defines significant deterioration for each area. 40 CFR 51.166(a). However, EPA has not yet established PSD increments for PM2.5. Without these components ofa PSD program, it is difficult for states to determine ifadditional measures are needed to prevent significant deterioration within the state. Likewise, aneighboring state cannot determine whether its SIP would interfere with such additional measures in another state's SIP. However, notwithstanding the absence ofPSD increments for PM2.5, EPA believes that at this time states may continue to rely on their existing PSD and NNSR permitting programs to prevent significant deterioration ofair quality within their own boundaries and in adjacent states until such increments are established. 4. SIP Submissions from States pertaining to the "protectvisibility" requirement of section llO(a)(2)(D)(i). Section I 10(a)(2)(D)(i)(Il) also contains a requirement for all states to submit SIPs that contain adequate provisions prohibiting"
... any source orothertype ofemission activity within the state fi'om emitting any air pollutant 

### in amounts which will interfere with measures required to be included in the applicable implementation plan for any other state
....to protect visibility." EPA believes this requirement canbe satisfied by an approved SIP addressing reasonably attributable visibility impairment (RAVI), ifrequired, and an approved SIP addressing regional haze. EPA promulgated regulations in 1980 to address RAVI in Class I areas that is caused by the emissions ofairpollutants fi'om one source, or a small number ofsources. See 45 FR 80084 (December 2, 1980) and current 40 CFR 51.300

- 51.307. A state must take specified steps to address RAVI after a Federal Land Manager at any time certifies that RAVI exists at a specific Class 1 Area. 40 CFR 51.302(e)(1). Underthe 1980 regulations, 35 states and the U.S. Virgin 1slands were required to submit SIPs to address RAVI. EPA issued FlPs to address the requirements ofRAVI forthose states that had failed to submit SIPs. See 50 FR 28544 (July 12, 1985) and 52 FR45132 (November 24, 1987). EPA is not aware ofany certificationby a Federal Land Manager ofexisting RAVI that remains unaddressed by a currently approved SIP or FIP. Accordingly, webelieve that states for which EPA has approved into the state's current SIP some or all RAVI elements,

### 6
should be able to make arelatively simple SIP submission verifying tbat no source within the state emits pollutants that interfere with RAVI measures included in the applicable implementation plan (SIP or FlP) ofany other state. As noted above for PSD, those states having full orpartial FlPs in place will not satisfythe independent section II0(a)(2)(D)(i)(I1) requirement unless they submit, and EPA approves into the SIP, all required RAVI elements. In 1999, EPA issued regulations requiring states to address regional haze impacting visibility in Class I areas. See 64 FR 35714 (July I, 1999) and current 40 CFR 51.308

- 51.309. Regional haze is visibility impairmentthat is produced by a multitude ofsources and activities which emit visibility-impairing pollutants and their precursors and which are located across a broad geographic area. States are currently under an obligationto submit SIPs that contain measures to address regional haze, including a long-term strategyto address visibility impairment for each Class I areawhich may be affected by emissions 1i'om a state. These SIP submissions were due on December 17, 2007. In January 2009, EPA found that 37 states, the DistrictofColumbia, and the U.S. Virgin Islands had failed to make all orP31tofthe required SIP submissions to address regional haze. See 74 FR 2392 (January 15, 2009). These findings require EPA to issue FIPs within 2 years, by January, 2011, unless the states submit SIPs and EPA approves thembeforethat date. States that intendto rely on the required regional haze SIPs to satisfy this element oftheir section 11 O(a) SIP but have not formally indicated this intention in a SIP submission, orhave not yet submitted the regional haze SIP, may receive an additional finding offailure to submit this element oftheir section 110(a) SIP. EPA will be able to fully approvethe submittal as satisfying section 11 0(a)(2)(D)(i)(1l) only afterwe have taken final action approving the regional haze SIP. Guidance for Satisfyiug the Section llO(a)(2)(G) Requirement To address the section 110(a)(2)(0) element, states with airquality control regions identified as either Priority I, Priority lA, orPriority II by the "Prevention ofAir Pollution Emergency Episodes" rules at 40 CFR 51.150, must develop emergency episode contingency plans. Currently, those regulations do not specifically address PM2.5. Until the Agency finalizes changes to the emergency episoderegulations to establish for PM2.5 specific levels for classifying areas as Priority I, lA, and II for PM2.5, and to establish a significant harm level (SHL), EPA recommends that states throughtheirpublic processes set Priority levels and emergency action levels ftlr PM25 necessary to develop emergency episode plans consistent withthe requirements in40 CFR 51.150through 51.153. We fmther recommend that states considerthe levels discussed in the February 12, 2007 EPA issue paper titled "Revising the Air Quality Index and Setting a Significant HarmLevel for PM2.5" and to Attachment B to this guidance in establishing Priority levels and emergency action levels, including'a SHL.3 Using the recommendations in Attachment B, forthe purposes ofsatisfying the requirements ofsection 110(a)(2)(0), states would develop emergency episodeplans for any areathat has monitored and recorded 24-hourPM2.5 levels greaterthan 140.4 Jlg/m since 2006. Ifthis level was never exceeded in any area ofthe state, the state can certify that it has appropriate general emergency powers to address PM2.5-related episodes, and that no specific

3 The issue paper can he found at http://www.epa.gov/ttn/caaa/gen/agi issue paper 020707.pdf7
emergency cpisode plans are necessary at this time, given the existing monitored levels4 States should develop submissions to meet this requirement through appropriatc public processes. In submittals addressing the 1997 PM2.5 NAAQS, several states committed to make SIP submittals addressing scction I I0(a)(2)(G) only aftcr EPA completcd arulemaking to establish a SHL for PM25. We understand the motivation for taking this approach, and EPA is working to completc this ruIemaking. Nevertheless, under section I IO(k)(I)(B), EPA cannot find such submittals to be complete. It is forthis reason that EPA is providing the recommendations in this memorandum as guidance for states to make submittals to address section I 10(a)(2)(G). The SHL, Priority levcls, and emergency action levels recommended in Attachment B are relevant for boththe 1997 PM2 .5NAAQS and the 2006 PM2.5 NAAQS. Ifastate elects notto make a submittal that addresses section II0(a)(2)(G) forthe 2006 24-hoUfPM25 NAAQS in accordance with the Agency's recommendations orotherwise meeting the statutoryrequirements, EPA will have reason to make a finding offailure to submit filr this NAAQS. For Further Information Ifyou have any questions concerning this guidance, please contact David Sanders at (919) 541-3356. Please ensure that the appropriate air agency officials for states in your Region are made aware ofthis guidance.
Attachments

cc: Brian McLean, OAP Kevin McLean, OGe Margo Oge, OTAQ Steve Page, OAQPS PeterTsirigotis, OAQPS Richard Wayland, OAQPS Lydia Wegman, OAQPS

4 Under these conditions the contingencyplan portion ofsection 110(a)(2)(0) for the 1997 PM,,; NAAQS, lor which we issued a finding for failure to suhmitin October 2008, may also be resolved (73 FR 62902).Attachmcnt A: Rcquired Section 110 "Iufrastructure" SIP ElementsS Section 1l0(a)(2)(A)

- Emission limits and other control measures: requires SIPs to include enforceable emission limits and othcr controlmcasurcs, mcans, ortechniques, and schedules for compliance. Section 110(a)(2)(B)

- Ambient air quality monitoring/data system: requires SIPs to provide for establishment and operation ofambient airquality monitors, collection and analysis of ambient airquality data, and to make these data available to EPA upon request. Section 110(a)(2)(C)

- Program for enforcement ofcontrol measures: requires SIPs to include aprogramproviding for enforcement ofall SIP measures and the regulation of construction ofnew and modified stationary sources as necessary to assure thatthe NAAQS are achieved, including apermit programas required in parts C and D. Section 110(a)(2)(D)

- Interstate transport pl'Ovisions: requires SIPs to contain adequate provisions prohibiting emissions generated within the state fi'om contributing significantly to nonattainment in, or interfering with maintenanceby, any other state withrespect to the NAAQS, or fi"Om interfering with measures required to be included in the SIP ofany other state to prevent significant deterioration orto protect visibility. Section 110(a)(2)(E)

- Adequate resources: requires SIPs to provide necessary assurances for adequate pcrsonnel, funding, and authority under state law to carry out its SIP, to contain requirements addressing potential conflicts ofinterest, and to provide necessary assurances that the stateretains responsibility fbr ensuring adequate implementation ofthe SIP where the state relies on a local orregional government fbr implementation ofany SIP provision. Section 110(a)(2)(F)

- Stationary source monitoring system: requires SIPs to establish a systemto monitor emissions from stationary sources, to submit periodic emissions reports, to correlatethe emissions repOlts with the corresponding SIP emission limits and standards, and to make emissions repolts available to the public. Section 110(a)(2)(G)

- Emergency episodes: requires SIPs to provide for authority to address activities causing imminent and substantial endangerment to public health and to provide for adequate contingencyplans to implement such authority. Section 110(a)(2)(H)

- Future SIP revisions: requires SIPs to provide for SIP revisions in response to changes in the NAAQS, or availability ofimproved methods lor attaining the NAAQS, and in response to an EPA finding that the SIP is substantially inadequate. Section 110(a)(2)(J)

- Consultation with government officials, public notitication, PSD and visibility protection: requires states to provide aprocess for consultation with local governments and Federal Land Managers carrying out NAAQS implementation requirements;

5 The specific nonaltainment area plan requirements ofsections 110(a)(2)(C) and 110(a)(2)(1) are subject to the timing requirement ofsection 172, not the timingrequirement ofsection IIO(a)(I), and therefore not considered required elements ofthe "infi'astructure SIP."requires SIPs to notify the public ifNAAQS are exceeded in an area and to enhancepublic awareness ofmeasures that canbe taken to prevent exceedances; and requires SIPs to meet applicable requirements ofpart C related to prevention ofsignificant deterioration and visibility protection. Section llO(a)(2)(K) - Air quality modeling/data: requires SIPs to provide for the performance ofair quality modeling for predicting effects on air quality ofemissions ofany NAAQS pollutant and the submission ofsuch datato EPA upon request. Section llO(a)(2)(L) - Permitting fees: requires SIPs to require each major stationary source to paypermitting fees to coverthe cost ofreviewing, acting upon, implementing and enforcing a permit until such fee requirement is superseded by EPA approval ofa fee program undertitle V ofthe Clean Air Act. Section 110(a)(2)(M) - Consultation/participation by affected local entities: requires SIPs to provide foi· consultation and paIiicipation in SIP development by local political subdivisions affected bythe SIP.Attachment B: Recommended Interim Significant Hum Level, Pl"iority Levels, and Action Levels for PM2.5Emergency Episode Plans (EEPs)

CurrentAQI - PM2.5 AQI Under Recommended Recommended Consideration - EEP Pl"iority EEPAction 24-hour Region Level Index 24-hoUi' Average Classification

.Category**Avera~e** 

## ** Values (/-tg/m3)t 

## * (/-tglm') Good 0-50 0.0-15.4 0.0-15.4

.Moderate 51-100 15.5-40.4 15.5-35.4 Unhealthy for 101-150 40.5-65.4 35.5-55.4 Sensitive Groups Unhealthy 151-200 65.5-150.4 55.5-140.4
Very Unhealthy 201-300 150.5-250.4 140.5-210.4 Priority Level II Alert

Hazardous I 301-400 250.5-350.4 210.5-280.4 Priority Level Warning I and IA
Hazardous 2 401-500 350.5-500 280.5-350.4 Emergency Significant Harm Level (SHL) 350.5 

## t For adiscussion ofpossible revisions to the AQI and SHL, see the EPA issue paper found 

### at**!:!i1p:10YW)Y~.£l2'H~'lvjttnLcaml{genL;lSli.i"ol!e~jl-ill).£L** 02-07

### Oln,if 

## * Based on historical incidence of24-hour average concentrations using the most recent 3 calendar years ofdilta. 

# ** See40 CFRPmi 51 Appendix L "ExampleRegulations for Prevention ofAir Pollution Emergency Episodes" for an example ofthe application ofemergency action levels.