UNITED STATES ENVIRONMENTAL PROTECTION AGENCY 

RESEARCH TRIANGLE PARK, NC 27711 

AUG 1 5 2006 

OFFICE OF 

MEMORANDUM AIR QUALITY PLANNING 

AND STANDARDS 

SUBJECT: 

FROM: 

TO: 

Guidance for State Implementation Plan (SIP) Submissions to Meet Current 

Outstanding Obligations Under Section 11O(a)(2)(D)(i) for the 8-Hour Ozone and 

PM2.5 National Ambient Air Quality Standards 

Air 

William 

Quality 

T. Harnett, 

Policy Division, 

Director 

OAQPS 

tIJ~ (C539-01) (, ~ 

Regional Air Division Director, Regions I-X 

The purpose ofthis memorandum is to provide guidance concerning the State 

implementation plan (SIP) submissions States should make to meet their currently outstanding 

obligations under section 110(a)(2)(D)(i). 

The Environmental Protection Agency (EPA) has previously indicated through 

rulemaking what States affected by the Clean Air Interstate Rule (CAIR) must do concerning 

emissions that significantly contribute to nonattainment or interfere with maintenance of the 8-

hour ozone or fine particulates (PM2.5) National Ambient Air Quality Standard (NAAQS) in 

another State. This guidance, therefore, addresses what States that are not affected by the CAIR 

should consider in meeting the "significant contribution" and "interfere with maintenance" 

requirements of section 11 O( a)(2)(D)(i), and what all States (inside or outside the CAIR region) 

should consider with respect to making submissions to meet the "prevention of significant 

deterioration" and "protect visibility" requirements of section 11O(a)(2)(D)(i). Because the 

CAIR region differs for purposes of 8-hour ozone and PM2.5, some States may be within the 

CAIR region for purposes of one NAAQS, but not the other, and should make section 

110(a)(2)(D)(i) SIP submissions that account for this distinction. 

On July 18, 1997, EPA promulgated NAAQS for ozone and for fine particulate matter. 

Section 110(a)(1) ofthe Clean Air Act requires States to submit new SIPs to provide for the 

implementation, maintenance, and enforcement of new or revised NAAQS. Section 11 O( a)(2) 

lists the elements that the new SIP submissions must contain. Among other things, SIPs for new 

or revised NAAQS must contain adequate provisions to address interstate transport of air 

pollution, pursuant to section 110(a)(2)(D)(i). 

Intemet Address (URL) • http://www.epa.gov 

Recycled/Recyclable. Printed wnh Vegetable Oil Based Inks on Recycled Paper (Minimum 25% Post consumer) 
2 

Section 11 O( a) (1 ) explicitly provides that States must adopt and submit to the EPA 

Administrator new SIP submissions within 3 years after the promulgation of a new or revised 

NAAQS, meeting the provisions of 110(a)(2), as applicable. Therefore, States should have 

submitted SIPs to EPA for the 8-hour ozone NAAQS and the PM2.5 NAAQS by no later than 

July 2000. However, at this time no State has submitted a new SIP. We recognize that litigation 

over both the 8-hour ozone NAAQS and the PM2.5 NAAQS created substantial uncertainty as to 

how to proceed. Moreover, in the case ofPM2.5, additional time was needed for creation of a 

monitoring network, collection of at least three years of data, and analysis ofthose data. 

On April 25, 2005, EPA published an action in the Federal Register making a finding that 

States had failed to make statutorily required SIP submissions for the 8-hour ozone and PM2.5 

NAAQS. The EPA explicitly limited this finding of failure to submit to the requirements of 

section 110(a)(2)(D)(i) pertaining to interstate transport. The finding of failure to submit action 

started a 24-month clock for EPA to issue a final Federal Implementation Plan (FIP) to meet the 

requirements of section 110(a)(2)(D)(i), for both the 8-hour ozone and PM2.5 standards, unless 

EPA instead approves a State SIP submission to meet those requirements in advance of that date. 

The finding of failure to submit SIPs addressing section 11O(a)(2)(D)(i) is the first action 

required under a Consent Decree between EPA and plaintiffs who sued the Agency for failure to 

take action to require the submission of new SIPs for the 8-hour ozone and PM2.5 NAAQS, or to 

issue FIPs in lieu thereof. The EPA has also committed in the Consent Decree to take later 

actions to determine whether States have submitted the remaining SIP elements required by 

section 110(a)(I) and (2) for the 8-hour ozone and PM2.5 NAAQS by no later than December 15, 

2007, for ozone, and by no later than October 5, 2008, for PM2.5. The Agency intends to provide 

States with additional information concerning the remaining section 110(a)(I) and (2) SIP 

. elements, in separate regulations or guidance documents. 

We emphasize that this document is merely guidance and that States or EPA may elect to 

follow or deviate from this guidance, as appropriate. The ultimate detennination of whether a 

given SIP submission by a State meets the statutory requirements of section 11O(a)(2)(D)(i) will 

be accomplished through case by case notice and comment rulemaking in which the facts and 

. circumstances of each State submission will be evaluated by EPA. We ask that the EPA 

Regional Offices work with their respective States in the development of their SIP submissions. 

If you have questions concerning this guidance, please contact Mr. Larry D. Wallace 

(919) 541-0906. Please ensure that the appropriate air agency officials for the States in your 

Region are made aware of this guidance. 
Attachment 

cc: Margo Oge, OTAQ 

Steve Page, OAQPS 

Brian McLean, OAP 

Scott Mathias, AQPD 

Kevin McLean, OGC 

Barbara Driscoll, AQPD 

Larry Wallace, AQPD 

Kimber Scavo, AQPD 

Geoffrey Wilcox, OGC 

Norm Possiel, AQAD 

3 
Guidance for State Implementation Plan Submissions to Meet Current Outstanding 

Obligations Under Section llO(a)(2)(D)(i) for the 8-Hour Ozone and PM2.5 

National Ambient Air Quality Standards 

1. Introduction: 

This document provides guidance to States concerning State Implementation Plan (SIP) 

submissions that States must make pursuant to section 110(a)(2)(D)(i). The Environmental 

Protection Agency (EPA) emphasizes that this guidance document merely provides suggestions 

and that States or EPA may elect to follow or deviate from this guidance"as appropriate. The 

ultimate determination of whether a given SIP submission by a State meets the requirements of 

section 110(a)(2)(D)(i) will be accomplished by area specific notice and comment rulemaking in 

which -the facts and circumstances of each State submission will be evaluated by EPA. Sections 

110(a)(1) and (2) ofthe Clean Air Act (CAA), require States to submit SIPs that implement, 

maintain, and enforce a new or revised national ambient air quality standard (NAAQS) within 3 

years following the promulgation ofthe standard. 

In July 1997, EPA issued the 8-hour ozone and PM2.5 NAAQS. States were thus required 

to submit SIPs that satisfy the applicable CAA requirements under section 11O(a)(1) and (2) for 

these NAAQS by July 2000. Among the SIP elements identified in section 11O(a)(2) is the 

requirement to address interstate transport of pollutants pursuant to section 110(a)(2)(D)(i). The 

EPA has determined that section 11 O( a)(2)(D)(i) is among the SIP requirements with which 

States must comply in accordance with the schedule of section 110(a)(1).1 

On April 25, 2005, EPA notified States of their failure to make the required SIP , 

submission addressing interstate transport of pollutants related to ozone and PM2.5 in downwind 

States.2 

Pursuant to section 110(c), EPA's April 25, 2005 finding of failure to submit started a 

24-month clock for EPA to issue a final Federal Implementation Plan (FIP) to address the 

requirements of section 11 0(a)(2)(D)(i), unless a State makes the required submission and EPA 

approves such submission within that 24-month period. The 24-month FIP clock began on 

ISee, "Rule to Reduce Interstate Transport of Fine Particulate Matter and Ozone 

(Clean Air Interstate Rule); Revisions to Acid Rain Program; Revisions to the NOx SIP 

Call; Final Rule," 70 FR 25,162 at 25,263-69 (May 12,2005). 

2See, "Finding of Failure to Submit Section 110 State Implementation Plans for 

Interstate Transport for the National Ambient Air Quality Standards for 8-Hour Ozone 

and PM 2.5," 70 FR 21,147 (April 25, 2005). 

1 
May 25,2005, the effective date of the finding of failure to submit, and will end on May 25, 

2007. 

The EPA's finding of failure to submit SIPs that address section 11 O( a)(2)(D)(i) is the 

first action required under a Consent Decree.3 Under the Consent Decree, EPA is also obligated 

to make later determinations as to whether States have made the required SIP submissions to 

meet the remaining applicable requirements of section 110(a)(1) and (2). The EPA is obligated 

to make these later determinations by December 15,2007, for SIP submissions for the 8-hour 

ozone NAAQS, and by October 5, 2008, for SIP submissions pertaining to the PM2.5 NAAQS. 

The EPA believes that Section 11 O( a)(2)(D)(i) provides an important tool for attainment 

and maintenance of the NAAQS by addressing the problem of interstate transport of air 

pollutants. This provision applies to each pollutant covered by a NAAQS and to all areas of each 

State regardless of the attainment or nonattainment designation of such areas. Section 

11O(a)(2)(D)(i) specifically provides that each State's SIP must contain adequate provisions to 

prohibit air pollutant emissions from within the State that significantly contribute to 

nonattainment oftheNAAQS, or that interfere with maintenance of the NAAQS, in any other 

State. In addition, this section requires that each State's SIP must contain adequate provisions to 

prohibit emissions of air pollutants within the State that interfere with measures required to 

prevent significant deterioration of air quality or to protect visibility in any other State. 

The EPA intends to provide additional information to States concerning the remaining 

section 110(a)(1) and (2) SIP elements, either in regulations implementing the 8-hour ozone or 

PM2.5 NAAQS, or in later guidance documents. 

2. What is required under section llO(a)(2)(D)(i): 

Section 110(a)(1) requires States to make a SIP submission for a new or revised NAAQS 

within 3 years of promulgation of such new or revised NAAQS. 

Section 110(a)(2) lists the elements those SIPs must contain. For example, this section 

lists certain SIP infrastructure elements reiated to the new or revised standards such as 

requirements for provisions pertaining to modeling, monitoring, and emissions inventories that 

are designed to assure attainment and maintenance of the standards. An important SIP element 

3The Consent Decree is between Environmental Defense and American Lung 

Association, as plaintiffs, and EPA, as defendant, signed March 10, 2005. The Consent 

Decree resolved the case entitled "Environmental Defense, et al. v. Johnson," No. 

1:05CV00493(D.D.C.). EPA gave notice of, and took comment on, the proposed consent 

decree in accordance with CAA section 113(g). See, 70 FR 15,623 (March 28, 2005). 

2 
listed in section 110(a)(2) is the requirement that States address emissions that impact other 

States through interstate transport. 

The "good neighbor" provisions in section 11 0(a)(2)(D)(i) require each State to submit a 

SIP that prohibits emissions that adversely affect another State in the ways contemplated in the 

statute. Section 11O(a)(2)(D)(i) contains four distinct requirements related to the impacts of 

interstate transport. Each State must submit a SIP which contains adequate provisions: 

prohibiting ... any source or other type of emissions activity within the State from 

emitting any air pollutant in amounts which will -

(I) contribute significantly to nonattainment in, or interfere with maintenance by, 

any other State with respect to any ... national primary or secondary air quality 

standard, or 

(II) interfere with measures required to be included in the applicable 

implementation plan for any other State .... to prevent significant deterioration of 

air quality or to protect visibility. 

The EPA's April 25, 2005 finding of failure to submit reflected EPA's determination that 

States had not yet made SIP submissions for the 8-hour ozone and PMZ.5 NAAQS necessary to 

meet the requirements of section 110(a)(2)(D)(i). 

The precise nature and contents of such a submission is not stipulated in the statute. EPA 

believes that the contents ofthe SIP submission required by section 110(a)(2)(D)(i) may vary 

depending upon the facts and circumstances related to the specific NAAQS. In particular, the 

data and analytical tools available at the time the State develops and submits a SIP for a new or 

revised NAAQS necessarily affects the content of the required submission. In some instances, 

this submission may be more detailed and substantive, as when existing data and analyses 

already provide the requisite information. In other instances, the submission may be more 

preliminary and simplified, as when there is currently insufficient information to support a 

determination that there are interstate transport impacts, or when other later regulatory actions 

are prerequisites to making such a determination. 

The sections below provide guidance concerning the types of SIP submissions that EPA 

believes would be appropriate in response to the April 25, 2005, finding of failure to submit. 

3 
3. States subject to the Clean Air Interstate Rule: 

In March of2005, EPA promulgated the Clean Air Interstate Rule (CAIR).4 Based upon 

the requirements of section 1l0(a)(2)(D)(i), EPA determined in the CAIR that NOx emissions 

from sources in 25 States and the District of Columbia contribute significantly to nonattainment 

and interfere with maintenance of the 8-hour ozone standard in other downwind States. The 

EPA also determined that S02 and NOx emissions from sources in 23 States and the District of 

Columbia contribute significantly to nonattainment and interfere with maintenance of the PM 2.5 

standards in other downwind States. Subsequently, EPA determined that two additional States 

contribute to nonattaipment and interfere with maintenance of the PM2.5 NAAQS.5 (See 

Attachment A listing the States subject to the CAIR). 

In the CAIR, EPA concluded that the States will meet their section 11O(a)(2)(D)(i) 

obligations to address the "significant contribution" and "interference with maintenance" 

requirements by complying with the CAIR requirements. Consequently, States within the CAIR 

region need not submit a separate SJP revision to satisfy the section 110(a)(2)(D)(i) requirements 

provided that they submit a SJP revision to satisfy CAIR. 

Pursuant to section 110(a)(1), those States not within the CAIR region must also make a 

submission with respect to those two requirements. Also in accordance with the statute, all 

States, both inside and outside the CAIR region must make a submission with respect to the 

"prevention of significant deterioration" and "protect visibility" requirements of section 

11 O( a)(2)(D)(i). It should be noted that because the CAIR region differs for purposes of ozone 

and PM2.5, some States may be inside the CAIR region for purposes of one NAAQS, but outside 

the CAIR region for the other, and should make section UO(a)(2)(D)(i) SIP submissions that 

account for this distinction. 

Accordingly, EPA has structured this guidance to address the different types of 

considerations that States may need to evaluate in making their respective submissions. 

4. SIP Submissions from States pertaining to the "significant contribution" and 

"interfere with maintenance" requirements of section llO(a)(2)(D)(i): 

States not covered by the CAIR must make a section 110(a)(2)(D)(i) SIP submission 

addressing significant contribution to nonattainment and interference with maintenance ofthe 

8-hour ozone and PM2.5 NAAQS in any other States. 

4See, supra note 1. 

5See, Inclusion of Delaware and New Jersey in Clean Air Interstate Rule, 71 FR 25288 

(April 28, 2006). 

4 
The EPA anticipates, based upon existing infonnation developed in connection with the 

CAIR, that emissions from sources in States not covered by the CAIR do not contribute 

significantly to nonattainment or interfere with maintenance of the 8-hour ozone or PM2.5 

NAAQS in any other State. Unless a State excluded from the CAIR has contrary infonnation or 

analysis, EPA believes that such State should be able to make a relatively simple SIP submission 

verifying that the State does not significantly contribute to nonattainment or interfere with' 

maintenance of the 8-hour ozone or PM2.5 in another State. EPA believes that a negative 

declaration from each of the non-CAIR States, which certifies that the State in question does not 

significantly contribute to nonattainment or interfere with maintenance ofthe NAAQS in another 

State, should be adequate to satisfy the requirements of section 11 O( a)(2)(D )(i). 

States should submit a technical demonstration to support a negative declaration. EPA 

believes that this demonstration should contain the infonnation which the State deems 

appropriate to support its claim that it does not significantly contribute to nonattainment or 

interfere with maintenance ofthe standards in another State. Suitable infonnation might include, 

but is not be limited to, infonnation concerning emissions in the State, meteorological conditions 

in the State, the distance to the nearest nonattainment area in another State, reliance on modeling 

conducted by EPA in detennining that such State should not be included within the ambit of the 

CAIR, or such other infonnation as the State considers probative on the issue of significant 

contribution and interference with maintenance. The EPA believes that it would be appropriate 

for States to make this assessment using considerations comparable to those used by EPA in 

evaluating significant contribution in the CAIR, Sh&" assessing the impacts of emissiop.s on 

nearby nonattainment areas as of the year 2010, and evaluating mitigation strategies based upon 

emissions reductions achievable through highly cost effective controls. 

In addition, States that are not subject to the CAIR, but are subject to the NOx SIP Call, 

may wish to indicate that SIPs submitted to meet the NOx SIP Call should be sufficient to satisfy 

the section 110(a)(2)(D)(i) obligation for the 8-hour oZone NAAQS. EPA initially addressed 

interstate transport for ozone in the NOx SIP Call rule published in 1998.6 The NOx SIP Call is 

substantially reducing ozone transport, and is helping downwind areas meet the 8-hour ozone 

standards. The EPA believes that states outside the CAIR region that are meeting the NOx SIP 

Call should not significantly be contributing to nonattainment or interferring with maintenance in 

any down wind state. 

The EPA will assist each State to evaluate the available infonnation and to develop a 

sufficient SIP submission and demonstration to meet this element of section 11 0(a)(2)(D)(i). 

6 "Finding of Significant Contribution and Rulemaking for Certain States in the Ozone 

Transport Assessment Group Region for the Purposes of Reducing Regional Transport of 

Ozone Rule, (63 FR 57356, October 27, 1998). 

5 
EPA will take action on the SIP submissions made by States through notice and comment 

rulemaking, thereby assuring that the requirements are met. 

5. SIP Submissions from States pertaining to the "prevention of significant 

deterioration" requirement of section llO(a)(2)(D)(i): 

Section 110(a)(2)(D)(i)(lI) also contains a requirement for all States to submit SIPs that 

contain adequate provisions prohibiting " .... any source or other type of emission activity within 

the State from 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 prevent 

significant deterioration of air quality ... " 

Under EPA regulations, each SIP must include a preconstruction review program for 

major sources to satisfy the requirements of section 11O(a)(2)(D)(i) of the Act. 40 C.F.R. § 

51.165(b )(1). In nonattainment areas, the preconstruction review program is known as 

Nonattainment New Source Review (NNSR) and in attainment areas, preconstruction review is 

part of the Prevention of Significant Deterioration (PSD) program. These programs require 

preconstruction permits to protect the air quality within each state and also serve to prohibit 

construction of new major sources and major modifications at existing major sources from 

contributing to nonattainment in adjacent states. The PSD permitting program is also the 

primary measure that each SIP must include to prevent significant deterioration of air quality in 

accordance with Title I, Part C and section 110(a)(2)(D)(i)(lI) ofthe Act. See, 40 CFR § 51.166. 

Section 110(a)(2)(D)(i)(II) requires that SIPs contain adequate provisions prohibiting sources or 

emissions activity within each state "from emitting any air pollutant in amounts which will -- ... 

interfere with measures required to be included in the applicable implementation plan for any 

other State under part C ofthis subchapter to prevent significant deterioration of air quality .... " 

42 U.S.C. § 741O(a)(2)(D)(i)(II). 

Because all areas are currently subject to some form of preconstruct ion permitting 

. program for ozone and PM2.5, it is not necessary, at this time, for States to make a SIP 

submission containing rule changes or modeling demonstrations in order to address 

section 11 0(a)(2)(D)(i)(II) for the 8-hour ozone and PM2.5 NAAQS. EPA has established or will 

establish schedules for SIP submissions that incorporate revisions to EPA's preconstruction 

permitting regulations that are specific to the 8-hour ozone and PM2.5 NAAQS. Areas will need 

to revise their SIPs consistent with such schedules. 

Each area ofthe country is currently subject to an equivalent PSD or NNSR permitting 

program for the 8-hour ozone standard and an interim PSD or NNSR permitting program for 

PM2.5. If a particular state SIP lacks an approved PSD program, the PSD permitting 

requirements must be implemented in that state or local area through a federal PSD program that 

can be administered by the state or local permitting authority under a delegation agreement with 

EPA. Where a state lacks an approved NNSR program, the state may issue NNSR permits 

6 
pursuant to an EPA regulation at 40 CFR Part 51, Appendix S. If such a state lacks authority to 

issue permits consistent with appendix S, EPA is the permitting authority. 

In April 2004 and November 2005, EPA promulgated regulations in two phases that 

addressed (among other topics) the implementation of the PSD and NNSR programs under the 

8-hour ozone NAAQS. See 69 FR 23951 (Apr. 30,2004); 70 Fed. Reg. 71612 (Nov. 29,2005). 

The first phase ofthese rules requires implementation ofNNSR in accordance with an area's 8-

hour ozone classification after revocation of the I-hour ozone NAAQS. See 69 FR at 23985. 

The EPA revoked the I-hour ozone NAAQS on June 15,2005. Thus, new and modified major 

sources of volatile organic compound and NOx are currently subject to NNSR based on the 

designation and classification ofthe area in which they are located under the 8-hour ozone 

NAAQS. In an 8-hour ozone nonattainment area that currently has no approved nonattainment 

plan or otherwise lacks authority to implement nonattainment NSR for the 8-hour ozone NAAQS 

through a SIP-approved permitting program, permits for new and modified major stationary 

sources in such areas must be consistent with the requirements in appendix S of 40 CFR. Part 51. 

IEP A determined that states did not need to submit any revisions of their existing PSD programs 

to implement of the 8-hour ozone NAAQS, but the Agency simultaneously promulgated new 

rules to establish NOx as a precursor for ozone under the PSD program. See 68 FR. 32802, 

32843-44 (Jun. 2, 2003); 70 FR at 71679. The EPA established June 15,2007 as the deadline for 

states to provide SIP submissions that incorporate the requirements of the phase II ozone 

implementation rule into their PSD and NNSR programs. See 70 FR at 71683. 

For PM2.

5, EPA has recommended that states employ an interim PM2.5 program that 

involves implementing existing PSD and NNSR programs for PMlO as a surrogate for the PM2.5 

requirements until the necessary tools are in place for states to adopt PSD and NNSR programs 

for PM2.5. See, Memorandum from John Seitz, EPA OAQPS, "Interim Implementation for the 

New Source Review Requirements for PM2.5," (October 23, 1997); Memorandum from Steve 

Page, EPA OAQPS, "Implementation of New Source Review Requirements in PM2.5 

Nonattainment Areas." (AprilS, 2005). In November 2005, EPA has proposed regulations that 

establish the minimum requirements for PSD and NNSR programs for PM2.5, 70 FR 65984, 

66033 (Nov. 1,2005), but the Agency has not promulgated final regulations on this subject. 

States are not required to submit PSD and NNSR program SIPs for PM2.5 until EPA completes 

these regulations and finalizes the submission schedule, which we have proposed to be AprilS, 

2008. Until the submission date is established in EPA's final PM2.5 implementation rule for 

NSR, states may continue to implement interim programs based on PMlO and need not provide 

PSD or NNSR program submissions containing rule changes for PM2.5. 

The air quality demonstrations required for issuance of a PSD and NNSR permit must be 

made for all areas that are potentially impacted by the emissions from a proposed source or 

modification requiring a permit. As a result, the implementation of a PSD and NNSR permitting 

program in each state serves to prevent significant deterioration in neighboring states and thus 

largely satisfies the requirements of section 110(a)(2)(D)(i)(II) of the CAA. A PSD permit may 

not be issued unless the new or modified source demonstrates that emissions from the 

7 
construction or operation of the facility will not cause or contribute to air pollution in any area 

that exceeds of any NAAQS or any maximum allowable increase (known as the PSD increment). 

42 U.S.c. § 747S(a)(3); 40 CFR § Sl.I66(k). A NNSR permit may not be issued unless the new 

or modified source shows it has obtained sufficient emissions reductions to offset increases in 

emissions of the pollutants for which an area is in nonattainment, consistent with reasonable 

further program toward attainment. These offsetting reductions could also help serve to prevent 

significant deterioration in any instance where the emissions of a nonattainment pollutant from a 

source in a nonattainment area would impact a nearby attainment area for that pollutant. 

In addition to PSD permitting program, a SIP may include additional measures as 

necessary to prevent air pollution in excess of the PSD increment that defines significant 

deterioration for each area. 40 CFR § Sl.I66(a). The EPA has not established PSD increments 

for ozone or PM2.

5. Without these components of a PSD program, it is difficult for states to 

determine if additional measures are needed to prevent significant deterioration within the state. 

Likewise, a neighboring state cannot determine whether its SIP would interfere with such 

additional measures in another state's SIP. However, notwithstanding the absence ofPSD 

increments for ozone and PM2.5, states may continue to rely on their existing PSD and NNSR 

permitting programs to prevent significant deterioration of air quality within their own 

boundaries and in adjacent states. 

Because the PSD and NNSR permitting programs currently applicable in each area 

require a demonstration that new or modified sources will not cause or contribute to air pollution 

in excess ofthe NAAQS in neighboring states or that sources in nonattainment areas procure 

offsets, EPA believes that states need not make an additional SIP submission containing rule 

changes or modeling demonstrations to address the "prevent significant deterioration" 

requirement of section 11 O( a)(2)(D)(i)(II) for the 8-hour ozone and PM2.5 NAAQS. For 8-hour 

ozone, each state only needs to make a SIP submission confirming that major sources in the state 

are currently subject to PSD and NNSR permitting programs that implement the 8-hour ozone 

standard and that SIP-approved states are on track to meet the June IS, 2007 deadline for SIP 

submissions adopting the requirements of the Phase II ozone implementation rule. For PM2.

5, 

states need only provide a SIP submission confirming that major sources in the state are subject 

to PSD and NNSR permitting programs implemented in accordance with EPA's interim 

guidance calling for use ofPMlO as a surrogate for PM2.5 in the PSD and NNSR programs. 

Additional SIP submissions will be due after the final NSR implementation rules for PM2.5 are 

promulgated. 

The EPA will assist each State to evaluate the available information and to develop a 

sufficient SIP submission and demonstration to meet this element of section 11O(a)(2)(D)(i). 

The EPA will take action on the SIP submissions made by States through notice and comment 

rulemaking, thereby assuring that the requirements are met. 

8 
6. SIP Submissions from States pertaining to the "protect visibility" requirement of 

section llO(a)(2)(D)(i): 

Section 110(a)(2)(D)(i)(II) also contains a requirement for all States to submit SIPs that 

contain adequate provisions prohibiting " ... any source or other type of emission activity within 

the State from 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." 

The EPA adopted a phased approach to visibility protection, issuing regulations in 1980 

to address reasonably attributable visibility impairment, i.e., visibility impairment that is caused 

by the emissions of air pollutants from one, or a small number of sources, and issuing regulations 

in 1999 to address regional haze, i.e., "visibility impairment that is caused by the emission of air 

pollutants from numerous sources located over a wide geographic area.,,7 Under the 1980 

regulations, 33 States and the Virgin Islands were required to submit SIPs to address reasonably 

attributable visibility impairment. At this point in time, EPA has made no determination that 

emissions from any State interfere with measures required to be included in a plan to address 

reasonably attributable visibility impairment. Further, EPA is not aware of any certification of 

existing reasonably attributable impairment of visibility by a Federal Land Manager that has not 

already been resolved. The EPA accordingly believes that States should be able to make a 

relatively simple SIP submission verifying that no source within the State emits pollutants that 

interfere with measures included in the visibility SIPs under the 1980 regulations. 

In 1999, EPA found that all States contain sources whose emissions are reasonably 

anticipated to contribute to regional haze in one or more Class I areas.

8 Pursuant to this finding, 

States are currently under an obligation to submit SIPs that contain measures to address regional 

haze, including a long-term strategy to address visibility impairment for each Class I area which 

may be affected by emissions from a State.9 The States and Regional Planning Organizations are 

currently engaged in the task of identifying those Class I areas impacted by each State's 

emissions and developing strategies for addressing regional haze to be included in the States' 

regional haze SIPs. These SIP submissions are due no later than December 17, 2007. 

As a result, EPA believes that it is currently premature to determine whether or not State 

SIPs for 8-hour ozone or PM2.5 contain adequate provisions to prohibit emissions that interfere 

with measures in other States' SIPs designed to address regional haze. Accordingly, EPA 

believes that States may make a simple SIP submission confirming that it is not possible at this 

time to assess whether there is any interference with measures in the applicable SIP for another 

7 See, 40 CFR section 51.300-308. 

8See, "Regional Haze Regulations," 64 FR 35,714,35,721 (July 1, 1999). 

940 CFR 51.308(d)(3). 

9 
State designed to "protect visibility" for the 8-hour ozone and PM2.5 NAAQS until regional haze 

SIPs are submitted and approved. 

The EPA will assist each State to evaluate the available information and to develop a 

sufficient SIP submission and demonstration to meet this element of section 11O(a)(2)(D)(i). 

EPA will take action on the SIP submissions made by States through notice and comment 

rulemaking, thereby assuring that the requirements are met. 

7. When should States make section llO(a)(2)(D)(i) SIP submissions? 

The EPA made the finding of failure to submit in April of 2005, with an effective date of 

May 25,2005. As a result ofthe finding of failure to submit, the CAA imposes a 24-month 

clock for EPA to issue a FIP, unless a State has made the required submis~ion to cure the failure 

to submit and EPA has acted to approve such submission fully in advance of the end of the 

24-month period. 

In conjunction with the CAIR, EPA has promulgated a FIP for all jurisdictions in the 

CAIR region to provide a federal backstop to insure timely and effective reductions of emissions 

from those States in accordance with section 110(a)(2)(D)(i)(I). The EPA has not, however, 

promulgated a FIP addressing section 110(a)(2)(D)(i) for any States outside oftheCAIR region. 

States outside the CAIR region must therefore make submissions to meet the significant 

contribution and interference with maintenance requirements of section 11 0(a)(2)(D)(i)(I) to 

avoid a FIP addressing those requirements. In addition, all States have an outstanding statutory 

obligation to make a SIP submission to meet the requirements of section 110(a)(2)(D)(i)(II) in 

avoid a FIP for those requirements. 

The EPA is currently under an obligation to issue a FIP by May 25, 2007, for any State 

that does not make a submission that cures the outstanding elements of section 11 0(a)(2)(D)(i) 

for that State. Unless the State makes the necessary SIP submission sufficiently in advance of 

that date for EPA to evaluate the submission and to take the necessary rulemaking action to 

approve or disapprove it, EPA may need to initiate the FIP rulemaking process in order to meet 

the May 2007 FIP deadline. For this reason, EPA believes that it would be appropriate for each 

State to make the SIP submission necessary to meet its outstanding obligations under 

section 110(a)(2)(D)(i) well in advance of the May 25,2007 FIP deadline. The EPA therefore 

suggests that States should make their SIP submission by no later than November 25,2006, in 

order to allow adequate time for the necessary Agency action on the submission. 

The EPA recognizes that this target SIP submission date is only 18 months after the 

effective date of the finding of failure to submit, and that the Agency is issuing this guidance 

concerning the necessary SIP submissions only shortly in advance of the target date. As a result, 

EPA intends to be as flexible as possible with respect to the target SIP submission date and will 

work with States to insure that they can make appropriate SIP submissions as close to 

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November 25, 2006, as possible. However, in the event of submissions significantly later than 

this date, EPA may need to initiate the FIP process to meet its own statutory obligations to 

implement FIPs where States fail to submit SIPs that the Agency can approve in advance of the 

May 25,2007 FIP deadline. 

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Attachment A: States subject to the CAIR 

Alabama Mississippi 

Arkansas (ozone only) Missouri 

Connecticut (ozone only) New York 

Florida New Jersey 

Delaware North Carolina 

Georgia (PM 2.5 only) Ohio 

Illinois Pennsylvania 

Indiana South Carolina 

Iowa Tennessee 

Kentucky Texas (PM 2.5 only) 

Louisiana Virginia 

Maryland West Virginia 

Massachusetts (ozone only) Wisconsin 

Michigan District of Columbia 

Minnesota (PM 2.5 only) 

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