Appendix V to Part 51—Criteria for Determining the Completeness of Plan Submissions

1.0. Purpose

This appendix V sets forth the minimum criteria for determining whether a State implementation plan 

submitted for consideration by EPA is an official submission for purposes of review under §51.103.

1.1 The EPA shall return to the submitting official any plan or revision thereof which fails to meet the 

criteria set forth in this appendix V, and request corrective action, identifying the component(s) absent or 

insufficient to perform a review of the submitted plan.

1.2 The EPA shall inform the submitting official whether or not a plan submission meets the requirements 

of this appendix V within 60 days of EPA's receipt of the submittal, but no later than 6 months after the date 

by which the State was required to submit the plan or revision. If a completeness determination is not made 

by 6 months from receipt of a submittal, the submittal shall be deemed complete by operation of law on the 

date 6 months from receipt. A determination of completeness under this paragraph means that the 

submission is an official submission for purposes of §51.103.

2.0. Criteria

The following shall be included in plan submissions for review by EPA:

2.1. Administrative Materials

(a) A formal letter of submittal from the Governor or his designee, requesting EPA approval of the plan or 

revision thereof (hereafter “the plan”).

(b) Evidence that the State has adopted the plan in the State code or body of regulations; or issued the 

permit, order, consent agreement (hereafter “document”) in final form. That evidence shall include the date 

of adoption or final issuance as well as the effective date of the plan, if different from the adoption/issuance 

date.

(c) Evidence that the State has the necessary legal authority under State law to adopt and implement the 

plan.

(d) A copy of the actual regulation, or document submitted for approval and incorporation by reference into 

the plan, including indication of the changes made to the existing approved plan, where applicable. The 

submittal shall be a copy of the official State regulation /document signed, stamped, dated by the 

appropriate State official indicating that it is fully enforceable by the State. The effective date of the 

regulation/document shall, whenever possible, be indicated in the document itself.

(e) Evidence that the State followed all of the procedural requirements of the State's laws and constitution in 

conducting and completing the adoption/issuance of the plan.

(f) Evidence that public notice was given of the proposed change consistent with procedures approved by 

EPA, including the date of publication of such notice.

(g) Certification that public hearings(s) were held in accordance with the information provided in the public 

notice and the State's laws and constitution, if applicable.

(h) Compilation of public comments and the State's response thereto.

2.2. Technical Support

(a) Identification of all regulated pollutants affected by the plan.

(b) Identification of the locations of affected sources including the EPA attainment/nonattainment 

designation of the locations and the status of the attainment plan for the affected areas(s).

(c) Quantification of the changes in plan allowable emissions from the affected sources; estimates of 

changes in current actual emissions from affected sources or, where appropriate, quantification of changes 

in actual emissions from affected sources through calculations of the differences between certain baseline 

levels and allowable emissions anticipated as a result of the revision.
(d) The State's demonstration that the national ambient air quality standards, prevention of significant 

deterioration increments, reasonable further progress demonstration, and visibility, as applicable, are 

protected if the plan is approved and implemented. For all requests to redesignate an area to attainment for 

a national primary ambient air quality standard, under section 107 of the Act, a revision must be submitted 

to provide for the maintenance of the national primary ambient air quality standards for at least 10 years as 

required by section 175A of the Act.

(e) Modeling information required to support the proposed revision, including input data, output data, 

models used, justification of model selections, ambient monitoring data used, meteorological data used, 

justification for use of offsite data (where used), modes of models used, assumptions, and other information 

relevant to the determination of adequacy of the modeling analysis.

(f) Evidence, where necessary, that emission limitations are based on continuous emission reduction 

technology.

(g) Evidence that the plan contains emission limitations, work practice standards and 

recordkeeping/reporting requirements, where necessary, to ensure emission levels.

(h) Compliance/enforcement strategies, including how compliance will be determined in practice.

(i) Special economic and technological justifications required by any applicable EPA policies, or an 

explanation of why such justifications are not necessary.

2.3. Exceptions

2.3.1. The EPA, for the purposes of expediting the review of the plan, has adopted a procedure referred to as 

“parallel processing.” Parallel processing allows a State to submit the plan prior to actual adoption by the 

State and provides an opportunity for the State to consider EPA comments prior to submission of a final 

plan for final review and action. Under these circumstances, the plan submitted will not be able to meet all 

of the requirements of paragraph 2.1 (all requirements of paragraph 2.2 will apply). As a result, the 

following exceptions apply to plans submitted explicitly for parallel processing:

(a) The letter required by paragraph 2.1(a) shall request that EPA propose approval of the proposed plan by 

parallel processing.

(b) In lieu of paragraph 2.1(b) the State shall submit a schedule for final adoption or issuance of the plan.

(c) In lieu of paragraph 2.1(d) the plan shall include a copy of the proposed/draft regulation or document, 

including indication of the proposed changes to be made to the existing approved plan, where applicable.

(d) The requirements of paragraphs 2.1(e)–2.1(h) shall not apply to plans submitted for parallel processing.

2.3.2. The exceptions granted in paragraph 2.3.1 shall apply only to EPA's determination of proposed action 

and all requirements of paragraph 2.1 shall be met prior to publication of EPA's final determination of plan 

approvability.

[55 FR 5830, Feb. 16, 1990, as amended at 56 FR 42219, Aug. 26, 1991; 56 FR 57288, Nov. 8, 1991]