MEMORANDUM 

UNITED STATES ENVIRONMENTAL PROTECTION AGENCY 

RESEARCH TRIANGLE PARK, NC 27711 

DEC 1 4 2004 

OFFICE OF 

AIR QUALITY PLANNING 

AND STANDARDS 

SUBJECT: Clean Data Policy for the Fine P icle.~ Ambient Air Quality Standards 

FROM: 

TO: 

Purpose 

Stephen D. Page, Director . ~ .. )_;SC;. 

Office of Air Quality Plann,i\·' andst[u12;Jds 

Air Division Directors, R~gions I-X 

In December 2004, EPA is designating areas as nonattainment with the national ambient 

air quality standards (NAAQS) for fine particles. This policy memorandum addresses the 

requirements for those nonattainment areas that, prior to the date that their State Implementation 

Plans (SIPs) are due, demonstrate that they are attaining the fine particle standard. Specifically, 

it addresses whether such areas must submit certain portions of the plans- those addressing 

reasonable further progress (RFP), attainment demonstrations and contingency measures as 

required in section 172 (c) of the Clean Air Act (CAA). This memorandum also describes the 

process by which EPA will detennine whether an area is attaining the PM2.5 standard. 

Background & Policy 

EPA established NAAQS for fine particles in 1997. EPA expects to make final 

attainment, unclassifiable, and nonattainment designations in December 2004. Nonattainment 

areas must submit their SIPs within 3 years of the effective date ofthe designations (i.e. March 

2008). Areas must attain the standard as expeditiously as practicable. Presumptively, attainment 

should be achieved within 5 years of designation, although EPA may grant an attainment date 

extension of up to 5 additional years based on the severity of the nonattainment problem and the 

availability of emissions controls. Thus, attainment dates will range from 5 to 10 years from the 

date of designation (i.e. 2010 to 20 15). Attainment must be determined based on the 3 calendar 

years prior to the attainment date. 

Because PM2.5 exposure is linked to significant health effects, EPA encourages States to 

achieve reductions in PM2.5 and its precursor emissions as early as possible, especially in areas 

that are expected to be designated as nonattainment. Public health in these areas will improve as 

levels of fine particles decline. By meeting the standard, they will reduce the incidence of 

premature mortality, hospital admissions, missed days of work and school, and other adverse 

respiratory and cardiac effects in children and adults. 

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With these benefits in mind, we have reviewed the CAA to determine whether an 

area that is originally .designated as nonattainment must still submit certain SIP 

requirements if the area has 3 consecutive calendar years of air quality data showing that 

it meets the PM2.5 standards prior to its required SIP submittal date. We believe that 

such areas may be exempt from making submissions for RFP, attainment demonstrations, 

and contingency measures - as long as those areas continue to meet the standard. 

However, if such an area is determined to violate the standards prior to being 

redesignated to attainment, the area will be required to address the pertinent requirements 

when it submits its SIP to EPA. EPA encourages States to take action to redesignate 

areas that are attaining the standard as expeditiously as practicable. Iri order to assist in 

this process, EPA will be reviewing the possibility of developing a "Limited Maintenance 

Plan Policy" for PM2.5 areas, which may be used in conjunctidn with the Clean Data 

Policy to assist States in getting areas redesignated to attainment in an expeditious 

manner. 

Interpretation and Legal Rationale 

The SIP provisions that are the subject of this policy are those addressing RFP, 

attainment demonstrations, and contingency measures. EPA previously has interpreted 

that the general provisions of the CAA subpart 1, part D ( § § 171 and 172 ) do not require 

an ozone nonattainment area to include these provisions in its SIP if that area meets the 

ozone standard. We believe it is appropriate to make the same interpretation for PM2.5. 

Our rationale is as follows: 

1) Reasonable Further Progress: Section 171 (1) states that, for the purposes of 

part D, Reasonable Further Progress means: 

"such annual incremental reductions in emissions of the relevant air pollutant as 

are required by this part or may reasonably be required by the Administrator for 

the purpose of ensuring attainment of the applicable NAAQS by the applicable 

date." 

If an area has 3 consecutive calendar years of air quality data showing it has 

attained the standard before the SIP due date, the purpose of the RFP requirement will 

. have been fulfilled, and we believe the area does not have to address RFP in its SIP. 

We took this view with respect to the general RFP requirement [CAA §172(c)(2)] 

in the "General Preamble for the Implementation of Title I ofthe Clean Air Act 

Amendments of 1990" (General Preamble) (see 57 FR 13498, April16, 1992), and we 

are now extending that interpretation to PM2 .5. In the General Preamble, EPA stated 

that: 

"requirements for RFP will not apply in evaluating a request for redesignation to 

attainment since, at a minimum, the air quality data for the area must show that 

the area has already attained. A showing that the State will make RFP toward 

attainment will, therefore, have no meaning at that point" (see 57 F R 13564). 
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2) Attainment Demonstrations 

This interpretation also is consistent with our previous interpretation of§ 172( c) 

requirements in the General Preamble as they pertain to.ozone attainment demonstrations. 

EPA stated that no other measures to provide for attainment would be needed by areas 

seeking redesignation to attainment since "attainment will have been reached" (see 57 

FR 13564; also Calcagni memorandum, September 4, 1992). If an area has attained the 

standard before the SIP due date, we believe the area does not have to include an 

attainment demonstration in its SIP. 

3) Contingency Measures 

Similar reasoning applies to the contingency measures SIP requirement, which is 

linked with both the attainment demonstration and RFP requirements. EPA previously 

has interpreted the contingency measures requirement of§ 172( c )(9) as no longer being 

applicable once an area has attained the standard, because those "contingency measures 

are directed at ensuring RFP and attainment by the applicable date" (see 57 FR 13564). 

Areas attaining the PM2.5 standard before their SIP due dates will not have to. address 

contingency measures in their SIPs. 

Each of these interpretations applies only as long as a nonattainment area 

continues to monitor attainment of the standard. If such an area violates the PM2.5 

NAAQS, the area would again be required to submit the pertinent SIP sections. 

Therefore, a detem1ination that an area need not submit one or more parts of a SIP 

amounts to a suspension of the requirement as long as the area continues to attainthe standard. If EPA ultimately redesignates the area to attainment, then the area will be 

entirely relieved of these requirements (to the extent they are not the basis for the area's 

maintenance plan). 

Consequences for Redesignations, Sanctions and Conformity 

Redesignation: A determination that an area has met the PM2.5 NAAQS is not 

equivalent to a redesignation to attainment. Attainment of the standard is only one of the 

criteria an area must satisfy in order to be redesignated [CAA §107(d)(3)(E)]. The State 

also must submit, and receive full approval of a request that satisfies all of the criteria for 

redesignation, including the requirements to: 

• demonstrate that the improvement in the area's air quality is due to permanent 

and enforceable reductions; 
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• have a fully approved SIP that meets all of the applicable requirements under 

section 110 and part D; and 

• have a fully approved maintenance plan. 

The SIP submissions for RFP, attainment demonstration, and contingency measures 

discussed in this memorandum would not be required in order for an area's redesignation 

request to be approved, provided that the area is attaining the PM2.5 standard. However, 

if an area again violates the standard before EPA takes final action on that area's 

redesignation request, EPA could not redesignate the area, and the SIP requirements 

would once again apply. Areas that are redesignated are relieved of all nonattainment 

requirements. 

Sanctions: If EPA determines that an area is attaining the PM2.5 standard, 

thereby suspending the SIP submission requirements discussed above would be 

suspended, and any sanction clock related to those SIP requirements would be stopped. 

Conformity: An area determined to be attaining the standard under this policy 

will be required to use the applicable regional emissions test, as required in the 

transportation confonnity rule at 69 FR 40004 (July 1, 2004). This rule addresses the 

specific emissions tests for transportation plan and TIP conformity determinations that 

occur before and after a PM2.5 SIP having motor vehicle emissions budgets is 

established. 

New Source Review (NSR) 

An attainment determination pursuant to this policy will not relieve an area of its 

responsibility to meet the requirements of EPA's NSR regulations. All NSR 

requirements would continue to apply to any area designated as nonattainment. 

Process for Determining Attainment 

Regional offices make determinations - EPA Regional Offices will conduct 

individual rulemakings for each area seeking an attainment determination under this 

policy. Once the area has demonstrated that it is meeting the PM2.5 standard, the 

Regional Office will issue a binding determination that the area has attained the standard 

and need not make the SIP submittals discussed above. 

Three years of clean data required- To demonstrate that it is meeting the 

standard, a nonattainment area must have 3 consecutive years of air quality monitoring 

data (e.g. 2004-2006, for areas that have a SIP submittal date of February 2008) that 

show the area had clean air quality that precede the areas required SiP submittal date. 

The data must be complete and quality-assured, consistent with 40 CFR part 58 

requirements, and other relevant EPA guidance. The State also must ensure that the data 

are properly submitted to the Air Qmility Subsystem of 
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EPA's Aerometric Information Retrieval System. The State should notify its EPA 

Regional Office that it believes a nonattainment area is attaining the PM2.5 standard and 

petition for an attainment determination under this policy. EPA believes that the 

determination of attainment for an area should be consistent with the manner that the area 

was designated as nonattainment 1

• 

Entire multi-state areas must have clean air to be eligible- Multi-state 

nonattainment areas must demonstrate attainment for the entire nonattainment area in 

order for EPA to suspend any of the SIP requirements covered by this policy. EPA will 

not suspend any requirements based on a determination that part of a nonattainment area 

is monitoring attainment. If the multi-state nonattaininent area involves more than one 

EPA Region, the appropriate Regional Offices should coordinate these efforts in making 

any attainment detem1inations. 

Areas must continue to meet PM2.5 standard- Areas that are determined to 

attain the PM2.5 standard under this policy must continue to monitor clean air. The State 

must continue to operate an appropriate air quality monitoring network, in accordance 

with EPA regulations, to verify the attainment status of the area (see 40 CPR part 58). 

A violation means SIP requirements apply- If EPA determines that an area has 

violated the PM 2.5 standard, the area would again be required to submit the pertinent 

requirements under the SIP for the area. EPA would notify the State of that 

determination and would also provide notice to the public in the Federal Register. Areas 

subject to such a determination would receive a reasonable amount oftime to address the 

RFP, attainment demonstration and/or contingency measure requirements and submit 

revisions to their SIPs. EPA would establish this SIP submittal date on a case-by-case 

basis, taking into account individual circumstances surrounding the particular SIP 

provisions at issue. 

Areas remain subject to other EPA requirements -Attainment determinations 

under this policy do not shield an area from other required actions, such as provisions to 

address pollution transport, which could require emission reductions at sources or other 

types of emission activities contributing significantly to nonattainment in other areas or 

States, or interfering with maintenance in those areas. EPA has the authority to require 

emissions reductions as necessary and appropriate to deal with transported air pollution 

[see CAA §§ 110(a)(2)(D) and 110(a)(2)(A).] 

1 Areas that are designated based upon violations identified at specific monitors 

located within a given area should also be used in the determination of attainment for the 

area. The use of spatial averaging.should only be used in determinations of attainment 

for an area where the technique was also used in designating the area as nonattainment 

initially. 
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If you have any questions about this policy, please contact Larry Wallace of my staff, 

at (919) 541-0906, or Rich Damberg at (919) 541-5592. 

cc: RobBrenner 

Bill Harnett 

Rich Ossias 

Joe Paisie 

Sally Shaver 

Peter Tsirigotis 

Lydia Wegman