Appendix A 

Correspondence and Guidance Documents 
Correspondence and Guidance Documents i 

The Charlotte-Gastonia-Rock Hill, NC-SC 8-Hour Ozone Appendix A 

North Carolina Attainment Demonstration June 15, 2007 
Correspondence and Guidance Documents ii 

The Charlotte-Gastonia-Rock Hill, NC-SC 8-Hour Ozone Appendix A 

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Table of Contents 

Guidance Document: 11/30/1999, John Seitz, “Guidance on the Reasonably Available Control 

Measures (RACM) Requirement and Attainment Demonstration Submission for Ozone 

Nonattainment Areas”..........................................................................................................1

Guidance Document: 3/28/2000, John S. Seitz, “Boundary Guidance on Air Quality 

Designations for the 8-Hour Ozone National Ambient Air Quality Standards (NAAQS 

or Standard)”........................................................................................................................1 

Guidance Document: 11/18/2002, Lydia Wegman and Peter Tsirigotis, “2002 Base Year 

Emissions Inventory SIP Planning: 8-Hour Ozone, PM2.5 and Regional Haze 

Program”............................................................................................................................13 

Letter: 7/15/2003, William G. Ross, Jr., North Carolina’s 8-hour ozone nonattainment 

boundary recommendations...............................................................................................19 

Letter: 12/3/2003, J. I. Palmer, Jr., The USEPA’s comments to North Carolina’s 8-hour ozone 

nonattainment boundary recommendations .......................................................................22 

Letter: 12/19/2003, William G. Ross, Jr., Response to the USEPA’s 12/3/2003 letter.................37 

Letter: 2/6/2004, William G. Ross, Jr., North Carolina’s 2nd recommendation for 8-hour ozone 

nonattainment boundaries ..................................................................................................40 

Letter: 2/12/2004, B. Keith Overcash, Cover letter for technical justification for North 

Carolina’s 8-hour ozone nonattainment boundary recommendations ...............................44 

Letter: 4/15/2004, Michael O. Leavitt, The USEPA’s 8-hour ozone nonattainment boundaries 

designation .........................................................................................................................45 

Letter: 6/14/2006, B. Keith Overcash, Regarding Section 182(a)(1) emission inventory submittal 

requirement ........................................................................................................................48 

Guidance Document: 7/10/2006, “8-Hour Ozone NAAQS Implementation Rule Deadlines for 

Areas Designated Nonattainment Effective 6/15/04”........................................................48 

Guidance Document: 8/15/2006, William T. Harnett, “Guidance for State Implementation Plan 

(SIP) Submissions to Meet Current Outstanding Obligations Under Section 

110(a)(2)(D)(i) for 8-Hour Ozone and PM2.5 National Ambient Air Quality 

Standards”..........................................................................................................................52 

Fact Sheet: 8/11/2006, “SIP Guidance on Section 110(a)(2)(D)(i) Findings of Failure to 

Submit” ..............................................................................................................................67 

Guidance Document: 8/15/2006, William T. Harnett, “8-Hour Ozone National Ambient Air 

Quality Standards (NAAQS) Implementation -- Reasonable Further Progress 

(RFP)”................................................................................................................................69 
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MEMORANDUM

SUBJECT: Guidance on the Reasonably Available Control Measures (RACM)

Requirement and Attainment Demonstration Submissions for

Ozone Nonattainment Areas

FROM: John S. Seitz, Director

 Office of Air Quality Planning and Standards

TO: Regional Air Division Directors

 Regions I-X

Attached is guidance that clarifies EPA’s policy on what constitutes “as expeditiously as

practicable” for the purposes of attaining the national ambient air quality standards (NAAQS) for

ozone nonattainment areas. The guidance contains information on EPA’s determination of

whether a State’s submission provides for all RACM needed for attainment and whether

implementation of those measures occurs as expeditiously as practicable. This guidance should

be used by ozone nonattainment areas that are subject to the Clean Air Act requirement to submit

an attainment demonstration and to submit RACM.

If you have any questions on this guidance, please contact Sharon Reinders at 919/54l5284.

Attachment

cc: Bill Becker, STAPPA/ALAPCO

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Guidance on the Reasonably Available Control Measures (RACM) Requirement 

and Attainment Demonstration Submissions for Ozone Nonattainment Areas

Preface

The purpose of this guidance is to set forth EPA’s current interpretation of the

relationship of the “as expeditiously as practicable” requirement and the attainment

demonstration requirement for ozone nonattainment areas. While EPA intends to proceed under

the guidance that it is setting out today, the EPA will finalize this interpretation only when it

applies in the appropriate context of individual rulemakings addressing specific attainment

demonstrations for ozone nonattainment areas. At that time and in that context, judicial review of

the EPA’s interpretation would be available.

Background

Sections 172(a)(2)(A) and 181(a) of the Act require ozone nonattainment areas for to

attain the ozone NAAQS as expeditiously as practicable and provide outer-limit dates for

attainment based on an area’s classification. Furthermore, section 172(c)(1), provides for “the

implementation of all reasonably available control measures as expeditiously as practicable.” This

policy addresses how EPA interprets these requirements with respect to the adoption of control

measures within the intrastate portion of the modeling domain for ozone nonattainment areas.

To ensure compliance with the Act, EPA will review each attainment demonstration

submission for the ozone NAAQS to determine whether it provides for all RACM necessary to

attain the standard as expeditiously as practicable and provides for implementation of those

measures as expeditiously as practicable. The State’s submission needs to contain sufficient

information for EPA to make such determinations.

In order for the EPA to determine whether a State has adopted all RACM necessary for

attainment as expeditiously as practicable, the State will need to provide a justification as to why

measures within the arena of potentially reasonable measures have not been adopted. The

justification would need to support that a measure was not “reasonably available” for that area

and could be based on technological or economic grounds. Sources of potentially reasonable

measures include measures adopted in other nonattainment areas and measures that the EPA has

identified in guidelines or other documents.

In order for the EPA to determine whether an area has provided for implementation as

expeditiously as practicable, the State must explain why the selected implementation schedule is

the earliest schedule based on the specific circumstances of that area. Such claims cannot be

general claims that more time is needed but rather should be specifically grounded in evidence of

economic or technologic infeasibility. While it may be appropriate for some control measures to

be implemented shortly after adoption, the EPA recognizes that other measures may need a longer

period. 

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The EPA will review the State’s submission to ensure that sufficient information is

provided for the EPA to determine whether the State has adopted all RACM necessary for

attainment as expeditiously as practicable and provided for implementation of those measures as

expeditiously as practicable. The EPA will make those determinations based on the information

provided by the State and any other information available to the EPA at the time the Agency

approves or disapproves the attainment demonstration.

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March 28, 2000 

MEMORANDUM 

SUBJECT: Boundary Guidance on Air Quality Designations for the 8-Hour Ozone National 

Ambient Air Quality Standards (NAAQS or Standard) 

FROM: John S. Seitz, Director 

Office of Air Quality Planning and Standards (MD-10) 

TO: Air Directors, Regions I-X 

The purpose of this memorandum is to provide guidance to State and local air pollution 

control agencies and Tribes (States and Tribes) on designating areas as attainment/unclassifiable1 

or nonattainment and the Environmental Protection Agency’s (EPA’s) views on the boundaries 

for nonattainment areas for the 8-hour ground-level ozone NAAQS. 

Area designations to attainment/unclassifiable or nonattainment are required after 

promulgation of a new or revised NAAQS. The EPA promulgated a new 8-hour ozone NAAQS 

in July 1997 and is, therefore, obligated to designate all areas by July 2000 as established by the 

Clean Air Act (CAA or Act) and the Transportation Equity Act for the 21 Century (TEA-21).2 

On May 14, 1999, the U.S. Court of Appeals for the District of Columbia Circuit issued a 

decision remanding, but not vacating, the 8-hour ozone standard. The court noted that EPA is 

required to designate areas for any new or revised NAAQS in accordance with §107(d)(1) of the 

Act. American Trucking Assoc. v. EPA, 175 F.3d 1027, 1047-48, on rehearing 195 F.3d 4 (D.C. 

Cir. 1999). 

The process for designations following promulgation of a NAAQS is contained in 

§107(d)(1) of the Act. This section provides each State Governor an opportunity to recommend 

attainment/unclassifiable or nonattainment designations including appropriate boundaries to EPA 

and for EPA to make modifications to these designations and boundaries as it deems necessary. 

In June 1999, EPA requested that each State forward (or complete entering into the Aerometric 

Information Retrieval System data base) air quality data through 1998 and identify which 

monitors were exceeding the 8-hour standard during the 1996-1998 time frame. The EPA is now 

requesting that each State Governor submit their designation recommendations and supporting 

1

A designation to attainment/unclassifiable means that the area has sufficient data to 

determine that the area is meeting the 8-hour ozone NAAQS or that due to no data or insufficient 

data, EPA cannot make a determination. 

2

CAA §107(d)(1); TEA-21§6103(a). 

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documentation to the appropriate EPA Regional Office, to the attention of the Regional 

Administrator, by June 30, 2000. These recommendations should generally be based on States’ 

1997-1999 quality-assured, Federal reference or equivalent air quality monitoring data. 

In accordance with the CAA, EPA will review the recommended designations and may 

make modifications as deemed necessary to a State’s recommendation. If EPA determines that a 

modification to the recommendation is necessary, EPA will notify the State no later than 120 days 

prior to promulgating a designation, which will provide an opportunity for the State to 

demonstrate why EPA’s modification is not appropriate. In the case where a State does not 

submit recommendations, EPA will promulgate the designation it deems appropriate. As 

described in the attachment, Tribal designation activities are covered under a different legal 

authority. 

This memorandum provides EPA’s current views on how boundaries should be 

determined for designations. This guidance is not binding on States, Tribes, the public, or EPA. 

Issues concerning nonattainment area boundaries will be addressed in actions to designate 

nonattainment and attainment/unclassifiable areas under §107 of the CAA. When EPA 

promulgates designations, those determinations will be binding on States, Tribes, the public, and 

EPA as a matter of law. 

The attachment contains the guidance on determining boundaries. Questions on this 

guidance may be directed to Sharon Reinders at 919-541-5284. The Regional Offices should 

make this guidance available to their States and Tribes and, where appropriate, work closely with 

them to ensure they submit their area recommendations by June 30, 2000. 

Attachment 

cc: Deputy Regional Administrators, Regions I-X 

Margo Oge, OTAQ 

2

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Attachment 

8-HOUR OZONE NAAQS

GUIDANCE ON NONATTAINMENT DESIGNATIONS 

1. Why is EPA issuing this guidance on 8-hour ozone NAAQS nonattainment designations? 

States have requested that EPA provide guidance on the appropriate boundaries for areas 

that will be designated nonattainment for the 8-hour standard. The EPA provided initial guidance 

on designations in a June 1999 memorandum.1 That memorandum noted that EPA would provide 

additional information on designations at a future date. This guidance on how to determine the 

appropriate boundaries for areas that will be designated nonattainment for the current 8-hour 

ozone NAAQS is intended to meet that commitment. In addition, in light of the court decision 

remanding the 8-hour standard to EPA, States have asked what the implications are if EPA issues 

a revised ozone standard in response to the court’s remand. 

On July 18, 1997, EPA issued the revised NAAQS for ozone (62 FR 38856). The new 

standard is 0.08 parts per million (ppm) averaged over 8-hours; this compares to the pre-existing 

NAAQS of 0.12 ppm averaged over 1 hour. This action triggered the requirement under §107 of 

the Act and §6103 of TEA-21 for EPA to designate areas as attainment/unclassifiable or 

nonattainment for the revised NAAQS. Under these statutory provisions, EPA is required to 

designate areas for the revised standard by July 2000. 

On May 14, 1999, the U.S. Court of Appeals for the District of Columbia Circuit issued a 

decision remanding, but not vacating, the 8-hour ozone standard. The court noted that EPA is 

required to designate areas for any new or revised NAAQS in accordance with §107(d)(1) of the 

Act. American Trucking Assoc. v. EPA, 175 F.3d 1027, 1047-48, on rehearing 195 F.3d 4 (D.C. 

Cir. 1999). 

As provided in this guidance, EPA is planning to designate areas for the 8-hour ozone 

NAAQS promulgated in July 1997. If EPA promulgates a revised ozone NAAQS in response to 

a final unappealable court decision regarding the validity of the 8-hour standard, EPA would then 

be required to begin the designation process under §107 of the CAA for that revised ozone 

NAAQS. In such a case, EPA would issue guidance regarding designations for that revised 

NAAQS. At the time of promulgation of that revised NAAQS, EPA would establish, after an 

opportunity for public review, an appropriate transition scheme from the current 8-hour NAAQS 

to any revised NAAQS promulgated in response to the court’s decision. Although this 

memorandum is not establishing the transition scheme, EPA does not anticipate requiring States 

or Tribes to comply with the statutory redesignation requirements to modify the designations for 

the replaced NAAQS. 

2. What are the underlying requirements for designating areas for the 8-hour ozone NAAQS? 

1

Memorandum of June 25, 1999, from John S. Seitz, “Designations for the 8-Hour Ozone 

National Ambient Air Quality Standard.” 

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There are two relevant statutory provisions governing designations for the 8-hour ozone 

NAAQS. Section 107(d)(1) of the Act establishes the requirements for making designations for 

areas when a NAAQS is promulgated or revised. These are designations of nonattainment or 

attainment/unclassifiable. The provision provides an opportunity for each State to make a 

recommendation to EPA concerning the designation of areas in the State within 1 year after 

promulgation of a new or revised NAAQS. The EPA is required to designate areas across the 

country no later than 2 years following the promulgation of the NAAQS. The TEA-21 §6103 

essentially extends by 1 year the 2-year designation process. Thus, States were provided 2 years 

to make their recommendations and EPA is required to designate areas 1 year after the State 

designation recommendations are due. 

As authorized by the Tribal Authority Rule (TAR), Tribes may request an opportunity to 

submit designation recommendations to EPA. In cases where Tribes do not make their own 

recommendations, then EPA, in consultation with the Tribes, will promulgate the designation it 

deems appropriate on their behalf.2 

In issuing the final designations, EPA is authorized to make such modifications it deems 

necessary to the recommended designations of the areas or portions thereof including the 

2

The CAA, §301(d), authorizes EPA to treat eligible Indian Tribes in the same manner as 

States. Pursuant to §301(d)(2), EPA promulgated regulations known as the “Tribal Authority 

Rule” on February 12, 1999 that specifies those provisions of the Act for which it is appropriate 

to treat Tribes as States. 63 FR 7254, codified at 40 Code of Federal Regulations (CFR) §49 

(1999). Under the TAR, Tribes may choose to develop and implement their own CAA programs, 

but are not required to do so. The TAR also establishes procedures and criteria by which Tribes 

may request from EPA a determination of eligibility for such treatment. The designations process 

contained in §107(d)(1) of the Act is included among those provisions determined appropriate by 

EPA for treatment of Tribes in the same manner as States. Therefore, EPA Regional Offices will 

work with the Tribes in their Regions that request an opportunity to submit designation 

recommendations. Eligible Tribes may choose to submit their own recommendations and 

supporting documentation. Since, currently, there is a lack of air quality monitoring data 

nationally throughout Indian country, the factors identified in this guidance should be considered 

in recommending designations for the 8-hour ozone standard. The EPA will review the 

recommendations made by Tribes and may, in consultation with the Tribes, make modifications as 

deemed necessary. Under the TAR, Tribes generally are not subject to the same submission 

schedules imposed by the CAA on States. Therefore, EPA Regional Offices will work with their 

Tribes in scheduling interim activities and final designation actions, insofar as practicable, within 

the time frames outlined in this memorandum. 

Finally, certain aspects of this guidance may not be particularly suited for application to 

Tribes due to circumstances that presently exist throughout Indian country. Consequently, EPA 

intends to issue additional guidance in the near future to further address designation issues 

pertaining to Tribes. 

2 

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boundaries of the areas or portions thereof. If EPA modifies a designation or boundary, it must 

notify the State or Tribe at least 120 days in advance of such action in order to give the State or 

Tribe an opportunity to demonstrate why the proposed modification is inappropriate. The EPA’s 

designation of areas for the 8-hour ozone NAAQS will be based on the most recent 3 consecutive 

years of air quality data from Federal reference or equivalent method monitors.3 

Tribes are not required to recommend designations; however, they may choose to make 

recommended designations for land under their jurisdiction. The EPA will review the Tribe’s 

recommendation, and may, in consultation with the Tribe, make modifications to the Tribe’s 

recommendation. In cases where Tribes do not make their own recommendations, then EPA, 

upon consultation with the respective Tribe(s), will make designations for them. 

3. How should boundaries of nonattainment areas be drawn and what process must be followed? 

Section 107(d)(1) of the CAA addresses the determination of whether an area is to be 

designated nonattainment. With respect to a specific NAAQS, such as the 8-hour ozone 

NAAQS, this provision requires all areas to be designated nonattainment if they do not meet the 

standard or contribute to ambient air quality in a nearby area that does not meet the standard. 

The EPA believes that any county with an ozone monitor showing a violation of the 

NAAQS and any nearby contributing area needs to be designated as nonattainment. In reducing 

ozone concentrations above the NAAQS, EPA believes it is best to consider controls on sources 

over a larger area due to the pervasive nature of ground level ozone and transport of ozone and 

its precursors. Thus, EPA recommends that the Metropolitan Statistical Area or the Consolidated 

Metropolitan Statistical Area (C/MSA) serve as the presumptive boundary for 8-hour NAAQS 

nonattainment areas.4 We believe this approach will best ensure public health protection from the 

adverse effects of ozone pollution caused by population density, traffic and commuting patterns, 

commercial development, and area growth. In the past, areas within C/MSAs have generally 

experienced higher levels of ozone concentrations and ozone precursor emissions than areas not 

in C/MSAs. In addition, the 1990 Amendments to the CAA established the C/MSA as the 

presumptive boundary for ozone nonattainment areas classified as serious, severe and extreme. 

4. How should designation recommendations, including boundaries, be addressed when more 

than one State and/or Tribe might be affected? 

3

For the 8-hour ozone NAAQS, it is 3 consecutive years of data in accordance with 40 

CFR part 50, Appendix I; data used will be quality-assured and meet 40 CFR part 58 

requirements (e.g., for monitor siting). Designations should generally be made based on 1997-

1999 air quality, considering data availability. 

4

C/MSAs are identified by the U.S. Bureau of the Census and can be found at the 

following website: http://www.census.gov/population/www/estimates/aboutmetro.html. 

3 

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Where more than one State is involved with respect to an area, close coordination is 

needed among the affected States and Tribes prior to the time the recommendation is made. In 

addition, the EPA Regional Office should coordinate where an area may be located in States or 

tribal lands located in two or more regions. There is a strong presumption that interstate areas 

making up one C/MSA will be designated as one nonattainment area. The EPA believes that it is 

important that consistent and coordinated boundary recommendations be made for the area from 

each State and Tribe. 

5. What factors should a State or Tribe consider in determining whether to recommend area 

boundaries that are larger or smaller than a C/MSA or tribal land? 

In some cases, the most appropriate nonattainment area boundary may be larger than the 

C/MSA. For example, if sources located in a county or on Indian lands outside the C/MSA 

contribute to violations within the C/MSA, States or Tribes should consider whether it would be 

appropriate to expand the nonattainment area to include the area in which those sources are 

located. In other cases, a smaller nonattainment area may be more appropriate. For example, one 

C/MSA may cover multiple air basins, or include counties or portions of counties which are rural 

in nature. 

A State or Tribe wishing to propose larger or smaller nonattainment area boundaries 

(including partial counties or portions of areas on tribal lands) than those matching the C/MSA or 

boundary of the tribal land should address how each of the following factors affect the drawing of 

nonattainment area boundaries and how the resulting recommendation is consistent with the 

definition of nonattainment in §107(d)(1) of the Act. Additional information is provided below 

under question number 12 on documentation. 

• Emissions and air quality in adjacent areas (including adjacent C/MSAs) 

• Population density and degree of urbanization including commercial development 

(significant difference from surrounding areas) 

• Monitoring data representing ozone concentrations in local areas and larger areas 

(urban or regional scale) 

• Location of emission sources (emission sources and nearby receptors should generally 

be included in the same nonattainment area) 

• Traffic and commuting patterns 

• Expected growth (including extent, pattern and rate of growth) 

• Meteorology (weather/transport patterns) 

• Geography/topography (mountain ranges or other air basin boundaries) 

• Jurisdictional boundaries (e.g., counties, air districts, existing 1-hour nonattainment 

areas, Reservations, etc.) 

• Level of control of emission sources 

• Regional emission reductions (e.g., NOx SIP call or other enforceable regional 

strategies) 

4

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A State or Tribe choosing to propose area boundaries smaller than a C/MSA or tribal land 

should consult with its EPA Regional Office. The EPA will consider alternative boundary 

recommendations on a case-by-case basis to assess whether the recommendation is consistent 

with §107(d)(1) of the Act. 

The EPA will issue guidance on factors for Tribes to consider when submitting 

designation recommendations. Some of the factors, particularly for areas throughout Indian 

country that may not have adequate or any air quality ozone monitors, are geographic location of 

the land, proximity to the nearest C/MSA, prevailing meteorology, location of nearby ozone 

monitors, available ozone air quality data, and location of nearby emission sources both inside and 

outside of such areas. 

6. What are the key timing activities for and implications of designation as nonattainment under 

the 8-hour ozone standard particularly for States? 

The designation process has several steps. On June 25, 1999, EPA issued a guidance 

memorandum requesting that States submit the most recent, complete, quality-assured ozone 

monitoring data identifying the monitors where exceedances of the 8-hour standard have 

occurred. The EPA, with this memorandum, is providing guidance describing the criteria for 

drawing boundaries for nonattainment areas and setting deadlines for the steps in the designation 

process. States will then have several months to work with local governments and other 

stakeholders and submit their recommendations and supporting documentation to EPA for area 

designations and boundaries by June 30, 2000. The EPA will then review and respond to the 

State designations including boundaries by late summer. The EPA will not make final 

designations prior to late December because it cannot make them until at least 4 months (120 

days) after responding to the States, pursuant to a CAA requirement. Given this process, 

designations could not become effective prior to early 200l at the earliest, nor would conformity 

or other requirements. Conformity and other planning requirements would be triggered on the 

effective date of designations. The EPA Regional Offices should immediately begin to work with 

their States and Tribes on boundary recommendations to ensure that they have maximum input 

prior to the June 30, 2000 recommendation date and encourage States to coordinate with 

appropriate transportation planning agencies. 

After EPA makes the final designations, it will publish them in the Federal Register and set 

a date on which they become effective. Historically, the effective date of a rule is usually 30 to 60 

days after publication, but can be later. In the process of determining when to finalize the 

proposed designations and make them effective, EPA will carefully consider the time needed to 

prepare for any applicable requirements, as well as the status of ongoing litigation and 

administrative proceedings. The EPA is committed to ensuring that all State and local officials 

have ample time to comply with requirements that are applicable when designations become 

effective. 

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The EPA believes that the Court decision affirms the serious health risk posed by ozone. 

Thus, notwithstanding the schedule described above, EPA believes that it is important to issue a 

final action on designations to provide the public with information regarding the air quality in 

areas in which they live and work. In addition, areas can continue to take certain actions with 

respect to the 8-hour standard, such as operating monitoring sites, analyzing monitoring data, 

implementing public education and communications efforts regarding health impacts and potential 

solutions, collecting emissions inventory data, examining potential control measures such as major 

source Reasonably Available Control Technology and other Reasonably Available Control 

Measures, considering voluntary emission reduction measures and considering the integration of 

strategies for the attainment and maintenance of all NAAQS. 

7. How should long-range transport be addressed in the boundary recommendation? 

In addition to nearby areas with sources contributing to nonattainment, ozone 

concentrations are affected by long-range transport of ozone and its precursors (notably NOx). 

Thus, in certain parts of the country, such as the eastern U.S., ozone is a widespread problem. 

Where this is the case, the Act does not require that all contributing areas be designated 

nonattainment, only the nearby areas. Regional strategies, such as those employed in the Ozone 

Transport Region in the Northeast U.S., and in the EPA NOx SIP call, are needed to address the 

long-range transport component of ozone nonattainment, while the local component must be 

addressed through more local planning in and around the designated nonattainment area. Tribal 

areas may also be affected by transport.5 

8. How should designation recommendations be handled for 8-hour ozone nonattainment areas 

that cover some of the same area as 1-hour ozone nonattainment areas? 

In areas where the 1-hour NAAQS still applies, EPA’s presumption is that the designated 

8-hour nonattainment area boundary will be the C/MSA or the 1-hour nonattainment area 

boundary, whichever is larger. 

9. What will happen if EPA does not receive a designation recommendation from a State or 

Tribe? 

In the absence of a Governor’s recommendation by June 30, 2000, EPA will determine the 

designation. The EPA plans to follow this guidance in designating areas. In cases where Tribes 

do not make their own recommendations, then EPA, upon consultation with the respective 

Tribe(s), will promulgate the designation it deems appropriate. 

10. Must States recommend a classification for, or will EPA classify, nonattainment areas under 

the 8-hour ozone NAAQS? 

5

The prohibitions and authority contained in sections 110(a)(2)(D)(i) and 126 of the Act 

apply to Tribes in the same manner as States. 

6 

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The EPA will not classify nonattainment areas at this time; thus, States and Tribes should 

not submit recommendations for classifications. If EPA determines to classify areas in the future, 

it will provide an opportunity for State and Tribal involvement. 

11. What technical information should a State consider in its designation recommendations? 

To assist States and Tribes with their recommendations, the EPA is providing technical 

reports and maps showing locations where air quality was violating the 8-hour NAAQS based on 

1997-1999 monitored data that States and Tribes may find useful in defining the boundaries of 

nonattainment areas. The information will be posted on EPA’s web site in the immediate future. 

12. What documentation should a State or Tribal government submit concerning the 

nonattainment area recommendations? 

In addition to technical information documenting the recommendation for area boundaries 

noted in question number 5 above, the EPA is requesting that each State or Tribe in its submission 

provide certain air quality data and geographic information to support its nonattainment area 

recommendation. The EPA is asking for the following information: 

For nonattainment areas: 

a. Design value6

 for the area. 

b. Period of time represented by the design value, e.g., 1997-1999. 

c. Design value monitoring site location and identification number. 

For attainment/unclassifiable and nonattainment areas: 

d. Names of counties and tribal lands included, and 

e. If partial counties or portions of tribal lands are included, the boundary 

definition/description as outlined below. 

If the recommended nonattainment area boundary is less than a C/MSA, the State or Tribe 

should document its rationale for selecting the nonattainment area boundary. The documentation 

should address how the items in question number 5 affect the drawing of boundaries for each 

county or Reservation not included in the recommended nonattainment area such as population, 

traffic and commuting patterns, commercial development, projected growth, prevailing 

meteorology, nearby sources and air quality, and any other relevant or technical justification 

factors. In particular, where the recommended area boundary consists of parts of counties, 

C/MSAs, or Reservations, the State or Tribe must provide a technical analysis for its 

recommendation, explaining how the boundary is consistent with §107 (d)(1) of the Act. 

If there is less than a full county or Reservation, the EPA is requesting a legal definition of 

the area, a detailed hard copy map, and, because EPA plans to map the definition, a digitized 

6

The ozone air quality design value for a site is defined as the 3-year average annual 

fourth-highest daily maximum 8-hour average ozone concentration. 

7 

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latitude and longitude description for mapping purposes if available. Regional Offices and States 

should include the names of contacts from their respective offices for this information. The EPA 

requests that each State and Tribe submit its attainment/unclassifiable and nonattainment area 

designation recommendation and boundary information to EPA in both a detailed written form 

and in electronic form in a format consistent with how designations are identified in Part 81 of the 

CFR. In addition to the formal letter making the recommendation, EPA requests the States 

provide an electronic record in a usable file which will be merged with all other States’ and 

Tribes’ recommendations for a final complete product. An example is shown below. 

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Format of Recommendations for Designations 

State Name 

Nonattainment Areas: 

Area Name 

County or Tribal Land Names 

Area Name 

County or Tribal Land Names 

Attainment/Unclassifiable Areas: 

Rest of State or County or Tribal Land Names 

This is how it would appear in the Code of Federal Regulations: 

81.xxx [STATE NAME]. 

* * * * * 

[STATE NAME]-OZONE (8-HOUR STANDARD) 

Designated Area 

Designation Classification 

Type Type 

[NAME] Area: 

[NAME] County......... 

[NAME] Area: 

[NAME] County......... 

[NAME] County......... 

[NAME] County......... 

[NAME] County......... 

[Name] Tribal Land 

[Name] County......... 

Rest of State............ 

Rest of Tribal Land...... 

Nonattainment 

Nonattainment 

Attainment/ 

Unclassifiable 

Attainment/ 

Unclassifiable 

LEAVE BLANK 

* * * * * 

13. When should the recommendations be submitted? 

The Governor should submit all recommendations and supporting documentation for 

designations for nonattainment and attainment/unclassifiable areas, boundaries, and boundary 

descriptions described above to the EPA Regional Office by June 30, 2000. The eligible Tribal 

governing body, with the assistance of the appropriate EPA Regional Office, should submit all 

recommendations and supporting documentation consistent with the statements in question 

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number 2 of this memorandum. The EPA will notify the State or Tribe no later than 120 days 

prior to the designation action where EPA plans to modify a recommendation. 

14. Is there any special process for attainment/unclassifiable areas? 

The EPA will not distinguish between attainment and unclassifiable areas. The State or 

Tribe should indicate if its preference is that EPA list each attainment/unclassifiable area 

individually (e.g., by county); otherwise, EPA will indicate that the “rest of State” or “rest of 

tribal land” is attainment/unclassifiable. 

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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY

WASHINGTON, D.C. 20460

 April 15, 2004

THE ADMINISTRATOR

Honorable Michael Easley

Governor of North Carolina

20301 Mail Service Center

Raleigh, North Carolina 27699-0301

Dear Governor Easley:

Today, we enter a new chapter in our country’s clean air commitment. President Bush

outlined this chapter when he directed the Environmental Protection Agency (EPA) to implement a

national Clean Air strategy committing us to make the years ahead one of the most productive

periods of air quality improvement in our nation’s history. 

The last 35 years have seen a growing commitment to clean air and a progression of science

and technology that has informed our decision-making and guided our actions. I often think of our

clean air history as a relay where a baton is passed from generation to generation and from

Administration to Administration. It is a relay in which we must all be involved and a relay where

our participation is never done. This Administration has made a commitment to accelerate our clean

air progress so that all Americans live healthier, longer, more productive and prosperous lives. It is

a commitment to no turning around or backsliding in air quality improvement. 

Part of our nation’s commitment to clean, healthy air deals with reducing levels of ozone. 

That effort began in the1970s with a 1-hour standard for ozone — now, in 2004, the more protective,

health-based 8-hour ozone standard is ready for implementation.

Today, I fulfill my legal obligation under the Clean Air Act to issue final designations for all

areas of the country for the 8-hour ozone standard. The enclosed table identifies the areas in your

state that are designated as nonattainment, meaning that some areas of your state do not meet the

more protective, health-based 8-hour ozone standard. I am also today deferring the designation date

for the areas in your state participating in Early Action Compacts. I am confident that your

commitment and the actions you are taking in these areas will result in achieving clean air faster.

 Having been through this process as a governor myself, I recognize that having parts of your

state designated as being in nonattainment will require more actions on your part to achieve cleaner,

healthier air. This ozone standard is strong medicine, and we need to work together to

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2

make certain your state can, as others have in the past, clean the air while sustaining economic

growth. That is why the President has asked EPA to develop tools that reduce the transport of

pollution across state boundaries.

During 2004, we are issuing a suite of national Clean Air Rules as part of the President’s

strategy that will specifically address the transport of pollution. These national rules and other clean

air actions will bring the vast majority of areas of the country into attainment with this standard over

the next 15 years. The Clean Air Rules, when fully implemented, will cut power plant emissions of

sulfur dioxides, nitrogen oxides and mercury by nearly 70 percent, and will also reduce emissions

from off-road diesel fuels, vehicles and engines by over 90 percent — those black puffs of smoke

are going to be a thing of the past. Together, these Clean Air Rules will build on the tremendous

progress made over the last 30 years, and do it in record time. 

We have a national strategy and tools to provide people with cleaner, healthier air now and in

the future. The result is more protection, faster and ensures that clean air and a prosperous economy

will be this generation’s contribution to our children and grandchildren.

Sincerely, 

/s/

Michael O. Leavitt 

Enclosure

cc (w/enclosure): 

 Ms. Robin Smith, Assistant Secretary for Environmental Protection

 North Carolina Environment and Natural Resources Department

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Enclosure

Boundary Designations for 8-hour Ozone Standards for North Carolina

(P) - Partial Counties

(EAC) - Early Action Compacts

Nonattainment Area

Name

Counties Classification Maximum

Attainment Date

(from June 15, 2004)

Charlotte-Gastonia-Rock

Hill, NC-SC

Gaston 

Mecklenburg 

Cabarrus 

Iredell (P)

Lincoln 

Rowan 

Union

Moderate June 2010

Greensboro-WinstonSalem-High Point, NC

(EAC)

Davidson 

Davie 

Forsyth 

Guilford

Alamance 

Caswell 

Randolph

Rockingham 

Moderate Dec 2007

Raleigh-Durham-Chapel

Hill, NC

Durham

Granville

Wake

Chatham (P)

Franklin 

Johnston 

Orange 

Person

Basic June 2009

Hickory-MorgantonLenoir, NC

(EAC)

Alexander

Burke (P)

Caldwell (P) 

Catawba

Basic Dec 2007

Haywood and Swain Cos

(Great Smoky Mountains

National Park), NC

Haywood (P)

Swain (P)

Basic June 2009

Fayetteville, NC

(EAC)

Cumberland Basic Dec 2007

Rocky Mount, NC Edgecomb 

Nash

Basic June 2009

Note: Remainder of state is attainment

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7/10/2006 

8-HOUR OZONE NAAQS IMPLEMENTATION RULE 

DEADLINES FOR AREAS DESIGNATED NONATTAINMENT EFFECTIVE 6/15/04 

(This table is a staff work product and is intended for illustrative purposes only; consult rule itself and preambles for comprehensive information) 

AREA TYPE ROW KIND OF DATE SIP ELEMENT 

Subpart 1 with attainment date <= 5yr 

Subpart 1 with attainment date > 5yr 

Marginal Moderate Serious Severe-15 

[1] 

Severe-17 Extreme[1] 

A SUBMISSION 

DATES 

Emission Inventory 6/15/2007 6/15/2007 6/15/2006 6/15/2006 6/15/2006 6/15/2006 6/15/2006 6/15/2006 

B Attainment 

demonstration submission date 

6/15/2007 6/15/2007 Not 

required 

6/15/2007 6/15/2007 6/15/2007 6/15/2007 6/15/2007 

C RFP SIP submission 

date 

6/15/2007 -- RFP is met by submitting an attainment demonstration that demonstrates attainment as expeditiously as practicable, but no later than 5 years following designation 

6/15/2007 Not 

required 

6/15/2007 6/15/2007 6/15/2007 6/15/2007 6/15/2007 

D RACT SIP submission 

date 

6/15/2007 -- RACT is met by submitting an attainment demonstration that demonstrates attainment as expeditiously as practicable, but no later than 5 years following designation 

with attainment date extension request (e.g., 6/15/2007) 

Not required 

9/15/2006 9/15/2006 9/15/2006 9/15/2006 9/15/2006 

E NSR SIP revision 

submission date 

6/15/2007 6/15/2007 6/15/2007 6/15/2007 6/15/2007 6/15/2007 6/15/2007 6/15/2007 

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AREA TYPE ROW KIND OF DATE SIP ELEMENT 

Subpart 1 with attainment date <= 5yr 

Subpart 1 with attainment date > 5yr 

Marginal Moderate Serious Severe-15 

[1] 

Severe-17 Extreme[1] 

F COMPLIANCE 

DATES 

All emissions needed for attainment (final compliance) * * ASSUMES ACTUAL ATTAINMENT DATE AT END OF OZONE SEASON PRIOR TO MAX. STATUTORY ATTAIN. DATE [2] 

by the start of the 2008 full ozone season 

by the start of the 2013 full ozone season 

Not required (no attainment demo req'd) 

by the start of the 2009 full ozone season 

by the start of the 2012 full ozone season 

by the start of the 2018 full ozone season 

by the start of the 2020 full ozone season 

by the start of the 2023 full ozone season 

G COMPLIANCE 

DATES 

RFP compliance date--1hr area DID meet 15% VOC requirement previously * * ASSUMES ACTUAL ATTAINMENT DATE AT END OF OZONE SEASON PRIOR TO MAX. STATUTORY ATTAIN. DATE [2] ** ASSUMES RFP BASELINE YEAR OF 2002 [3] 

All reductions needed for attainment by the beginning of 2008 full ozone season 

--15% VOC/NOx reductions by 12/31/2008; --roughly proportional reductions for each 3 year period after 2008 out to attainment date (e.g., 12/31/2011) 

Not required 

Same as subpart 1 RFP compliance date (depends on whether area has attainment date beyond 5 years); 

(a) 3%/year for 6 years ending 12/31/2008 (b) 3%/year for every 3 years after 2008 out to attainment date (12/31/2011, then attainment date) 

(a) 3%/year for 6 years ending 12/31/2008 (b) 3%/year for every 3 years after 2008 out to attainment date (12/31/2011, 12/31/2014, 12/31/2017, then attainment date) 

(a) 3%/year for 6 years ending 12/31/2008 (b) 3%/year for every 3 years after 2008 out to attainment date (12/31/2011, 12/31/2014, 12/31/2017, 12/31/2020, then attainment date) 

(a) 3%/year for 6 years ending 12/31/2008 (b) 3%/year for every 3 years after 2008 out to attainment date (12/31/2011, 12/31/2014, 12/31/2017, 12/31/2020, 12/31/2023, then attainment date) 

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AREA TYPE ROW KIND OF DATE SIP ELEMENT 

Subpart 1 with attainment date <= 5yr 

Subpart 1 with attainment date > 5yr 

Marginal Moderate Serious Severe-15 

[1] 

Severe-17 Extreme[1] 

H RFP compliance date--

1hr area did NOT meet 15% VOC requirement previously * * ASSUMES ACTUAL ATTAINMENT DATE AT END OF OZONE SEASON PRIOR TO MAX. STATUTORY ATTAIN. DATE [2] ** ASSUMES RFP BASELINE YEAR OF 2002 [3] 

All reductions needed for attainment by the beginning of 2008 full ozone season) 

(a) 15% VOC/NOx reductions by 12/31/2008; (b) time- roughly proportional reductions every 3 years after 2008 out to attainment date 

Not required 

Must obtain 15% VOC reductions by 12/31/2008; additional reductions needed out to beginning of ozone season prior to attainment date 

(a) 15% VOC reductions for 6 years ending 12/31/2008 (b) 3%/year NOx and or VOC reductions for every 3 years after 2008 out to attainment date 

(a) 15% VOC reductions for 6 years ending 12/31/2008 (b) 3%/year NOx and or VOC reductions for every 3 years after 2008 out to attainment date 

(a) 15% VOC reductions for 6 years ending 12/31/2008 (b) 3%/year NOx and or VOC reductions for every 3 years after 2008 out to attainment date 

(a) 15% VOC reductions for 6 years ending 12/31/2008 (b) 3%/year NOx and or VOC reductions for every 3 years after 2008 out to attainment date 

I RACT compliance date 

* * ASSUMES ACTUAL ATTAINMENT DATE AT END OF OZONE SEASON PRIOR TO MAX. STATUTORY ATTAIN. DATE [2] 

All reductions needed for attainment by the beginning of 2008 full ozone season) 

beginning of first ozone season after 3/15/09 

RACT Afixup@requirement for pre-1990 obligations (we believe this may have been met under 1-hr std.) 

beginning of first ozone season after 3/15/09 [4] 

beginning of first ozone season after 3/15/09 

beginning of first ozone season after 3/15/09 

beginning of first ozone season after 3/15/09 

beginning of first ozone season after 3/15/09 

J ATTAINMENT 

DATE 

Attainment Date -- maximum statutory Actual attainment date must be as expeditious as practicable but no later than the maximum statutory date. 

6/15/2009 6/15/2014 6/15/2007 6/15/2010 6/15/2013 6/15/2019 6/15/2021 6/15/2024 

K Attainment Date -- 

expected actual (areas without full year ozone season) 

Fall/winter 2008 Fall/winter 2013 Fall/winter 

2006 

Fall/winter 2009 

Fall/winter 2012 

Fall/winter 2018 

Fall/winter 2020 

Fall/winter 2023 

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AREA TYPE ROW KIND OF DATE SIP ELEMENT 

Subpart 1 with attainment date <= 5yr 

Subpart 1 with attainment date > 5yr 

Marginal Moderate Serious Severe-15 

[1] 

Severe-17 Extreme[1] 

L Attainment Date -- 

expected actual (areas with full year ozone season (e.g., Houston, South Coast (CA)) 

around 1/1/2009 around 

1/1/2014 

around 1/1/2007 

around 1/1/2010 

around 1/1/2013 

around 1/1/2019 

around 1/1/2021 

around 1/1/2024 

FOOTNOTES: 1 -- Currently, no areas with this classification 2 B Actual attainment date must be as expeditious as practicable but no later than the maximum statutory attainment date; if actual date is different from that 

assumed, other dates in table would change accordingly. 3 B Rule allows alternative baseline (other than 2002); if alternative used, dates in table would differ. 

4 – Areas with 2009 ozone seasons that begin earlier than March 15, 2009 would need to ensure sources are complying with RACT by the earlier date if the RACT reductions are needed for attainment (since all reductions needed for attainment must occur prior to the attainment year ozone season). See preamble for additional discussion (November 29, 2005, (70 FR 71658, 71659)). 

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 August 11, 2006

 SIP Guidance on Section 110(a)(2)(D)(i) Findings of Failure to Submit 

 

This material is intended to provide a summary of EPA’s guidance to the States on their 

section 110(a)(2)(D)(i) SIP obligation to address interstate pollution transport for the 1997 

ozone and PM2.5 NAAQS. 

I. Background: 

! The Clean Air Act requires States to submit section 110 SIPs no later than 3 years after 

promulgation of a new or revised NAAQS. States were required to submit section 110 

SIPs for the ozone and PM-2.5 NAAQS, promulgated in July of 1997, no later than July 

of 2000. 

 

! States did not submit their section 110 SIPs by the July 2000 date, and EPA did not issue 

findings of failure to submit actions. 

! Earth Justice submitted a notice of intent to sue on March 16, 2004, due to EPA’s failure 

to issue a finding of failure to submit on the section 110 SIP requirements. 

! On March 10, 2005, EPA entered into a Consent Decree with Earth Justice to issue 

findings of failure to submit section 110(a)(2)(D)(i) transport SIP requirements. The 

Consent Decree also calls for the submittal of the remaining requirements under section 

110(a)(2) by December 2007 for Ozone and by October 2008 for PM-2.5. 

! EPA published the finding of failure to submit in the FR on April 25, 2005 (See 70 FR 

21147) with an effective date of May 25, 2005. The FR notice started a two year clock, 

which ends on May 25, 2007, for EPA to issue a FIP to address the transport 

requirements called for under section 110(a)(2)(D)(i) if States fail to submit their SIPs. 

II. What the guidance will address: 

! There are four prongs that a State must address to satisfy the section 110(a)(2)(D)(i) 

SIP requirement: 

The State must submit a SIP that contains adequate provisions: 

 

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

from emitting any air pollutants in amounts which will: 

1. Contribute significantly to nonattainment of the NAAQS for areas in 

another State. 

 2. Interfere with maintenance of the NAAQS by any other State. 

 3. Interfere with measures required to meet implementation plan for any 

 other State ... related to Prevention of Significant Deterioration (PSD). 

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4. Interfere with measures required to meet the implementation plan for any 

other State ... related to Regional Haze and Visibility. 

! Guidance for Prongs 1 & 2: 

 

 The CAIR States (28 states & DC): 

" The draft guidance indicates the CAIR States can satisfy the section these 

requirements by submitting the CAIR SIP, or relying on the CAIR FIP.

The Non-CAIR States: 

" For non-CAIR States we are suggesting that the State submit a negative 

declaration, accompanied by sufficient supporting information, to certify that 

emissions from their State do not contribute to nonattainment in another State or 

interfere with maintenance of the NAAQS in another State. 

" Appropriate supporting information may include, but is not limited to, a statement 

that the State has no nonattainment areas for PM-2.5 and 8-hour ozone, and that 

none of the adjacent States have nonattainment areas for ozone or PM-2.5. 

Appropriate supporting information may include, but is not limited to, the 

following types of information: 

 - Emissions inventories for sources that impact the ozone and PM-2.5 standards 

- Meteorological data 

- Information concerning the distance between the State and the nearest 

nonattainment area for 8-hour ozone or PM-2.5. 

- Air quality modeling 

! Guidance for the 3rd Prong : The PSD requirement 

o For the 8-hour ozone standard, each State only needs to make a SIP submission that 

confirms that major sources in the State are currently subject to PSD and NNSR 

permitting programs that apply to the 8-hour ozone standard and that SIP-approved States 

are on track to meet the June 15, 2007 deadline for SIP submissions adopting the 

requirements of the Phase II ozone implementation rule. 

o For the PM-2.5 standard, States need only provide a SIP submission that confirms 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 of PM-10 as a 

surrogate for PM-2.5 in the PSD and NNSR programs. 

 

! Guidance for Prong 4: The visibility requirement 

o States will not be required to address this requirement until the Regional Haze SIPs are 

submitted (by December 17, 2007). 

Correspondence and Guidance Documents 

The Charlotte-Gastonia-Rock Hill, NC-SC 8-Hour Ozone 

North Carolina Attainment Demonstration

 72 

 Appendix A 

June 15, 2007
Correspondence and Guidance Documents 

The Charlotte-Gastonia-Rock Hill, NC-SC 8-Hour Ozone 

North Carolina Attainment Demonstration

 73 

 Appendix A 

June 15, 2007
Correspondence and Guidance Documents 

The Charlotte-Gastonia-Rock Hill, NC-SC 8-Hour Ozone 

North Carolina Attainment Demonstration

 74 

 Appendix A 

June 15, 2007
Correspondence and Guidance Documents 

The Charlotte-Gastonia-Rock Hill, NC-SC 8-Hour Ozone 

North Carolina Attainment Demonstration

 75 

 Appendix A 

June 15, 2007
Correspondence and Guidance Documents 

The Charlotte-Gastonia-Rock Hill, NC-SC 8-Hour Ozone 

North Carolina Attainment Demonstration

 76 

 Appendix A 

June 15, 2007
Correspondence and Guidance Documents 

The Charlotte-Gastonia-Rock Hill, NC-SC 8-Hour Ozone 

North Carolina Attainment Demonstration

 77 

 Appendix A 

June 15, 2007
Correspondence and Guidance Documents 

The Charlotte-Gastonia-Rock Hill, NC-SC 8-Hour Ozone 

North Carolina Attainment Demonstration

 78 

 Appendix A 

June 15, 2007
Correspondence and Guidance Documents 

The Charlotte-Gastonia-Rock Hill, NC-SC 8-Hour Ozone 

North Carolina Attainment Demonstration

 79 

 Appendix A 

June 15, 2007
Correspondence and Guidance Documents 

The Charlotte-Gastonia-Rock Hill, NC-SC 8-Hour Ozone 

North Carolina Attainment Demonstration

 80 

 Appendix A 

June 15, 2007
Correspondence and Guidance Documents 

The Charlotte-Gastonia-Rock Hill, NC-SC 8-Hour Ozone 

North Carolina Attainment Demonstration

 81 

 Appendix A 

June 15, 2007
Correspondence and Guidance Documents 

The Charlotte-Gastonia-Rock Hill, NC-SC 8-Hour Ozone 

North Carolina Attainment Demonstration

 82 

 Appendix A 

June 15, 2007