UNITED STATES ENVIRONMENTAL PROTECTION AGENCY RESEARCH TRIANGLE PARK, NC 277 11


### OCT 2 2007

MEMORANDUM OF FICE OF AIR QUALITY PLANNING

AND STANDARDS



### SUBJECT: Guidance on SIP Elements Required Under Sections llO(a)(l ) and (2) for the 1997 8-hour Ozone and PM2.s National Ambient Air Quality Standards 

### FROM: 

# ri, William T

. Harnett, Direct

- ;/ (} 

# j

# ~ lJAir Quality Policy

# Divi**i;~f(t** TO: Air Division Directors, Regions I-X

The purpose ofthis memorandum is to provide guidance on the "infrastructure" elements for State Implementation Plans (SIPs) required under section l10(a)(1) and (2) ofthe Clean Air Act (CAA) for the 1997 8-hour ozone and fine particulate matter (PM2
.5) 

### national ambient air quality standards (NAAQS). Attaclunent A to this memo provides a list ofthe basic elements that States must include in their SIPs. To the extent that exist ing SIPs for ozone and particulate matter already meet these requirements, States need only certify tha t fact to the Environmental Protection Agency (EPA). To the extent that existing SIPs for ozone and particulate matter fail to address any ofthese requirements for purposes ofthe 1997 8-hour ozone or PM2.s NAAQS, States need to make timely SIP submissions to EPA to address these requirements. We anticipate that States will already have approved SIPs in place for ozone that meet the basic requirements ofsections 11 O(a)(l) and (2). For PM25 , however, we anticipate that many States may need to make SIP revisions to ensure that their existing SIPs for prior particulate matter NAAQS are revised to include the new particle size indica tor. Background 

### On July 18, 1997, the EPA promulgated new and revised NAAQS f or ozone and particulate matter. For ozone, EPA revised the NAAQS to provide an 8-hour averaging period (versus a 1-hour averaging period for the pre-existing NAAQS), and set the level ofthe standard at 0.08 ppm (versus 0

. 12 ppm for the pre-existing NAAQS). For PM, EPA promulgated a new 24-hour and a new

Internet Address (URL) • http://www.epa.gov Recycl&d/Recyclable • Printed**w~h** Vegetable OU Based I nks on Recycled Paper (Minimum 25% Postconsumer)annual NAAQS for PM 2 . 5 (particles with an aerodynamic diameter less than or equal to a nominal 2.5 micrometers). 1 Under sections IIO(a)(l) and (2) ofthe CAA, all States are required to submit plans t o provide for the implementation , maintenance, and enforcement of the 8-hour ozone and PM 2 . 5 standards. Sections 11 O(a)( 1) and (2) require States

to address basic SIP requirements, including emissions inventories, monit ori ng , and modeling to assure attainment and maintenance of the standards. By statute, SIPs meeting the r equirements of sections llO(a)(l) and (2) are to be submitted

by States within 3 years after p r omulgation of a new or revised standard. This being the case, States were required to submit such SIPs for the 1997 standards to EPA no later t h an July 2000. H oweve r, in t ervening litigation over the 1997 8-hour ozone and PM 2 .s NAAQS, c r eated uncertainty about how to proceed and, to date, States have not submitted S IP s to meet the basic or infrastructure requirements enumerated in sections 11 O(a)(l) and (2). In March of2004, Earth Justice initiated a lawsuit against EPA for failure to take action against States that had not made SIP submissions to meet the requirements of sections 11 O(a)(l) and (2), i.e., failure to make a "finding of failure to submit." On March 10,2005, EPA entered into a Consent Decree with

Earth Jus ti ce that obligates EPA to make official findings whether Stales have made required SIP submissions by dates certain. The Consent Decree obligates EPA to determine whether States have made SIP submissions required to meet CAA section 11 O(a)(2)(D)(i) rela t ing to inte r state transport by no later than March 15 ,2005. The Consent Decree also obligates EPA to make a determination whether States have made submissions necessary to meet the remaining llO(a)(l) and (2) requirements by December 15,2007, for the 8-hour ozone NAAQS, and by October 5, 2008, for the

**PM**
**.~** NAAQS? It should be noted that the latter determ i nat i ons pertain o n ly to whether the submissions are complete, pursuant to section llO(k)(l)(A), and do no t constitute EPA approval or disapprova l of such submissions. In addition, the determinations required by the Conse nt Decree explicit l y exch_1de any determinations regarding: (i) 1 More recently, on December 18, 2006, EPA again revised the standards for particulate matter , tightening the 24-hour PMu standard from 65 micrograms per cubic meter (!lg/m 3 ) to 35 J.ig/m, 3 and reta ining the current annual fine particle standard at 15!lg/m 3 . EPA also decided to retain the exis ting 24-hour PM 10 standard of 150 J.ig/m 3 and to revoke the annual PM 10 . This guidance document applies only to the SIP submission requ i rement s for the 1997 8-hour Ozone and PM 2 . s NAAQS. EPA will address SIP requirements for the 2006 NAAQS separately, although the

Agency notes that th e s tatutory requirements for SIPs for new or revised NAAQS are comparable. 2 The dates specified in the Consent Decree reflect the anticipated dates for submission of nonattainment area SIPs for each NAAQS, plus six months for E PA evaluation. EPA presumed that States would make SIP submissions meeting the basic requirements of sections II O(a)( I) and (2) fo r each NAAQS conte mporaneo usly with, or not late r than , SIPs meeting the nonattainment area plan requirements. EPA notes that recent decisions by the U.S. Court of Appeals for the District of Col umbia concerning the implementation rule for the 8-hour Ozone NAAQS have affected certain nonattainment area SIP requirements. These judicial decisions do n ot, however, af f ect States ' obligations under the CAA or EPA's obligations under the Consent Decree concerning the infrastructure SIP requirements of sections II O(a)( I) and (2). 2submissions required by section 1 1 O(a)(2)(C) to the extent that subsection pertains to a nonattairunent area new source permit program in 

### part D Title I ofthe CAA; and (ii) submissions required by section 

### 11O(a)(2)(I) for 

### Part D Title 

### I nonattainment area plans.
In accordance with the Consent Decree, EPA has already published a finding that all States had failed to submit new SIPs addressing interstate transport for the 8

-hour ozone and PM2
.5 NAAQS, as required by section 

### llO(a)(2)(D)(i) of the CAA (70 FR 21 147, April25, 2005). That finding initiated a 2-year deadline for the promulgation of a Federal Implementation Plan (FIP) by EPA for each such State unless, prior to that time, each State makes a submission to meet the requirements ofSection 11O(a)(2)(D)(i) and EPA approves such submission. On May 12, 2005, EPA published the Clean Air Interstate Rule (CAIR) which identifies the degree to which emissions ofS02 and NOx in certain States significantly contribute to nonattairunent of, or interfere with maintenance of, the 

### 1997 8

-hour ozone and PM2
.5 NAAQS in downwind States, and the reductions that must be achieved in those States to eliminate such contributions.
On August 15, 2006, EPA issued guidance entitled "Guidance for State Implementation Plan (SIP) Submissions to Meet Current Outstanding Obligations Under Section 11 O(a)(2)(D)(i) for the 8-hour Ozone and 

### PM2s National Ambient Air Quality Standards." The section 11 O(a)(2)(D)(i) guidance indicates that States within t he CAIR region can satisfy 11O(a)(2)(D) by satisfying the requirements ofthe CAIR, and addresses what other States that are outside ofthe CAIR region should consider doing to meet the "significant contribution" and "interfere with maintenance" requirements ofsection 

### IIO(a)(2)(D)(i) for the 

### 1997 standards

. The section 11O(a)(2)(D)(i) guidance also addresses what all States (whether inside or outside ofthe CAIR region) should consider in making SIP submissions to meet 

### the "prevention 

### ofsignificant deterioration" and "protect visibility" requirements ofsection 

### IIO(a)(2)(D)(i). The SIP submissions addressed by the**s~ction** 11 O(a)(2)(D)(i) guidance are·those that are necessary to rectify the finding offailure to submit that EPA has already issued for all States for section 11O(a)(2)(D) (i).
The guidance contained in this memorandum is intended as a reminder that States must have SIPs for the 

### 1997 8-hour ozone and PM2.5 NAAQS that meet 

### all ofthe requirements ofsections 110(a)(1) and (2). Pursuant to the Consent Decree, EPA has an obligation to take action to determine whether States have made such submissions by the dates noted above. Because States should currently be in the process ofsubmitting nonattairunent SIPs for the 8-hour ozone standard and working on nonattairunent area SIPs for the PM2.5 standard, we want to alert them to be sure that their SIPs also meet the basic requirements of sections 

### IIO(a)(l) and (2)

.

3Guida n ce The E PA believes tha t the currently-approved section 110 SIPs for ozone may already be adequate in most cases to implement the 8-hour ozone NAAQS. Many of the required section 11 O(a)( 1) and (2) SIP elements relate to the general information and authorities that constitute the "inf r astructure" of the ozone air quality management prog r am, and t h ese have been in place since the initial SIPs

were s ubmitted in response to the 1970 Clean Air Act. For particulate matter, however, E PA believes that some States may need to adopt language specific to the PM 2 .s NAAQS to ensure that they have adequate SIP provisions to implement the P M2 .s NAAQS, e.g., e xist in g S t a te laws may refer to PM 1 o specifical l y or to particu late matter more generally, rather than to PM 2 . 5 . We believe that with one exception, the infrastructure requirements of sections 11 O(a)(l) and (2) are

relatively self explanatory, and past experience with SIPs for other NAAQS should enable States to meet these requ ir ements with assistance from EPA Regions. The one exception is section 110(a) (2)(G) relating to emergency episodes, for which E PA intends to take additiona l regulatory action to provide necessary n umeri cal limits and concentratio n l evels for emergency episode action plans for PM2 s . States should review and revise, as approp r iate, their ex i sting ozo n e and part iculate. matter SIPs to ensure that t hey are adequate to address the 8 -h our ozone and PM2.s NAAQS. If a State determines that its existing SIP is adeq uate ,

then the State needs to certify, via a lett er to the Agency from the Governor or his/he r designee, that the ex i sti n g S I Ps contain provisions t h at address the requirements for th e 8-hour ozone and PM 2 . 5 NAAQS. I f a State determines that its existing o z one or particu l a t e matter SIPs are inadequate , however, then the State needs to submit a SIP revision to make the appropriate changes . With respect to PM2s, States may find it more advantageous to revise the language in their SIPs to iden t i fy "part i c ulat e matter" as the pollutant being i m p l ement ed and define the size fractions as "th os e that E P A has currently set for the NAAQS" to the exte nt such an app r oach would be authorized by State law. This will ensure that the provisions r emain adequate in the event that future changes occur to the particulate matter standards. States could also specify both PM , o and PM2 . 5 as the siz e fractions if a Stat e prefers to b e more s p ecific. As an aid to the States in addressing the PM 2 . 5 related requirements of Section 11 O(a)(2)(G) pertaining to emergency episode provisions, EPA intends to take action to revi se 40 CFR, Part 51, subpart H (sec tions 51.150). The rule changes will establi s h the priority classifications which de te rmine the emergency episode plan requirements for each area and establ i sh a significant harm level

(SHL) for PM2 . S· Until these changes are final , EPA recommends that States rely on relevant information contained in upcoming EPA rule proposals or other E P A issued int e rim g uid ance to satisfy the section 11 O(a)(2)(G) requirements for PM 2.s · Afte r EPA issues final rules, EPA w ill work with States to revise SIP 4submissions that were based on interim information, as appropr iate. States may wish to take advantage ofthe parallel processing mechanism for making their section 11 O(a)(2)(G) submittal in the interim while EPA completes rulemakings on the SHL and the emergency episode plan requirements under 40 CFR 51.150. The SHL for the 8

-hour ozone NAAQS will remain unchanged as 0.60 ppm ozone, 2-hr average, as indicated in 40 CFR Part 51.151. EPA believes that the existing ozone-related provisions of40 CFR Subpart H remain appropriate. Therefore, EPA expects that for purposes ofthe 1997 8-hour ozone NAAQS, States need only to confirm that they have existing emergency episode plan provisions consistent with EPA's existing regulatory requirements. By statute, States are required to make SIP submissions to meet the basic requirements ofCAA sections llO(a)(l) and (2) within 3 years after promulgation ofany new orrevised standards. For the 1997 8-hour ozone and 

### PM 2

### .s standards, this deadline was July 2000. By Consent Decr ee, as noted above, EPA has agreed to make a determination whether or not States have submitted SIPs to meet these requirements by a date certain. In the case of8-hour ozone SIPs, this date is December 15, 2007. ForPM 2.s SIPs, this date is October 15, 2008. In order for EPA to evaluate the submissions adequately, EPA requests that Sta tes make their certificat ions ofSIP adequacy or SIP revisions as soon as possible and to the extent feasible sufficiently in advance ofthese dates to allow EPA time to determine whether complete submissions have been made. Ifyou have any questions concerning this guidance, please contact 

### Mr. David Sanders at (919) 541-3356. Please ensure that the appropriate air agency officials for States in your Region are made aware ofthis guidance. Attaclunents

cc: Margo Oge, OT AQ Steve Page, OAQPS Brian McLean, OAP Richard Wayland, OAQPS Lydia Wegman, OAQPS Peter Tsirigotis, OAQPS



### 5Attachment A: Required Sect i o n 110 SIP E l e m ents The SIP elements listed below are required under section 11 0( a)( I) and (2). Section II O(a)(l) provides the procedural and timing requirements for SIPs. Section 11 O(a)(2) lists the basic or "infrastructure" elements that all SIPs must contain. We note that this list i s not intended to constitute an interpretation of these provisions, or a change of past practice with respect to these provisions, merely a brief description of the re qu ired SIP elements. E m issio n limit s and o ther co n t rol m eas u res: Section 110(a)(2)(A) requires SIPs to include enforcea ble emission limits and other control measures, means or techniques, sc h edules for compliance and other re lated matters. EP /\. notes that the specific nonattainment area plan requirements of section 11 O(a)(2)(I) are subject to the timing requirement of section 172 , not the timing requirement of section 11 O(a)(l ), and also that SIPs t o meet this section are no t covered by the Consent Decree.

Ambie n t air quality monitoring / data system: Section 11 O(a)(2)(B) requires SIPs to include provisions to provide for establislunent and operation of ambient

air quality monitors, conecting and analyzing ambient air quality data, and making these data available to EPA upon request. P ro g r am for e nf orce m e nt of con trol m eas ure s: Section 11 O(a)(2)(C) requires States to include a program providing for e nf orcement of all SIP measures and the regulation of construct i o n of new or modified stationary sources to meet prevention of significant deterioration (PSD) and nonattainment NSR requiremen ts. Interstate tra n sport : Section 11 O(a)(2)(D) r equires SIPs to include provisions prohibiting any source or other type of emissions activity in one S t ate from contributing significantly to nonattainment , or interfering with maintenance, of the NAAQs in another State, or f rom in t erfe rin g with measures r equired to prevent significant deterioration of air quality or to protect visibility in another S t ate . EPA has already issued CAIR to assist S t ates in developing SIPs to meet this requirement fo r p u rposes of the 8-hour Ozone and P M 2 . 5 • AAQS ; and has issued separate guidance to all States on how to comply with each prong of this statutory provision. Adeq uat e resources: Section 11 O(a)(2)(E) requires States to provide for

adequate personnel, funding, and legal authority under State law to carry out its SIP, and related issues. Stationary source monito rin g sys tem: Section I I O(a)(2)(F) requires States to establish a system to monitor emissions from stationary sources and to submitperiodic emissions reports. Emergency power: Section 11 O(a)(2)(G) requires States t o provide for authority to address activities causing imminent and substantial endangerment to public health, including contingency plans to implement the emergency episode provisions in thei r SIPs.
Future SIP revisions: Section 11 O(a)(2)(H) requir es States to have the authority to revise their SIPs in response to changes in the NAAQS, availability of improved methods for attaining the NAAQS, or in respoJ1se to an EPA finding that the SIP is substant ially inadequa t e. Consultation with government officials: Sect ion 1 1 O(a)(2)(J) requires States to provide a process for consultation with local governments and Federal Land Managers carrying outNAAQS implementation requirements pursuant to section 121 relating to consultation. Public notification: Section 11 O(a)(2)(J) further requires States to notify the public ifNAAQS arc exceeded in an area and to enhance public awareness of measures that can be ta ken to prevent exceedances

. PSD and visibility protection: Section 1 1 O(a)(2)(J) also r equires States to meet applicable requirements ofpart C related to prevention ofsignificant deterioration and visibility protection. Air quality modeling /data: Section 1 1 O(a)(2)(K) requires that SIPs provide for performing air quality modeling for predicting effects on air quality ofemissions from any NAAQS pollutant and submission ofsuch data to EPA upon request. Permitting f ees : Section 11 O(a)(2)(L) requires SIPs to require each major stationary source to pay permitting fees to cover the cost ofreviewing, approving, implementing and enforcing a permit. C onsultation /participation by affected local entities: Section 11 O(a)(2)(M) requires States to provide for consultation and participa t ion in SIP development by local political subdivisions affected by the SIP.

2