Proposed SIP 

Requirements Rule for 

the 2008 Ozone NAAQS

Webinar for States

June 20, 2013
Overview

• Anticipated rulemaking timeline

• SIP Requirements Rule

– SIP requirements for areas that are nonattainment for 

2008 ozone NAAQS

– Anti-backsliding requirements for 1-hour and 1997 

ozone NAAQS nonattainment areas

• Discussion/Questions

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Anticipated Timeline

• Proposal signed by Administrator: May 29, 2013

– Posted to the EPA web page same day

• Published in the Federal Register June 6, 2013 

– (78 FR 34178)

• Public comment period began June 6, 2013

– Public hearing in Washington, DC on June 25, 2013

– 60-day public comment period ends August 5, 2013

• Anticipated final rule in early 2014

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SIP Requirements for Areas 

that are Nonattainment for 

the 2008 Ozone NAAQS

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Purposes of the Rulemaking

• To provide states with clear rules and guidance for 

meeting the 2008 ozone NAAQS in designated 

nonattainment areas.

• To translate ozone implementation requirements 

contained in the 1990 Clean Air Act Amendments 

(written specific for the 1-hour standard) into 

meaningful requirements for the 2008 8-hour ozone 

NAAQS.

• To revoke the 1997 8-hour ozone NAAQS and 

establish in order to provide additional flexibility to 

areas still working to complete the control 

requirements of that NAAQS.

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Preamble Outline of SIP Requirements 

Rule

A. Nonattainment area SIP deadlines

B. Modeling and attainment 

demonstration requirements

C. RFP requirements

D. RACM and RACT requirements

E. Vehicle I/M

F. Transportation conformity

G. General conformity

H. Contingency measures

I. NSR

J. Emission inventory and emission 

statement requirements

K. Ambient monitoring requirements

L. 1-year attainment deadline extensions

M. Transport of ground-level ozone for 

rural nonattainment areas, multi-state 

nonattainment areas, and international 

transport

N. Section 182(f) NOx provisions

O. Emissions benefits of energy 

efficiency/renewable energy programs, 

land use planning, and travel efficiency

P. Multi-pollutant approach to developing 

SIPs

Q. Tribes

R. Ozone Transport Regions (OTRs)

S. Additional requirements related to 

enforcement and compliance

T. Emergency episodes

U. Clean Data Policy

V. Assistance

W. Section 185 penalty fee provision for 

Severe and Extreme areas

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CAA Nonattainment Area SIP 

Submittal Deadlines

• Note: Infrastructure SIPs were due March 2011.The EPA already made 

findings of failure to submit, and started FIP clocks for states that did not 

submit a complete SIP.

• The CAA establishes maximum statutory deadlines for submitting various 

SIP elements.

– Emission inventories and emission statement SIPs are due from states with Marginal and higher areas 2 

years after the effective date of designation (July 20, 2014).

– RACT SIPs are due from Moderate and higher areas, and all states within the OTR, 2 years after the 

effective date of designation (July 20, 2014).

– 15% RFP SIPs are due 3 years after the effective date of designation (July 20, 2015).

– Attainment plan (RACM) and attainment demonstration SIPs due 3 or 4 years after designation (July 20, 

2015 for Moderate areas; July 20, 2016, for Serious and higher areas)

– RFP SIPs showing an average of 3% reductions in emissions per year after the initial 6-year period are due 

4 years after the effective date of designations from Serious and higher areas (July 20, 2016).

– 185 penalty fee program SIPs are due from Severe and Extreme areas within 10 years (July 20, 2022)

• If EPA determines that an area attains before SIPs are due, the planning 

SIP submittal requirements due at 3 years can be suspended (Clean Data 

Policy).

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Proposed SIP Due Dates

• We are proposing two options for deadlines for nonattainment area 

SIPs (RACT SIPs, attainment demonstration SIPs, and RFP SIPs):

– Option 1: timeframe provided by statute.

– Option 2 (preferred): states may choose to submit SIPs in timeframe provided 

by statute, or they may submit a combined submittal of emissions inventory, 

emission statement, RACT, RFP, attainment plan (RACM), and attainment 

demonstration SIPs at 30 months (November 20, 2014).

• Serious and above areas have 4 years to develop attainment 

demonstration and RFP SIPs.

• SIP Deadline for Severe/Extreme Areas Penalty Fee Programs (§185).

– Propose deadline of 10-years from effective date of designations (July 20, 

2022). 

– Similar to CAA requirement for 1-hour standard.

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Modeling Attainment Demonstrations

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• Serious and above areas (and multi-state Moderate areas) are 

required to use photochemical grid modeling to demonstrate 

attainment.

• Moderate areas are required to use photochemical modeling as well. However, 

an alternative approach can be used for Moderate areas if the Administrator 

determines that it is at least as effective.

• Model results are used to determine the amount of VOC and/or NOx 

emission reductions that are needed for the area to attain the 

NAAQS.

• EPA has specified approved models and has issued guidance.

http://www.epa.gov/scram001/guidance/guide/final-03-pm-rh-guidance.pdf.

• The rule directs the reader to the current modeling guidance.

• The guidance addresses how high electricity demand days (HEDDs) 

can be characterized.

• EPA does plan to update the guidance for the 2008 ozone NAAQS.
Reasonable Further Progress (RFP) 

Proposals

• Recommend areas use 2011 as a base year for RFP.

– Corresponds to PEI year

• Allow areas to choose base year for RFP calculations that pre-dates 2011.

– Allows areas that began early reductions in 2008 when standard was set to take credit 

for those reductions in RFP plans.

– In exchange for flexibility, areas need to provide additional 3% per year RFP for each 

year that is prior to 2011 (e.g., a 2008 baseline year would require 15% + 3x3% = 24% 

reduction for years 2009 through 2017).

• Credit for reductions only from within the same nonattainment area. 

– We are requesting specific comment on a legal basis for crediting reductions from 

outside the nonattainment area toward RFP.

• Eliminate “pre-1990 adjustments” calculation for RFP.

– Proposing that states no longer need to calculate and deduct emissions related to pre1990 motor vehicle, RVP, and vehicle I/M program corrections (per CAA section 

182(b)(1)(D)).

– Credit reductions are very small and the calculations are tedious.

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Options for 15% VOC Reduction for First 

6 Years (RFP)

• 15% reduction plan is required for Moderate and above areas and all areas 

of the OTR.

– CAA requires these reductions to be VOC-only, even though NOx reductions are 

now known in some cases to be more effective at reducing ozone.

– Additional VOC reductions could be difficult to achieve for some existing 

nonattainment areas.

• Proposing to allow all areas to substitute NOx for VOC in the 15% SIP, 

including any area that previously met 15% RFP 1-hr or 1997 NAAQS, and 

any area that can demonstrate achievement of 15% VOC reduction from 

1990 baseline.

– Alternatively, proposing to allow such substitution for OTR areas that can 

demonstrate achievement of a 15% VOC reduction from 1991-1996.

• Areas classified Serious and higher are required to achieve an average of 

3%/year reduction in emissions (can be VOC, NOx or a combination) 

starting 6 years after designation until the attainment date.

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Reasonably Available Control 

Technology (RACT)

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• Moderate and above areas are required to implement RACT for:

– VOC sources covered by a control techniques guideline (CTG) 

document;

– Other major stationary sources of VOC located in the area; and

– Major stationary sources of NOx in the area, unless the area has 

received a NOx waiver.

• Each state in a multi-state area has to address RACT. 

• Proposing that all RACT controls must be implemented by January 

1, 2017.

– This is 532⁄3 months (roughly equivalent to 541⁄2 months in the CAA) from the 

effective date of designations.

• RACT requirement for EGUs not presumed to be satisfied by 

CAIR/CSAPR, but states can provide a demonstration.

• Seeking comment on modifying existing guidance to provide 

additional flexibility for VOC RACT requirements by considering the 

air quality benefit of further VOC control.
Vehicle and Fuels Requirements

• Gasoline vapor recovery

– ORVR is now in sufficient use that the requirement for Stage II vapor recovery systems at 

fuel dispensing stations can be waived in non-OTR areas. Stage II previously applied to 

Serious and above areas. (77 FR 28772)

– EPA issued separate guidance on phasing out existing SIP-approved Stage II programs 

• Vehicle inspection and maintenance programs are required in all Moderate 

and above ozone nonattainment areas with a population over 200,000 (or 

over 100,000 for OTR).

– There are currently no new I/M areas.

• In this proposal, EPA solicits comment on aligning the I/M SIP deadline with 

the attainment SIP deadline.

• EPA also notes ability to approve alternative mobile source controls getting 

equivalent reductions in place of I/M.

• Lastly, EPA identifies implementation flexibilities for I/M programs made 

possible by predominance of onboard diagnostics (OBD) in current fleet.

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New Source Review (NSR)

• All nonattainment area SIPs must include provisions to require permits 

for the construction and operation of new or modified major stationary 

sources.

• SIPs for attainment areas in the Ozone Transport Region (OTR) must 

also meet nonattainment area NSR requirements.

• For new nonattainment areas, SIPs containing NSR rules must be 

submitted by 3 years after the effective date of designation.

• Affected sources must install technology that meets the lowest 

achievable emission rate (LAER), secure emission reductions to offset 

any increases in VOC or NOx emissions, and perform other analyses.

• The amount of offsets needed depends on the area’s classification:

– Marginal 1.1:1, Moderate 1.15:1, Serious 1.2:1, Severe 1.3:1, Extreme 1.5:1

– OTR same as Moderate areas unless they have a higher classification

• Preamble explains CAA provisions for Economic Development Zones 

(EDZs) to create targeted emissions growth offset pools.

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Contingency Measures

• Attainment and RFP Plans are required to have 

contingency measures that would go “automatically” 

into effect if the area fails to make reasonable 

further progress, or to attain by the applicable 

attainment date. Soliciting comment on flexibility for 

certain Extreme areas: 

– Would allow EPA to approve a contingency plan 

containing a commitment to adopt measures (rather than 

one containing specific measures) in cases where the 

182(e)(5) “black box” is part of the attainment 

demonstration.

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Ozone Transport

• Rural Transport NAAs

– Areas that meet the criteria only need to meet Marginal area 

requirements.

• No Moderate or higher areas currently meet the rural transport criteria

– Nonattainment boundary may not include or be adjacent to a 

census-defined MSA.

– Emissions from the area cannot significantly contribute to ozone 

in that area or another area.

– Soliciting comment on applying US Census Bureau’s “2000 

Standards for Defining Metropolitan and Micropolitan Statistical 

Areas” to the CAA’s MSA provision.

• International Transport

– States can elect to address through §179B of the CAA

• SIP must meet all other requirements of the CAA

• SIP demonstrates area would attain “but for” emissions from outside the 

U.S.

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NOx Requirements (§182(f))

• All mandatory control requirements for major 

stationary sources of VOC also apply to major 

sources of NOx.

• We are proposing that an exemption/NOx

Waiver granted for 1-hour or 1997 8-hour 

standards does not automatically apply for the 

2008 NAAQS.

– SIPs requesting a waiver must contain an adequate 

demonstration that reducing NOx would not contribute 

to attainment of the NAAQS.

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Tribal Obligations

• Tribal Authority Rule gives tribes the option of 

developing a Tribal Implementation Plan (TIP)

– EPA has the ultimate responsibility to implement CAA 

programs in Indian Country as necessary/appropriate.

• We encourage states and tribes to coordinate 

planning

– States are obligated to notify tribes in advance of 

public hearings.

– Recommend sharing modeling results.

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Anti-Backsliding Requirements 

for 1-hour and 1997 Ozone 

NAAQS Nonattainment Areas
Anti-backsliding

• Proposing revocation of the 1997 ozone NAAQS on the date the 

final SIP Requirements Rule is published in the Federal Register.

• Areas still designated nonattainment for the 1997 or 1-hour NAAQS 

on that date will be subject to anti-backsliding requirements.

• Proposed anti-backsliding requirements reflect D.C. Circuit 

decisions on anti-backsliding and would codify approaches we use 

now in implementing 1-hour NAAQS anti-backsliding.

– Section 185 fee programs, contingency measures for failure to make 

RFP or attain, and nonattainment NSR are “applicable requirements” 

that, in accordance with court decisions, continue to apply after 1997 

ozone NAAQS is revoked.

– Two valid paths to fulfilling anti-backsliding requirements (more detail on 

next slide).

• For 2008 NAAQS nonattainment areas with unmet SIP obligations 

for the 1997 NAAQS, we encourage states to develop 2008 NAAQS 

SIPs that achieve goals of both 1997 and 2008 ozone NAAQS.

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Anti-backsliding summary

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Designation for 

2008 NAAQS

Designation for 

previous NAAQS (at 

time of revocation) 

Proposed NSR/PSD 

obligations

Other proposed transition obligations

1. Attainment Attainment/ 

Maintenance

PSD remains in effect - Area remains subject to existing section 175A maintenance plan 

for the previous ozone NAAQS and requirements already in the 

SIP, subject to revision consistent with sections 110(l) and 193

- Section 175A maintenance plan satisfies maintenance 

requirement under section 110(a)(1). 

2. Attainment Nonattainment for 

1997 ozone NAAQS 

only; or 

nonattainment for 

1997 and 1-hour 

NAAQS

Nonattainment NSR 

in effect until 

revocation of the 

1997 ozone NAAQS; 

then PSD applies

- Area remains subject to measures to meet nonattainment 

requirements already in its adopted SIP. Removable only with a 

section 110(l) demonstration and a section 193 demonstration if 

applicable.

- Two alternatives to address section 110(a)(1) maintenance 

provision:

a) Area’s approved PSD SIP satisfies section 110(a)(1) 

maintenance provision, or

b) additional maintenance showing under section 110(a)(1)

3. Nonattainment Attainment/ 

Maintenance

Nonattainment NSR 

applies based on 2008 

ozone NAAQS 

classification

- Area remains subject to existing section 175A maintenance plan 

for the previous NAAQS and requirements already in the SIP, 

subject to revision consistent with sections 110(l) and 193

4. Nonattainment Nonattainment for 

1997 ozone NAAQS 

only; or 

nonattainment for 

1997 and 1-hour 

ozone NAAQS

Nonattainment NSR 

applies based on 

highest applicable 

classification

- Area subject to all applicable anti-backsliding requirements for 1-

hr and/or 1997 NAAQS

- Anti-backsliding obligations lifted when

the area either is redesignated to attainment for the 2008 ozone 

NAAQS, or the EPA approves a redesignation substitute for the 

revoked 1-hour or 1997 NAAQS

- EPA solicits comment on additional options for lifting antibacksliding obligations.
QUESTIONS?

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APPENDICES

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Area Designations for 2008 Ozone NAAQS

(Effective July 20, 2012)

St. Louis

Sheboygan

Chicago

Dallas

Upper Green 

River Basin

Uintah Basin

Denver

Houston

Memphis

Baton Rouge

Atlanta

Cincinnati

Knoxville Charlotte

Columbus

Cleveland

Jamestown

Pittsburgh

Washington 

DC/VA

Baltimore

Seaford DE

New York

Philadelphia

Greater 

Connecticut

Allentown Dukes MA

Lancaster

Reading

Phoenix San Diego

Calaveras Co

San Luis Obispo

Tuscan Buttes

Ventura Co

Morongo Tribe

Pechanga Tribe

Chico

Mariposa Co

San Francisco

Sacramento

San Joaquin 

Valley

Riverside Co

Nevada Co

LA-South Coast

West Mojave

E. Kern Co

Imperial Co

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25

Morongo Tribe

Pechanga Tribe

X

NONATTAINMENT AREAS FOR 2008 OZONE NAAQS BY CLASSIFICATION

(EFFECTIVE JULY 20, 2012)