Docket No. EPA-R09-OAR-2013-0534 Page 1

Docket Index

Approval and Promulgation of Implementation Plans; California; San Joaquin Valley; 

Contingency Measures for 1997 PM2.5 Standard

(Docket No. EPA-R09-OAR-2013-0534)

April 28, 2014

A. Proposed Rulemaking Documents

G-1. Approval and Promulgation of Implementation Plans; California; San Joaquin Valley; 

Contingency Measures for 1997 PM2.5 Standard; Proposed rule. 78 FR 53113 (August 28, 

2013)

G-2. Interim Final Determination to Defer Sanctions; California; San Joaquin Valley; Interim 

final rule. 78 FR 53038 (August 28, 2013)

G-3. Air Division, EPA Region 9, “Technical Support Document - Proposed Approval of Clean 

Air Act Section 172(c)(9) Contingency Measures - San Joaquin Valley State 

Implementation Plan for Attainment of the 1997 PM2.5 Standards,” August 15, 2013, 

including attachments

B. SIP Submittal and Supplemental Information

B-1. Letter Richard Corey, Executive Officer, California Air Resources Board, to Jared 

Blumenfeld, Regional Administrator, EPA Region 9, July 3, 2013 submitting the adopted 

San Joaquin Valley Unified Air Pollution Control District’s Quantification of 

Contingency Measure Reductions for the 2008 PM2.5 Plan with attachments including:

a. Letter dated June 21, 2013, Samir Sheikh, Director of Strategies and Incentives, San 

Joaquin Valley Unified Air Pollution Control District, to Richard Corey, Executive 

Officer, California Air Resources Board submitting: 

1. San Joaquin Valley Unified Air Pollution Control District, “Quantifying 

Contingencies for the 2008 PM2.5 Plan” (dated June 20, 2013)

2. San Joaquin Valley Unified Air Pollution Control District Governing Board 

Resolution 13-6-18: In the Matter of Authorizing Submittal of the “Quantification 

of Contingency Reductions for the 2008 PM2.5 Plan” to EPA, June 20, 2013

3. Memorandum dated June 20, 2013 from Seyed Sadredin, Executive 

Director/APCO, San Joaquin Valley Unified Air Pollution Control District to San 

Joaquin Valley Unified Air Pollution Control District Governing Board, dated June 

20, 2013, re: Item Number 11: Quantification of Contingency Reductions for the 

2008 PM2.5 Plan

b. State of California, Air Resources Board Resolution 13-30 (June 27, 2013)

c. California Air Resources Board, “Staff Report San Joaquin Valley PM2.5 Contingency 

Measures Update,” undated 

B-2. Supplemental Information
Docket No. EPA-R09-OAR-2013-0534 Page 2

a. Electronic mail dated July 24, 2013, from Samir Sheikh, San Joaquin Valley Unified 

Air Pollution Control District, to Kerry Drake, EPA Region 9, “RE: Per our 

conversation earlier.” 

b. San Joaquin Valley Unified Air Pollution Control District Rule 9610, “State 

Implementation Plan Credit for Emission Reductions Generated through Incentive 

Programs,” adopted June 20, 2013

c. San Joaquin Valley Unified Air Pollution Control District, Rule 9610 Final Staff Report 

(including appendices), dated June 20, 2013

d. San Joaquin Valley Unified Air Pollution Control District, “2013 Annual Demonstration 

Report,” dated June 2013 

e. San Joaquin Valley Unified Air Pollution Control District, “2013 Annual Demonstration 

Report,” electronic “Data Sheet” dated August 7, 2013

f. California Air Resources Board, “Carl Moyer Program: Guideline Criteria for On-Road 

and Off-Road Projects,” dated July 2013, transmitted via electronic mail dated July 2, 

2013 from Karen Magliano, CARB, to Andrew Steckel, EPA Region 9, “RE: Moyer 

Integrity Elements Write Up.”

g. “San Joaquin Valley Air Pollution Control District Proposed Rule 9610, Responses to 

U.S. EPA’s Request to Address ‘Integrity Elements’ in the Proposition 1B: Goods 

Movement Emission Reduction Program Guidelines,” draft revised June 6, 2013, 

transmitted to EPA via electronic mail dated June 10, 2013 from Elizabeth Yura, 

CARB, to Andrew Steckel, EPA Region 9, “RE: Draft Deliberative - Prop 1B 

Documentation.”

h. California Air Resources Board, “Proposition 1B: Goods Movement Emission 

Reduction Program, Final Guidelines for Implementation,” adopted February 28, 2008 

(selected excerpts) 

i. California Air Resources Board, Proposition 1B 2008 Benefits Calculator

j. “Proposition 1B: Goods Movement Emission Reduction Program, Directions: Benefits 

Calculators,” March 17, 2011

k. California Air Resources Board, “Proposition 1B: Goods Movement Emission 

Reduction Program, Final 2010 Guidelines for Implementation,” adopted March 25, 

2010 (selected excerpts)

l. California Air Resources Board, Proposition 1B 2010 Benefits Calculator 

m. California Air Resources Board, “The Carl Moyer Program Guidelines,” approved 

April 28, 2011 (selected excerpts). 

n. Letter dated January 2, 2013, from James Goldstene, Executive Officer, California Air 

Resources Board, to Seyed Sadredin, Air Pollution Control Officer, San Joaquin Valley 

Unified Air Pollution Control District, enclosing “Incentive Program Review Report, 

San Joaquin Valley Air Pollution Control District Fiscal Years 2006-07 through 2009-

10, attachment to e-mail dated March 11, 2013 from Samir Sheikh, San Joaquin Valley 

Unified Air Pollution Control District, to Andrew Steckel, EPA Region 9, subject: RE: 

incentive accountability
Docket No. EPA-R09-OAR-2013-0534 Page 3

o. Electronic mail dated June 7, 2013, from Frances Wicher, EPA Region 9 to Jessi 

Fierro, San Joaquin Valley Unified Air Pollution control District. Subject: Comments 

of the revised resolution and Quantification

p. Electronic mail dated August 13, 2013, from Jessi Fierro, San Joaquin Valley Unified 

Air Pollution Control District to Frances Wicher, EPA Region 9. Subject: FW: 

Quantification of Contingency Reductions for SJV 2008 PM2.5 Plan, forwarding 

electronic mail dated May 21, 2013, from pm_plans@lists.valleyair.org, subject 

Quantification of Contingency Reductions for SJV 2008 PM2.5 Plan

q. San Joaquin Valley Unified Air Pollution Control District Notice of Public Hearing on 

“Quantification of Contingency Reductions for the 2008 PM2.5 Plan,” Hearing date: 

June 20, 2013

C. EPA Rulemaking Notices, Guidance Documents, and Related Material

C-1. PM2.5 National Ambient Air Quality Standards and Area Designations

a. National Ambient Air Quality Standards for Particulate Matter, Final rule. 62 FR 

36852 (July 18, 1997)

b. Air Quality Designations and Classifications for the Fine Particles (PM2.5) National 

Ambient Air Quality Standards,” Final rule. 70 FR 944 (January 5, 2005)

c. Air Quality Designations for the 2006 24-Hour Fine Particle (PM2.5) National 

Ambient Air Quality Standards,” Final rule. 74 FR 58688 (November 13, 2009)

C-2. 2011 Action on the San Joaquin Valley PM2.5 SIP and Related Rule Actions

a. Approval and Promulgation of Implementation Plans; California; 2008 San Joaquin 

Valley PM2.5 Plan and 2007 State Strategy; Proposed rule. 76 FR 41338 (July 13, 2011)

b. Approval and Promulgation of Implementation Plans; California; 2008 San Joaquin 

Valley PM2.5 Plan and 2007 State Strategy; Final rule. 76 FR 69896 (November 9, 

2011)

c. Air Division, EPA-Region 9, Technical Support Document and Responses to 

Comments, Final Rule on the San Joaquin Valley 2008 PM2.5 State Implementation 

Plan, September 30, 2011

d. Revisions to the California State Implementation Plan, San Joaquin Valley Unified Air 

Pollution Control District and South Coast Air Quality Management District; Final 

rule. 74 FR 57907 (November 10, 2009)

e. Approval and Promulgation of Air Quality Implementation Plans; Reformulated 

Gasoline and Diesel Fuels; California; Final rule. 75 FR 26653 (May 12, 2010)

f. Revisions to the California State Implementation Plan, San Joaquin Valley Unified Air 

Pollution Control District; Final rule. 76 FR 16696 (March 25, 2011)

g. Revisions to the California State Implementation Plan, San Joaquin Valley Unified Air 

Pollution Control District; Proposed rule. Proposed approval. 76 FR 37044 (June 24, 

2011)
Docket No. EPA-R09-OAR-2013-0534 Page 4

C-3. EPA SIP Planning Guidance and Related Information

a. State Implementation Plans; General Preamble for the Implementation of Title I of the 

Clean Air Act Amendments of 1990, Proposed rule. 57 FR 13498 (April 16, 1992)

b. State Implementation Plans for Serious PM-10 Nonattainment Areas, and Attainment 

Date Waivers for PM-10 Nonattainment Areas Generally; Addendum to the General 

Preamble for the Implementation of Title I of the Clean Air Act Amendments of 1990,” 

Addendum to General Preamble for future proposed rulemakings. 59 FR 41998 

(August 16, 1994) 

c. Clean Air Fine Particle Implementation Rule, Final rule. 72 FR 20586 (April 25, 2007)

d. Approval and Promulgation of State Implementation Plan; Indiana; Direct final rule. 62

FR 15844 (April 3, 1997)

e. Approval and Promulgation of State Implementation Plan; Illinois; Final rule. 62 FR

66279 (December 18, 1997)

f. Approval and Promulgation of Air Quality Implementation Plans; Rhode Island; Post1996 Rate of Progress; Direct final rule. 66 FR 30811 (June 8, 2001)

g. Approval an Promulgation of Air Quality Implementation Plans; District of Columbia, 

Maryland, Virginia; Post 1996 Rate-of-Progress Plans, One-Hour Ozone Attainment 

Demonstrations and Attainment Date Extension for the Metropolitan Washington D.C. 

Ozone Nonattainment Area; Final rule. 66 FR 586 (January 3, 2001)

h. Approval and Promulgation of Air Quality Implementation Plans; Connecticut; OneHour Ozone Attainment Demonstration and Attainment Date Extension for the Greater 

Connecticut Ozone Nonattainment Area; Final rule. 66 FR 634 (January 3, 2001)

i. Official Release of EMFAC2011 Motor Vehicle Emission Factor Model for Use in the 

State of California; Notice of availability. 78 FR 14533, March 6, 2013

C-4. EPA Incentive Program and Voluntary Measure Program Guidance

a. Economic Incentive Program Rules; Final Rule and Guidance. 59 FR 16690 (April 7, 

1994) 

b. Memorandum dated October 24, 1997, from Richard D. Wilson, Acting Assistant 

Administrator for Air and Radiation, to EPA Regional Administrators, Regions 1-10, 

entitled “Guidance on Incorporating Voluntary Mobile Source Emission Reduction 

Programs in State Implementation Plans (SIPs)”

c. Environmental Protection Agency Office of Air and Radiation, “Improving Air Quality 

with Economic Incentive Programs,” EPA, Office of Air and Radiation, January 2001 

(EPA-452/R-01-001) 

d. Memorandum dated January 19, 2001, from John Seitz, Director, Office of Air Quality 

Planning and Standards, EPA to Air Division Directors, Regions 1-10, entitled 

“Incorporating Voluntary Stationary Source Emission Reduction Programs Into State 

Implementation Plans – Final Policy”
Docket No. EPA-R09-OAR-2013-0534 Page 5

e. Environmental Protection Agency Office of Air and Radiation, Incorporating 

Emerging and Voluntary Measures in a State Implementation Plan (SIP), September 

2004

f. Environmental Protection Agency Office of Air and Radiation, Guidance on 

Incorporating Bundled Measures in a State Implementation Plan, August 16, 2005

g. Environmental Protection Agency, Roadmap for Incorporating Energy 

Efficiency/Renewable Energy Policies and Programs into State and Tribal 

Implementation Plans, July 2012

C-5. Other EPA Documents

a. Memorandum dated August 13, 2013, from Scott Bohning, EPA Region 9 to File for 

docket EPA-R09-OAR-2013-0534, San Joaquin Valley action; Subject: Contingency 

precursor effectiveness ratio using additional information

b. Letter dated August 12, 2013, from Deborah Jordan, Air Division Director, EPA 

Region 9 to Richard Corey, Executive Officer, Air Resources Board

c. Memorandum dated July 22, 2013, from Idalia Perez, Rulemaking Office, EPA Region 

9 to File, concerning EPA Proposed Rule to Approve San Joaquin Valley Contingency 

Measure SIP Revision, Fine Particulate Matter (PM2.5) 

d. Revisions to the California State Implementation Plan, San Joaquin Valley Unified Air 

Pollution Control District; Final rule. 76 FR 26609 (May 9, 2011)

e. Revisions to the California State Implementation Plan, San Joaquin Valley Unified Air 

Pollution Control District; Final rule. 78 FR 6740 (January 31, 2013)

D. California and District Documents 

D-1. 2008 PM2.5 SIP

a. California Air Resources Board, Proposed State Strategy for California’s 2007 State 

Implementation Plan, adopted September 27, 2007 (excerpts)

b. San Joaquin Valley Air Pollution Control District, 2008 PM2.5 Plan, April 30, 2008

(excerpts)

c. California Air Resources Board, “Staff Report, Analysis of the San Joaquin Valley 

2008 PM2.5 Plan,” Release Date: May 7, 2008

d. California Air Resources Board, “Status Report on the State Strategy for California’s 

2007 State Implementation Plan (SIP) and Proposed Revision to the SIP Reflecting 

Implementation of the 2007 State Strategy,” dated March 24, 2009, adopted April 24, 

2009

e. California Air Resources Board, “Progress Report on Implementation of PM2.5 State 

Implementation Plans (SIP) for the South Coast and San Joaquin Valley Air Basins and 

Proposed SIP Revisions,” dated March 29, 2011 and adopted April 28, 2011

f. Letter dated May 18, 2011, from Lynn Terry, Deputy Executive Office, California Air 

Resources Board, to Elizabeth Adams, Deputy Director, Air Division, EPA–Region 9, 

with attachments.
Docket No. EPA-R09-OAR-2013-0534 Page 6

g. San Joaquin Valley Unified Air Pollution Control District Rule 4320 – Advanced 

Emission Reduction Options for Boilers, Steam Generators, and Process Heaters 

Greater than 5.0 MMBTU/Hr (October 16, 2008)

h. San Joaquin Valley Unified Air Pollution Control District Rule 4901 – Wood Burning 

Fireplace and Wood Burning Heaters (October 16, 2008)

i. San Joaquin Valley Unified Air Pollution Control District Rule 4354 – Glass Melting 

Furnaces (May 19, 2011)

j. 13 California Code of Regulations section 2281 (“Sulfur Content of Diesel Fuel”)

(operative August 4, 2005)

D-2. Incentive Programs

a. Agency “Strategic Growth Plan Bond Accountability, Goods Movement Emission 

Reduction Program,” approved February 27, 2008 

b. Proposition 1B Program: Goods Movement Emission Reduction Program, Final 2013 

Guidelines for Implementation,” adopted January 25, 2013

c. Proposed San Joaquin Valley Unified Air Pollution Control District Rule 9610 “State 

Implementation Plan Credit for Emission Reductions Generated through Incentive 

Programs” (May 21, 2013)

D-3. Other State and District Documents 

a. San Joaquin Valley Air Pollution Control District, 2012 PM2.5 Plan, December 20, 

2012, Appendix B

b. San Joaquin Valley Unified Air Pollution Control District, Final Staff Report, 

Amendments to Rule 4354 (Glass Melting Furnaces), June 20, 2011

E. Public Comments on the Proposed Rule

E-1. Electronic mail with attachment dated September 6, 2013, Arthur Unger to Frances 

Wicher, Subject: SIP for SJV

E-2. Electronic mail dated August 29 2013, Arthur Unger, to Frances Wicher, Subject: SJV 

PM2.5 EPA-R09-OAR-2013-0534

E-3. Letter dated September 27, 2013 from Paul Cort, Earthjustice, to Frances Wicher, EPA 

Region 9, Re: Comments on Proposed Approval of San Joaquin Valley Contingency 

Measures for the 1997 PM2.5 Standards, 78 FR 53113 (Aug. 28, 2013)

E-4. Letter dated September 27, 2013 from Samir Sheikh, Director of Strategies and Incentive, 

San Joaquin Valley Air Pollution Control District, to Frances Wicher, EPA Region 9. Re: 

Docket No. EPA-R09-2013-0534: Comments on Approval and Promulgation of 

Implementation Plans; California; San Joaquin Valley; Contingency Measures for the 1997 

PM2.5 Standards; Proposed Rule (78 FR 167, August 28, 2013)

F. Additional Documents Considered for Final Rule 
Docket No. EPA-R09-OAR-2013-0534 Page 7

F-1. H.R. Rep. No. 294, 95th Congr., 1st Sess. 301-2 (1977)

F-2. California Air Resources Board, Chapter 4, California Air Quality Control Strategies, 

Revision to State of California Implementation Plan for the Attainment and Maintenance 

of Ambient Air Quality Standards, April 25, 1979, excerpts.

F-3. California Plan Revision; SIP Chapter 4 - California Air Quality Control Strategies; Notice 

of proposed rulemaking. 44 FR 60758 (October 22, 1979).

F-4. California State Implementation Plan Revisions: Chapter 4 - California Air Quality Control 

Strategies; Final rulemaking. 45 FR 63843 (September 26, 1980).

F-5. Association of Bay Area Governments, Bay Area Air Quality Management District, and 

Metropolitan Transportation Commission, 1982 Bay Area Air Quality Plan (December 

1982), excerpts.

F-6. California State Implementation Plan Revisions, Notice of proposed rulemaking. 48 FR

5074 (February 3, 1983).

F-7. Subchapter C--Air Programs; California 1982 Ozone and CO Plan Revisions; Notice of 

final rulemaking. 48 FR 57130 (December 28, 1983).

F-8. Memorandum, J. Craig Potter, Assistant Administrator for Air and Radiation; Thomas L. 

Adams, Assistant Administrator for Enforcement and Compliance Monitoring; and Francis 

S. Blake, General Counsel, Office of General Counsel, U.S. Environmental Protection 

Agency, “Review of State Implementation Plans and Revisions for Enforceability and 

Legal Sufficiency.” September 23, 1987.

F-9. Waxman, H.A., Wetstone, G.S., and Barnett, P.S., “A Review of Major Provisions: Cars, 

Fuels, and Clean Air: A Review of Title II of the Clean Air Act Amendments of 1990,” 

Environmental Law, 21 Envtl. L. 1947 (Summer 1991). [Hardcopy only]

F-10. Memorandum, dated January 25, 1995, from Kathie A. Stein, Director Air Enforcement 

Division to Regional Air Directors; Subject: Guidance on Enforceability Requirements for 

Limiting Potential to Emit through SIP and Section 112 Rules and General Permits

F-11. Memorandum, dated September 20, 1999, from Steven A. Herman, Assistant 

Administrator for Enforcement and Compliance Assurance, to Regional Administrators, 

Regions I-X; subject: State Implementation Plans: Policy Regarding Excess Emissions 

During Malfunctions, Startup, and Shutdown

F-12. EPA, Region IX, Guidance Document for Correcting Common VOC & Other Rule 

Deficiencies (a.k.a., The Little Bluebook), revised August 21, 2001

F-13. Memorandum, dated August 5, 2004, from Brian McLean, Director, Office of Atmospheric 

Programs, EPA and Steve Page, Director, Office of Air Quality Planning and Standards, 

EPA to Regional Air Division Directors; Subject: Guidance on SIP Credits for Emission 

Reductions from Electric-Sector Energy Efficiency and Renewable Energy Measures, with 

attachment, Office of Air and Radiation, EPA, Guidance on State Implementation Plan 

(SIP) Credits for Emission Reductions from Electric-Sector Energy Efficiency and 

Renewable Energy Measures, dated August 2004

F-14. Committee on State Practices in Setting Mobile Source Emissions Standards, National 

Research Council of the National Academies, State and Federal Standards for Mobile 
Docket No. EPA-R09-OAR-2013-0534 Page 8

Source Emissions, ISBN: 0-309-65868-3 (2006), Chapter 3 and Appendix C [Hardcopy 

only]

F-15. San Joaquin Valley Air Pollution Control District, “Public Records Request Form” (9-17-

07), downloaded from http://www.valleyair.org/General_info/pubdocs/PRRForm09-17-

07.pdf on April 10, 2014

F-16. Official Release of EMFAC2007 Motor Vehicle Emissions Factor Model for Use in the 

State of California; Notice of Availability. 73 FR 3464 (January 18, 2008)

F-17. SJVAPCD, EPA, US Department of Agriculture NRCS, and CARB; Statement of 

Principles Regarding the Approach to State Implementation Plan Creditability of 

Agricultural Equipment Replacement Incentive Programs Implemented by the USDA 

Natural Resources Conservation Service and the San Joaquin Valley Air Pollution Control 

District,” December 2010

F-18. Letter, Paul Cort, Staff Attorney, and Sarah Jackson, Research Associate, Earthjustice, 

August 12, 2011, “Comments on EPA’s Partial Approval/Disapproval of the San Joaquin 

Valley’s State Implementation Plan for Fine Particulate Matter, Docket # EPA-R09-OAR2010-0516”

F-19. Approval of Air Quality Implementation Plans; California; San Joaquin Valley; 

Attainment Plan for the 1997 8-Hour Ozone Standard; Final rule. 77 FR 12652 (March 1, 

2012)

F-20. USDA and EPA, Implementation Principles for Addressing Agricultural Equipment under 

the Clean Air Act, July 26, 2012

F-21. Memorandum, dated February 4, 2013 to Docket for rulemaking, “State Implementation 

Plans: Response to Petition for Rulemaking; Findings of Substantial Inadequacy; and SIP 

Calls to Amend Provisions Applying to Excess Emissions During Periods of Startup, 

Shutdown, and Malfunction" (EPA-HQ-OAR-2012-0322); Subject: Statutory, Regulatory, 

and Policy Context for this Rulemaking

F-22. State Implementation Plans: Response to Petition for Rulemaking; Findings of Substantial 

Inadequacy; and SIP Calls To Amend Provisions Applying to Excess Emissions During 

Periods of Startup, Shutdown, and Malfunction; Proposed Rule.78 FR 12460, (February 

22, 2013)

F-23. Memorandum, dated December 17, 2013, from Jeanhee Hong, EPA Region 9, Office of 

Regional Counsel and Idalia Perez, EPA Region 9, Rules Office to File/Rulemaking 

Docket EPA-R09-OAR-2013-0534 (78 FR 53113, August 28, 2013), RE: Call with 

SJVUAPCD regarding District’s enforcement authorities

F-24. Identification of Nonattainment Classification and Deadlines for Submission of State 

Implementation Plan (SIP) Provisions for the 1997 Fine Particle (PM2.5) National Ambient 

Air Quality Standard (NAAQS) and 2006 PM2.5 NAAQS; Proposed rule. 78 FR 69806 

(November 21, 2013)

F-25. Electronic mail, dated December 18, 2013, from Jeannine Tackett, SJVUAPCD, to Idalia 

Perez, EPA Region 9, “RE: question needed for response to comments on contingency 

measure SIP
Docket No. EPA-R09-OAR-2013-0534 Page 9

F-26. San Joaquin Valley Unified Air Pollution Control District, “2013 Annual Demonstration 

Report - SIP-Creditability of Emission Reductions Generated through Incentive 

Programs,” January 30, 2014

F-27. Identification of Nonattainment Classification and Deadlines for Submission of State 

Implementation Plan (SIP) Provisions for the 1997 Fine Particle (PM2.5) National Ambient 

Air Quality Standard (NAAQS) and 2006 PM2.5 NAAQS; Final Rule. Pre-publication 

signature version (April 25, 2014)

G. Final Rule

G-1. Approval and Promulgation of Implementation Plans; California; San Joaquin Valley; 

Contingency Measures for 1997 PM2.5 Standard; Final Rule. Pre-publication signature 

version (April 30 , 2014)