The Regional Administrator of EPA Region 9, Jared Blumenfeld, signed this proposed rule on 12/18/14, and EPA is submitting it for publication

in the Federal Register (FR). While we have taken steps to ensure the accuracy of this Internet version of the rule, it is not the official version of

the rule. Please refer to the official version in a forthcoming FR publication, which will appear on the Government Printing Office's FDsys

website (http://fdsys.gpo.gov/fdsys/search/home.action) and on Regulations.gov (http://www.regulations.gov) in Docket No. EPA‐R09‐OAR‐

2014‐0813. Once the official version of this document is published in the FR, this version will be removed from the Internet and replaced with a

link to the official version.

6560-50-P 

ENVIRONMENTAL PROTECTION AGENCY 

40 CFR Part 81 

[EPA-R09-OAR-2014-0813; FRL- ] 

Designation of Areas for Air Quality Planning Purposes; 

California; San Joaquin Valley; Reclassification as Serious 

Nonattainment for the 1997 PM2.5 Standards 

AGENCY: Environmental Protection Agency (EPA). 

ACTION: Proposed rule. 

SUMMARY: The Environmental Protection Agency (EPA) is proposing 

to reclassify the San Joaquin Valley (SJV) Moderate 

nonattainment area, including areas of Indian country within it, 

as a Serious nonattainment area for the 1997 PM2.5 national 

ambient air quality standards (NAAQS) based on EPA’s 

determination that the area cannot practicably attain these 

NAAQS by the applicable attainment date of April 5, 2015. Upon 

final reclassification as a Serious area, California will be 

required to submit a Serious area plan including a demonstration 

that the plan provides for attainment of the 1997 annual and 24-

hour PM2.5 standards in the SJV area by the applicable attainment 

date, which is no later than December 31, 2015, or by the most 

expeditious alternative date practicable, in accordance with the 

requirements of part D of title I of the Clean Air Act. 
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taken steps to ensure the accuracy of this version, but it is not the official version.

2

DATES: Comments must arrive by [insert date 30 days after 

publication in the Federal Register]. 

ADDRESSES: Submit comments, identified by docket number EPA-R09-

OAR-2014-0813, by one of the following methods: 

 Federal e-Rulemaking Portal: www.regulations.gov. Follow 

the on-line instructions. 

 E-mail: lee.anita@epa.gov

 Mail or delivery: Anita Lee; Air Planning Office (AIR-2); 

U.S. Environmental Protection Agency, Region 9; 75 

Hawthorne Street; San Francisco, California 94105. 

Instructions: All comments will be included in the public docket 

without change and may be made available online at 

www.regulations.gov, including any personal information 

provided, unless the comment includes Confidential Business 

Information (CBI) or other information whose disclosure is 

restricted by statute. Information that you consider CBI or 

otherwise protected should be clearly identified as such and 

should not be submitted through www.regulations.gov or e-mail. 

The www.regulations.gov website is an “anonymous access” system, 

and EPA will not know your identity or contact information 

unless you provide it in the body of your comment. If you send 

e-mail directly to EPA, your e-mail address will be 

automatically captured and included as part of the public 

comment. If EPA cannot read your comments due to technical 
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3

difficulties and cannot contact you for clarification, EPA may 

not be able to consider your comment. 

Docket: The index to the docket (docket number EPA-R09-OAR-2014-

0813) for this proposed rule is available electronically on the 

www.regulations.gov website and in hard copy at EPA Region 9, 75 

Hawthorne Street, San Francisco, California, 94105. While all 

documents in the docket are listed in the index, some 

information may be publicly available only at the hard copy 

location (e.g., copyrighted material), and some may not be 

publicly available at either location (e.g., CBI). To inspect 

the hard copy materials, please schedule an appointment during 

normal business hours with the contact listed in the FOR FURTHER 

INFORMATION CONTACT section below. 

FOR FURTHER INFORMATION CONTACT: Anita Lee, Air Planning Office 

(AIR-2), U.S. Environmental Protection Agency, Region 9, (415) 

972-3958, lee.anita@epa.gov 

SUPPLEMENTARY INFORMATION: Throughout this document, “we,” “us” 

and “our” refer to EPA. 

Table of Contents

I. Background for Proposed Action 

II. Evaluation of Ambient PM2.5 Air Quality Monitoring Data 

III. Reclassification as Serious Nonattainment and Applicable 

Attainment Dates 

IV. Reclassification of Areas of Indian Country 
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V. PM2.5 Serious Area SIP Requirements 

VI. Summary of Proposed Action and Request for Public Comment 

VII. Statutory and Executive Order Reviews 

I. Background for Proposed Action 

 On July 18, 1997, EPA established new national ambient air 

quality standards (NAAQS) for PM2.5, particulate matter with a 

diameter of 2.5 microns or less, including an annual standard of 

15.0 micrograms per cubic meter (μg/m3) based on a 3-year average 

of annual mean PM2.5 concentrations, and a 24-hour (daily) 

standard of 65 μg/m3 based on a 3-year average of 98th percentile 

24-hour PM2.5 concentrations.1 EPA established these standards 

after considering substantial evidence from numerous health 

studies demonstrating that serious health effects are associated 

with exposures to PM2.5 concentrations above the levels of these 

standards. 

1 See 62 FR 36852 (July 18, 1997) and 40 CFR 50.7. Effective 

December 18, 2006, EPA strengthened the 24-hour PM2.5 NAAQS by 

lowering the level to 35 μg/m3. See 71 FR 61144 (October 17, 

2006) and 40 CFR 50.13. Effective March 18, 2013, EPA 

strengthened the annual PM2.5 NAAQS by lowering the level to 12 

μg/m3. See 78 FR 3086 (January 15, 2013) and 40 CFR 50.18. In 

this preamble, all references to the PM2.5 NAAQS, unless 

otherwise specified, are to the 1997 24-hour PM2.5 standard of 65 

μg/m3 and annual standard of 15.0 μg/m3 as codified in 40 CFR 

50.7. 
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Epidemiological studies have shown statistically 

significant correlations between elevated PM2.5 levels and 

premature mortality. Other important health effects associated 

with PM2.5 exposure include aggravation of respiratory and 

cardiovascular disease (as indicated by increased hospital 

admissions, emergency room visits, absences from school or work, 

and restricted activity days), changes in lung function and 

increased respiratory symptoms, as well as new evidence for more 

subtle indicators of cardiovascular health. Individuals 

particularly sensitive to PM2.5 exposure include older adults, 

people with heart and lung disease, and children.2

PM2.5 can be emitted directly into the atmosphere as a solid 

or liquid particle (primary PM2.5 or direct PM2.5) or can be 

formed in the atmosphere as a result of various chemical 

reactions from precursor emissions of nitrogen oxides, sulfur 

oxides, volatile organic compounds, and ammonia (secondary 

PM2.5).3

Following promulgation of a new or revised NAAQS, EPA is 

required by Clean Air Act (CAA) section 107(d) to designate 

areas throughout the nation as attaining or not attaining the 

NAAQS. On January 5, 2005, EPA published initial air quality 

2 See EPA, Air Quality Criteria for Particulate Matter, No. 

EPA/600/P–99/002aF and EPA/600/ P–99/002bF, October 2004. 

3 See 72 FR 20586, 20589 (April 25, 2007). 
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designations for the 1997 annual and 24-hour PM2.5 NAAQS, using 

air quality monitoring data for the three-year periods of 2001–

2003 and 2002–2004.4 These designations became effective on April 

5, 2005.5 EPA designated the San Joaquin Valley (SJV) area as 

nonattainment for both the 1997 annual PM2.5 standard (15.0 μg/m3) 

and the 1997 24-hour PM2.5 standard (65 μg/m3).6

The SJV PM2.5 nonattainment area encompasses over 23,000 

square miles and includes all or part of eight counties: San 

Joaquin, Stanislaus, Merced, Madera, Fresno, Tulare, Kings, and 

the valley portion of Kern.7 The area is home to 4 million people 

and is the nation’s leading agricultural region. Stretching over 

250 miles from north to south and averaging 80 miles wide, it is 

partially enclosed by the Coast Mountain range to the west, the 

Tehachapi Mountains to the south, and the Sierra Nevada range to 

the east. The San Joaquin Valley Unified Air Pollution Control 

District (SJVUAPCD or District) has primary responsibility for 

developing plans to provide for attainment of the NAAQS in this 

area. The District works cooperatively with the California Air 

Resources Board (CARB) in preparing these plans. 

4 See 70 FR 944 (January 5, 2005). 

5 Id. 6 See 40 CFR 81.305. 

7 For a precise description of the geographic boundaries of the 

San Joaquin Valley PM2.5 nonattainment area, see 40 CFR 81.305. 
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Between 2007 and 2011, California made six SIP submittals 

to address nonattainment area planning requirements for the 1997 

PM2.5 NAAQS in the SJV.8 We refer to these submittals collectively 

as the “SJV PM2.5 SIP.” On November 9, 2011, EPA approved all 

elements of the SJV PM2.5 SIP except for the contingency 

measures, which EPA disapproved.9 As part of this action and 

pursuant to CAA section 172(a)(2)(A), EPA granted California’s 

request for an extension of the attainment date for the SJV area 

to April 5, 2015.10 EPA took these actions in accordance with the 

“Clean Air Fine Particle Implementation Rule,” which EPA issued 

in April 2007 to assist states in their development of SIPs to 

meet the Act’s attainment planning requirements for the 1997 

PM2.5 NAAQS (hereafter “2007 PM2.5 Implementation Rule”).11 In July 

8 See 76 FR 69896 at n. 2 (November 9, 2011). 

9 See id. at 69924. 

10 See id. Under CAA section 172(a)(2)(A), the attainment date 

for a nonattainment area is “the date by which attainment can be 

achieved as expeditiously as practicable, but no later than five 

years from the date such area was designated nonattainment,” 

except that EPA may extend the attainment date as appropriate 

for a period no greater than ten years from the date of 

designation as nonattainment, considering the severity of 

nonattainment and the availability and feasibility of pollution 

control measures. CAA section 172(a)(2)(A); see also 40 CFR 

51.1004(a) and (b). 

11 See 72 FR 20583 (April 25, 2007), codified at 40 CFR part 51, 

subpart Z. This rule was premised on EPA’s prior interpretation 

of the Act as allowing for implementation of the PM2.5 NAAQS 

solely pursuant to the general nonattainment area provisions of 

subpart 1 and not the more specific provisions for particulate 

matter nonattainment areas in subpart 4 of part D, title I of 

the Act. 
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2013, the State submitted a revised PM2.5 contingency measure plan 

for the SJV, which EPA fully approved in May 2014.12

On January 4, 2013, the U.S. Court of Appeals for the D.C. 

Circuit issued its decision in a challenge by the Natural 

Resources Defense Council (NRDC) to EPA’s 2007 PM2.5

Implementation Rule.13 In NRDC, the court held that EPA erred in 

implementing the 1997 PM2.5 standards solely pursuant to the 

general implementation requirements of subpart 1, without also 

considering the requirements specific to nonattainment areas for 

particulate matter with a diameter of 10 microns or less (PM10) 

in subpart 4, part D of title I of the CAA. The court reasoned 

that the plain meaning of the CAA requires implementation of the 

1997 PM2.5 standards under subpart 4 because PM2.5 particles fall 

within the statutory definition of PM10 and are thus subject to 

the same statutory requirements as PM10. The court remanded the 

rule and instructed EPA “to repromulgate these rules pursuant to 

Subpart 4 consistent with this opinion.”14

 Consistent with the NRDC decision, on June 2, 2014, EPA 

published a final rule classifying all areas currently 

designated nonattainment for the 1997 and/or 2006 PM2.5 standards 

12 See 79 FR 29327 (May 22, 2014). 

13 See Natural Resources Defense Council v. EPA, 706 F.3d 428 

(D.C. Cir. 2013). 

14 Id. 
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as Moderate under subpart 4.15 EPA also established a deadline of 

December 31, 2014 for states to submit attainment-related and 

nonattainment new source review (NNSR) SIP elements required for 

these areas pursuant to subpart 4.16 This rulemaking did not 

affect any action that EPA had previously taken under section 

110(k) of the Act on a SIP for a PM2.5 nonattainment area.17

Accordingly, EPA’s previous approval of the April 5, 2015 

attainment date for the SJV area remains in effect.18

Under section 188(b)(1) of the CAA, prior to an area’s 

attainment date, EPA has discretionary authority to reclassify 

as a Serious nonattainment area “any area that the Administrator 

determines cannot practicably attain” the PM2.5 NAAQS by the 

applicable Moderate area attainment date.19 On September 25, 

2014, the District requested that EPA reclassify the SJV 

15 See 79 FR 31566 (June 2, 2014). 

16 Id. 

17 Id. at 31569. 

18 Id.; see also 79 FR 29327 at 29329 (May 22, 2014)(noting that 

“[a]bsent an EPA rulemaking to withdraw or revise [the November 

9, 2011] final rule, which NRDC does not compel, our final 

action on the SJV PM2.5 SIP remains effective. . .”). 

19 Section 188(b)(1) of the Act is a general expression of 

delegated rulemaking authority. See “State Implementation Plans; 

General Preamble for the Implementation of Title I of the Clean 

Air Act Amendments of 1990,” 57 FR 13498 (April 16, 1992) 

(hereafter “General Preamble”) at 13537, n. 15. Although 

subparagraphs (A) and (B) of section 188(b)(1) mandate that EPA 

reclassify by specified timeframes any areas that it determines 

appropriate for reclassification by those dates, these 

subparagraphs do not restrict the general authority but simply 

specify that, at a minimum, EPA’s authority must be exercised at 

certain times. See id. 
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nonattainment area as Serious nonattainment for the 1997 PM2.5 

standards. This request included a demonstration that the SJV 

cannot practicably attain the 1997 annual PM2.5 standard by the 

April 5, 2015 attainment date.20

II. Evaluation of Ambient PM2.5 Air Quality Monitoring Data 

A determination of whether an area’s air quality currently 

meets the PM2.5 NAAQS is generally based upon the most recent 

three years of complete, quality-assured data gathered at 

established State and Local Air Monitoring Stations (SLAMS) in a 

nonattainment area and entered into EPA’s Air Quality System 

(AQS) database. Data from air monitors operated by state/local 

agencies in compliance with EPA monitoring requirements must be 

submitted to AQS. Monitoring agencies annually certify that 

these data are accurate to the best of their knowledge. 

20 See letter dated September 25, 2014 from Seyed Sadredin, 

Executive Director/Air Pollution Control Officer, SJVUAPCD, to 

Jared Blumenfeld, Regional Administrator, EPA Region 9, “RE: San 

Joaquin Valley Unified Air Pollution Control District Request 

for Reclassification of the San Joaquin Valley as a Serious PM2.5

Nonattainment Area for the Federal 1997 PM2.5 Standard,” 

attaching Memorandum dated August 21, 2014 from Seyed Sadredin, 

Executive Director/APCO and Sheraz Gill, Project Coordinator, to 

the SJVUAPCD Governing Board, “RE: Item Number 9: Review and 

Approve Actions to Address Air Quality Impacts Resulting from 

the Exceptional Weather Conditions Caused by the Recent Drought” 

(hereafter “Sadredin Memo”). 
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Accordingly, EPA relies primarily on data in AQS when 

determining the attainment status of areas.21

Under EPA regulations in 40 CFR section 50.7 and in 

accordance with part 50, appendix N, the 1997 annual PM2.5

standard is met when the “annual PM2.5 NAAQS design value” (based 

on the 3-year average of PM2.5 annual mean mass concentrations)22

is less than or equal to 15.0 μg/m3 at each eligible monitoring 

site. The 1997 24-hour PM2.5 standard is met when the “24-hour 

PM2.5 NAAQS design value” (based on the 3-year average of annual 

98th percentile 24-hour PM2.5 mass concentrations)23 is less than 

or equal to 65 μg/m3 at each eligible monitoring site. 

A. PM2.5 Trends in the SJV 

 Ambient annual and 24-hour PM2.5 NAAQS design value levels 

in the SJV are the highest recorded in the United States at 18.1 

μg/m3 (Madera) and 65 μg/m3 (Bakersfield), respectively, for the 

2011–2013 period.24 The levels and composition of ambient PM2.5 in 

21 See 40 CFR 50.7; 40 CFR part 50, appendix L; 40 CFR part 50, 

appendix N; 40 CFR part 53; 40 CFR part 58; and 40 CFR part 58, 

appendices A, C, D, and E. 

22 See 40 CFR part 50, appendix N (section 1.0). 

23 See id. 24 See U.S. EPA, 2013 Design Value Reports, PM2.5 Detailed 

Information Updated 8/24/14, available at 

http://www.epa.gov/airtrends/values.html

(“PM25_DesignValues_20112013_FINAL_08_28_14”) (hereafter “2013 

PM2.5 Design Value Reports”). The Bakersfield monitor also 

recorded the nation’s second highest annual PM2.5 NAAQS design 

value (17.3 μg/m3) during this period. See id. 
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the SJV differ by season.25 Higher PM2.5 concentrations occur 

during the winter, between late November and February, when the 

SJV experiences extended periods of stagnant weather with cold 

foggy conditions which encourage wood burning, a source of 

directly emitted particulates (direct PM2.5), and are conducive 

to the formation of ammonium nitrate from the reaction of 

nitrogen oxides (NOX) with ammonia. Tables 1 and 2 show the 

annual and 24-hour concentrations recorded at PM2.5 monitoring 

sites in the SJV during the 2005-2013 period. 

25 See 76 FR 41338 at 41339 (July 13, 2011) (proposed action on 

SJV PM2.5 Plan). 
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Table 1: Annual PM2.5 NAAQS Design Valuesa in μg/m3 for Monitors in the SJV 

Site AQS ID 2005 2006 2007 2008 2009 2010 2

Bakersfield

– Planz 60290016 18.4 18.9 20.3 21.5 22.6 21.2 1

– CA Ave 60290014 18.0 18.5 19.6 20.9 21.0 18.4 1

 - Golden 

State Hwy 60290010 19.0 18.6 19.2 18.8 19.3 n/a n

Corcoran 60310004 17.0 17.2 17.6 17.0 17.3 17.1 1Hanford 60311004 n/a n/a n/a n/a n/a n/a nVisalia 61072002 18.0 18.2 19.3 19.7 18.8 16.5 1Fresno 

– Pacific 60195025 17.2 17.2 17.1 17.0 16.0 14.9 1- Garland 60190011 16.9 16.6 17.4 17.7 17.1 15.2 1

Clovis 60195001 17.1 16.4 16.4 16.3 17.0 16.4 1Tranquility 60192009 n/a n/a n/a n/a n/a n/a nMadera 60392010 n/a n/a n/a n/a n/a n/a nMerced 

– M Street 60472510 15.0 14.7 14.7 n/a n/a n/a 1

- Coffee 60470003 n/a n/a n/a n/a n/a n/a 1

Turlock 60990006 n/a n/a n/a n/a n/a n/a 1Modesto 60990005 14.0 14.1 14.6 15.3 14.7 n/a nManteca 60772010 n/a n/a n/a n/a n/a n/a nStockton 60771002 13.1 12.9 12.8 13.5 12.9 12.1 1

Source: 2013 PM2.5 Design Value Reports. The term “n/a” means monitoring dator does not meet minimum data completeness requirements (40 CFR part 50, ap

a The annual PM2.5 NAAQS design value for each monitor is based on the 3-year 

annual mean PM2.5 concentrations. See 40 CFR part 50 appendix N. For example

PM2.5 NAAQS design value for 2013 for each monitor is the average of the ann
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not the official version.

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concentrations for 2011, 2012, and 2013 at that monitor. The 1997 annual PMattained when the design value at each eligible monitor is 15.0 μg/m3 or lesb The Garland site was approved for replaced operation of the First Street s60190008) beginning with data collected in calendar year 2012. The design vrepresents a combined site record with the existing Garland site and old Fisite which ceased operation in early 2012. 
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Table 2: 24-Hour PM2.5 NAAQS Design Valuesa in μg/m3 for Monitors in the SJV 

Site AQS ID 2005 2006 2007 2008 2009 2010 2

Bakersfield 

– Planz 60290016 54 60 68 70 70 65 

– CA Ave 60290014 58 62 66 66 68 62 

 - Golden 

State Hwy 60290010 60 64 69 64 66 64 n

Corcoran 60310004 55 58 61 52 53 49 Hanford 60311004 n/a n/a n/a n/a n/a n/a nVisalia 61072002 55 56 58 57 59 51 Fresno 

– Pacific 60195025 57 59 61 52 50 43 - Garland 60190011 60 58 63 58 60 54 

Clovis 60195001 55 56 58 54 53 47 Tranquility 60192009 n/a n/a n/a n/a n/a n/a nMadera 60392010 n/a n/a n/a n/a n/a n/a nMerced 

– M Street 60472510 45 45 48 50 51 45 

- Coffee 60470003 n/a n/a n/a n/a n/a n/a 

Turlock 60990006 n/a n/a n/a n/a n/a 55 Modesto 60990005 49 51 55 54 55 49 Manteca 60772010 n/a n/a n/a n/a n/a n/a nStockton 60771002 40 41 45 51 50 44 

Source: 2013 PM2.5 Design Value Reports. The term “n/a” means monitoring datdoes not meet minimum data completeness requirements (40 CFR part 50, appen

a The 24-hour PM2.5 NAAQS design value for each monitor is based on the 3-yea

annual 98th percentile 24-hour PM2.5 concentrations. See 40 CFR part 50 appen

example, the 24-hour PM2.5 NAAQS design value for 2013 for each monitor is tthe 98th percentile PM2.5 concentrations for 2011, 2012, and 2013 at that mon
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not the official version.

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24-hour PM2.5 NAAQS is attained when the design value at each eligible monitor less. b The Garland site was approved for replaced operation of the First Street s60190008) beginning with data collected in calendar year 2012. The design vrepresents a combined site record with the existing Garland site and old Fisite which ceased operation in early 2012. 
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taken steps to ensure the accuracy of this version, but it is not the official version.

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B. Impracticability of Attaining the 1997 Annual PM2.5 Standard 

by April 5, 2015 

 In its September 25, 2014 letter to EPA, the District 

provided ambient air quality data showing that the SJV area 

cannot attain the 1997 PM2.5 annual standard by April 5, 2015.26

Specifically, the District provided annual average PM2.5

concentrations recorded at monitoring sites in the SJV for 2012 

and 2013, and then calculated the maximum 2014 annual average 

concentration for each monitoring site that would result in a 3-

year average PM2.5 concentration of 15.0 μg/m3 at that site. 

According to the District, the maximum 2014 annual average 

concentration at the Bakersfield-Planz site (which recorded the 

area’s highest annual concentrations in 2013) that will enable 

the site to show a design value at or below 15.0 μg/m3 for 2014 

is 7.5 μg/m3.27 The annual average value for a given year is 

calculated based on the quarterly averages for that year.28 The 

District reported that the average PM2.5 concentration measured 

at the Bakersfield-Planz site in the first quarter of 2014, 

however, was 29.7 μg/m3.29 Thus, according to the District, 

average PM2.5 concentrations at this monitoring site for the 

26 See Sadredin Memo at 2-6. 

27 Id. at Table 3. 

28 40 CFR 50, Appendix N, section 4.4. 

29 See Sadredin Memo at Table 4. 
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remaining three quarters of 2014 would have to be zero in order 

to result in a design value at or below 15.0 μg/m3 for 2014.30

The remaining three quarters of 2014 include November and 

December, which, like other winter months in the SJV, tend to 

experience high PM2.5 concentrations. These preliminary data and 

analyses indicate that it is not possible for the BakersfieldPlanz monitoring site to show an annual PM2.5 NAAQS design value 

at or below 15.0 μg/m3 by April 5, 2015. 

 EPA also independently evaluated preliminary 2014 PM2.5 air 

quality data available in AQS as of August 2014 to assess the 

District’s representations.31 Table 3 shows four monitoring 

locations for which preliminary 2014 AQS data already indicate 

that the 3-year average PM2.5 concentration for 2012-2014 will 

likely be well above 15.0 μg/m3. Specifically, for each of these 

monitoring sites, EPA calculated the maximum 2014 average PM2.5

concentration that would enable the site to show a 2014 annual 

PM2.5 NAAQS design value at or below 15.0 μg/m3.32 As shown in 

30 Id.

31 See Memorandum from Elfego Felix and Scott Bohning to Docket 

entitled “Practicability of SJV 2014 attainment of the 1997 PM2.5

NAAQS” dated December 10, 2014 with attachment entitled “SJV PM2 

5 1997 std impracticable 2014-12-10.xlsx” (hereafter “Felix and 

Bohning Memo”). 

32 The small differences between the District’s and EPA’s 

calculations of “maximum 2014” values are due to the use of 

different rounding conventions. EPA’s calculations of maximum 

2014 values are based on the rounding convention in 40 CFR part 

50, appendix N, which provides that intermediate calculations 

are not rounded, and that a design value with a decimal lower 
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Table 3, the 2014 annual average PM2.5 concentration at the 

Visalia, Corcoran, and Hanford sites would have to be nearly 20 

percent lower than the lowest annual averages observed at each 

of those sites during the 2003-2013 period, and the 2014 annual 

average PM2.5 concentration at the Bakersfield-Planz site would 

have to be nearly 50 percent lower than the lowest annual 

average observed during that same period, in order to result in 

a 2014 annual PM2.5 NAAQS design value at or below 15.0 μg/m3.33

Table 3: Preliminary Recorded 2014 Annual Average PM2.5

Concentrations (in μg/m3) for Selected Sites in SJV and 

Comparison to Lowest Recorded Concentrations 

Average 

recorded 

2014a

EPA 

estimate 

for Max 

2014 Annual 

Average 

Allowed to 

Attainb

Lowest 

Recorded 

Annual 

Average 

(year)b

Percent 

Difference 

between Max 

2014 and 

Lowest 

Recorded 

Annual Average

Bakersfield 

– Planz 29.7 7.7 14.5 (2011) 47% 

Visalia 27.9 11.4 13.6 

(2010) 16% 

Corcoran 22.9 13.0 15.6 

(2013) 16% 

Hanford 18.7 12.1 14.8 

(2012) 18% 

than 15.05 μg/m3 is rounded down to 15.0 μg/m3. See 40 CFR part 

50, appendix N, section 4.3. In computing the maximum 2014 

concentration consistent with attainment and consistent with 

2012 and 2013 annual mean concentrations, EPA did not round the 

2012 and 2013 means in the intermediate steps of the 

calculation, and used 15.04 as the highest design value 

consistent with the standard. In contrast, the Sadredin memo 

rounded 2012 and 2013 means to one decimal place initially, and 

used 15.00 as the highest attaining design value. 

33 See Felix and Bohning Memo and attachment. 
This document is a prepublication version, signed by the Regional Administrator of EPA Region 9, Jared Blumenfeld, on 12/18/14. We have

taken steps to ensure the accuracy of this version, but it is not the official version.

20

a Source: U.S. EPA, Air Quality System, Combined Site Sample 

Values Report, PM2.5, 2014 (Report Date: August 7, 2014) 

(preliminary 2014 1st quarter data for all identified sites and 

2nd quarter data for Hanford site). 

b See Felix and Bohning Memo and attachment. 

If 2014 monitoring data is timely certified by May 1, 2015 

(see 40 CFR 58.15) and EPA’s determination of whether the SJV 

area meets the PM2.5 NAAQS occurs after this date, the 

determination would be based on monitoring data for the 2012-

2014 period as this would be the most recent 3-year period for 

which complete, quality-assured and certified monitoring data is 

available. Because a determination of attainment requires that 

each eligible monitoring site in the area show a design value at 

or below the level of the PM2.5 NAAQS (see 40 CFR part 50, 

section 50.7 and appendix N), a 2014 design value above this 

level at one eligible monitor would render attainment by April 

5, 2015 impossible. 

In sum, air quality data for the 2003-2014 period indicate 

that it is not practicable for the Bakersfield-Planz monitoring 

site to show an annual PM2.5 NAAQS design value at or below 15.0 

μg/m3 by April 5, 2015, and that the SJV area cannot practicably 

attain the 1997 annual PM2.5 NAAQS by this date.34

34 Any reclassification of a Moderate PM2.5 nonattainment area as 

Serious based on a determination that the area cannot 

practicably attain the NAAQS by the applicable attainment date 

will be based on the facts and circumstances of the particular 

nonattainment area at issue. Monitored air quality and the 
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taken steps to ensure the accuracy of this version, but it is not the official version.

21

C. Impracticability of Attaining the 1997 24-Hour PM2.5 Standard 

by April 5, 2015 

 The District’s September 25, 2014 letter did not 

specifically address the SJV area’s ability to attain the 24-

hour PM2.5 standard by April 5, 2015. EPA independently reviewed 

ambient air quality data available in AQS, however, to consider 

whether the SJV area can practicably attain the 24-hour standard 

by this date. 

Table 4 shows the 98th percentile 24-hour average PM2.5

concentrations recorded in 2012 and 2013 at selected monitoring 

sites. The 98th percentile 24-hour concentrations in 2013 were 

higher than in 2012, and in some cases the 2013 value was 

significantly higher than the 2012 value, e.g., at the 

Bakersfield-Planz monitoring site.35 Based on these observed 98th

reductions in ambient concentrations that the area would need to 

achieve in order to monitor attainment are important factors. 

Another important factor is whether additional control measures 

could be implemented in time and reduce emissions adequately to 

attain the NAAQS. Given the significant reductions in ambient 

PM2.5 levels that the SJV nonattainment area would need to 

monitor attainment, and the extremely short time remaining 

before the applicable attainment date for this area (April 5, 

2015), EPA focused its analysis in this proposal on air qualityrelated information. 

35 The Sadredin Memo cites weather conditions associated with the 

extreme drought in California, including low precipitation, high 

stagnation, and strong inversions, among the reasons for the 

high PM2.5 concentrations observed in the winter of 2013-2014. 

See Sadredin Memo at 3-7. 
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taken steps to ensure the accuracy of this version, but it is not the official version.

22

percentile values in 2012 and 2013, EPA calculated for each of 

these monitoring sites the maximum 98th percentile 24-hour 

concentration in 2014 that would enable the site to show a 2014 

24-hour PM2.5 NAAQS design value at or below 65 μg/m3. EPA also 

calculated a low estimate of the 98th percentile 24-hour 

concentration for 2014 at each of these sites, based on 

preliminary data reported to AQS for the first quarter of 2014 

and a conservative assumption that 24-hour PM2.5 concentrations 

remain below these levels for the remainder of the year at each 

monitoring site.36 As shown in Table 4, EPA’s low estimates of 

the 98th percentile concentrations for 2014 at the two monitoring 

sites in Bakersfield (Planz and California Avenue) already 

exceed the maximum 2014 values that would enable these two sites 

to show a 24-hour PM2.5 NAAQS design value for 2014 at or below 

36 Identification of the 98th percentile 24-hour concentration is 

based on the number of creditable samples in a given year. See 

40 CFR Part 50, Appendix N, Section 4.5. Specifically, in any 

year for which there are at least 351 creditable samples, the 

98th percentile is the 8th highest concentration, and as the 

number of creditable samples decreases the 98th percentile 

concentration increases. See id. at Table 1. To calculate a low 

estimate of the 98th percentile 24-hour concentration for 2014 at 

each monitoring site, EPA assumed conservatively that 

preliminary 2014 monitoring data available in AQS (see Table 4) 

represented the highest values for 2014 (i.e., no higher values 

would be recorded at these sites for the remainder of 2014) and 

that the total number of creditable samples in 2014 would be 

consistent with the sampling frequency observed as of August 7, 

2014. See Felix and Bohning Memo and attachment. We note that 

2014 monitoring data is not due for certification until May 1, 

2015. See 40 CFR 58.15. 
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taken steps to ensure the accuracy of this version, but it is not the official version.

23

65 μg/m3. Thus, these two monitoring sites in Bakersfield cannot 

practicably show a 24-hour PM2.5 NAAQS design value at or below 

65 μg/m3 by April 5, 2015. 

Table 4: Preliminary Recorded 2014 24-hour PM2.5 Concentrations 

(in μg/m3) for Selected Sites in SJV and Calculation of 98th

Percentile Values 

98th

Percentile 

in 2012a

98th

Percentile

in 2013a

 Low Estimate 

of 98th

Percentile in 

2014b

Max 98th

Percentile 

Allowed in 

2014 to 

Attainb

Bakersfield 

– Planz 40.6 96.7 64.4 58.9 

Bakersfield 

– CA Ave 56.4 71.8 72.6 68.0 

Hanford 48.3 67.6 76.7 80.3 

Fresno -

Pacific 51.3 71.6 61.8 73.3 

Fresno - 

Garland 52.6 63.8 65.5 79.8 

a Source: See 2013 PM2.5 Design Value Reports. 

b See Felix and Bohning Memo and attachment (calculations based 

on preliminary 2014 1st quarter data for all identified sites and 

2nd quarter data for Hanford site). 

If 2014 monitoring data is timely certified by May 1, 2015 

(see 40 CFR 58.15) and EPA’s determination of whether the SJV 

area meets the PM2.5 NAAQS occurs after this date, the 

determination would be based on monitoring data for the 2012-

2014 period as this would be the most recent 3-year period for 

which complete, quality-assured and certified monitoring data is 

available. Because a determination of attainment requires that 

each eligible monitoring site in the area show a design value at 

or below the level of the PM2.5 NAAQS (see 40 CFR part 50, 
This document is a prepublication version, signed by the Regional Administrator of EPA Region 9, Jared Blumenfeld, on 12/18/14. We have

taken steps to ensure the accuracy of this version, but it is not the official version.

24

section 50.7 and appendix N), a 2014 design value above this 

level at one eligible monitor would render attainment by April 

5, 2015 impossible. 

In sum, air quality data for the 2003-2014 period indicate 

that it is not practicable for the two Bakersfield monitoring 

sites to show a 24-hour PM2.5 NAAQS design value at or below 65 

μg/m3 by April 5, 2015, and that the SJV area cannot practicably 

attain the 1997 24-hour PM2.5 NAAQS by this date.37

III. Reclassification as Serious Nonattainment and Applicable 

Attainment Dates 

 Section 188 of the Act outlines the process for 

classification of PM2.5 nonattainment areas and establishes the 

applicable attainment dates. In accordance with section 188 and 

in response to the NRDC decision, EPA classified the SJV area as 

Moderate nonattainment for the 1997 PM2.5 NAAQS, effective July 2, 

2014.38 This classification rulemaking did not affect any prior 

action that EPA had taken under CAA section 110(k) on a PM2.5 

attainment plan for a nonattainment area. Accordingly, the April 

5, 2015 attainment date that EPA approved on November 9, 2011 

37 See note 34 supra. 

38 See 79 FR 31566 at 31587, 31593 (June 2, 2014). 
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taken steps to ensure the accuracy of this version, but it is not the official version.

25

for the SJV area remains the applicable attainment date for the 

1997 PM2.5 NAAQS in this area.39

Under the plain meaning of the terms of section 188(b)(1) 

of the Act, EPA has general authority to reclassify at any time 

before the applicable attainment date any area that EPA 

determines cannot practicably attain the standard by such date. 

Accordingly, section 188(b)(1) of the Act is a general 

expression of delegated rulemaking authority. In addition, 

subparagraphs (A) and (B) of section 188(b)(1) mandate that EPA 

reclassify “appropriate” PM10 nonattainment areas at specified 

time frames (i.e., by December 31, 1991 for the initial PM10

nonattainment areas, and within 18 months after the SIP 

submittal due date for subsequent nonattainment areas). These 

subparagraphs do not restrict EPA’s general authority but simply 

specify that, at a minimum, it must be exercised at certain 

times.40 In accordance with section 188(b)(1) of the Act, EPA is 

proposing to reclassify the SJV area from Moderate to Serious 

nonattainment for the 1997 annual and 24-hour PM2.5 standards of 

15.0 and 65 μg/m3, respectively, based on EPA’s determination 

that the SJV area cannot practicably attain these standards by 

the applicable attainment date of April 5, 2015. 

39 See notes 17 and 18, supra. 

40 For a general discussion of EPA’s interpretation of the 

reclassification provisions in section 188(b)(1) of the Act, see 

the General Preamble, 57 FR 13498 at 13537-38 (April 16, 1992). 
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taken steps to ensure the accuracy of this version, but it is not the official version.

26

Under section 188(c)(2) of the Act, the attainment date for 

a Serious area “shall be as expeditiously as practicable but no 

later than the end of the tenth calendar year beginning after 

the area’s designation as nonattainment....” The SJV area was 

designated nonattainment for the 1997 PM2.5 standards effective 

April 5, 2005.41 Therefore, upon final reclassification of the 

SJV area as a Serious nonattainment area, the latest permissible 

attainment date under section 188(c)(2) of the Act, for purposes 

of the 1997 PM2.5 standards in this area, will be December 31, 

2015. 

Under section 188(e) of the Act, a state may apply to EPA 

for a single extension of the Serious area attainment date by up 

to 5 years, which EPA may grant if the State satisfies certain 

conditions. Before EPA may extend the attainment date for a 

Serious area under section 188(e), the State must: (1) apply for 

an extension of the attainment date beyond the statutory 

attainment date; (2) demonstrate that attainment by the 

statutory attainment date is impracticable; (3) have complied 

with all requirements and commitments pertaining to the area in 

the implementation plan; (4) demonstrate to the satisfaction of 

the Administrator that the plan for the area includes the most 

stringent measures that are included in the implementation plan 

41 See 70 FR 944 at 956, 957 (January 5, 2005). 
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taken steps to ensure the accuracy of this version, but it is not the official version.

27

of any State or are achieved in practice in any State, and can 

feasibly be implemented in the area; and (5) submit a 

demonstration of attainment by the most expeditious alternative 

date practicable.42 As more fully described in Section V of this 

proposal, EPA anticipates that California may choose to submit a 

request for an extension of the Serious area attainment date 

consistent with these requirements when it submits a Serious 

area attainment plan for the 1997 PM2.5 standards for this area. 

IV. Reclassification of Areas of Indian Country43

42 For a discussion of EPA’s interpretation of the requirements 

of section 188(e), see “State Implementation Plans for Serious 

PM10 Nonattainment Areas, and Attainment Date Waivers for PM10

Nonattainment Areas Generally; Addendum to the General Preamble 

for the Implementation of Title I of the Clean Air Act 

Amendments of 1990,” 59 FR 41998 (August 16, 1994) (hereafter 

“Addendum”) at 42002; 65 FR 19964 (April 13, 2000) (proposed 

action on PM10 Plan for Maricopa County, Arizona); 66 FR 50252 

(October 2, 2001) (proposed action on PM10 Plan for Maricopa 

County, Arizona); 67 FR 48718 (July 25, 2002) (final action on 

PM10 Plan for Maricopa County, Arizona); and Vigil v. EPA, 366 

F.3d 1025, amended at 381 F.3d 826 (9th Cir. 2004) (remanding 

EPA action on PM10 Plan for Maricopa County, Arizona but 

generally upholding EPA’s interpretation of CAA section 188(e)). 

43 “Indian country” as defined at 18 U.S.C. 1151 refers to: “(a) 

all land within the limits of any Indian reservation under the 

jurisdiction of the United States Government, notwithstanding 

the issuance of any patent, and, including rights-of-way running 

through the reservation, (b) all dependent Indian communities 

within the borders of the United States whether within the 

original or subsequently acquired territory thereof, and whether 

within or without the limits of a state, and (c) all Indian 

allotments, the Indian titles to which have not been 

extinguished, including rights-of-way running through the same.” 
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28

Eight Indian tribes are located within the boundaries of 

the San Joaquin Valley PM2.5 nonattainment area: the Big Sandy 

Rancheria of Mono Indians of California, the Cold Springs 

Rancheria of Mono Indians of California, the North Fork 

Rancheria of Mono Indians of California, the Picayune Rancheria 

of Chukchansi Indians of California, the Santa Rosa Rancheria of 

the Tachi Yokut Tribe, the Table Mountain Rancheria of 

California, the Tejon Indian Tribe, and the Tule River Indian 

Tribe of the Tule River Reservation. 

We have considered the relevance of our proposal to 

reclassify the SJV nonattainment area as Serious for the 1997 

PM2.5 standards to each tribe located within the SJV area. We 

believe that the same facts and circumstances that support the 

proposal for the non-Indian country lands also support the 

proposal for Indian country located within the SJV nonattainment 

area. EPA is therefore proposing to exercise our authority under 

CAA section 188(b)(1) to reclassify areas of Indian country 

geographically located in the SJV nonattainment area. Section 

188(b)(1) broadly authorizes EPA to reclassify a nonattainment 

area – including any area of Indian country located within such 

area – that EPA determines cannot practicably attain the 

relevant standard by the applicable attainment date. 

Elevated PM2.5 levels are a pervasive pollution problem 

throughout the SJV area. Directly-emitted PM2.5 and its precursor 
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29

pollutants (NOX, SOX, VOC, and ammonia) are emitted throughout a 

nonattainment area and can be transported throughout that 

nonattainment area. Therefore, boundaries for nonattainment 

areas are drawn to encompass both areas with direct sources of 

the pollution problem as well as nearby areas in the same 

airshed. Initial classifications of nonattainment areas are 

coterminous with, that is, they match exactly, their boundaries. 

EPA believes this approach best ensures public health protection 

from the adverse effects of PM2.5 pollution. Therefore, it is 

generally counterproductive from an air quality and planning 

perspective to have a disparate classification for an area 

located within the boundaries of a larger nonattainment area, 

such as the areas of Indian country contained within the SJV 

PM2.5 nonattainment area. Moreover, violations of the 1997 PM2.5

standards, which are measured and modeled throughout the 

nonattainment area, as well as shared meteorological conditions, 

would dictate the same conclusion. Furthermore, emissions 

increases in portions of a PM2.5 nonattainment area that are left 

classified as Moderate could counteract the effects of efforts 

to attain the standards within the overall area because less 

stringent requirements would apply in those Moderate portions 

relative to those that would apply in the portions of the area 

reclassified to Serious. 
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30

Uniformity of classification throughout a nonattainment 

area is thus a guiding principle and premise when an area is 

being reclassified. Equally, if EPA believes it is likely that a 

given nonattainment area will not attain the PM2.5 standards by 

the applicable attainment date, then it may be an additional 

reason why it is appropriate to maintain a uniform 

classification within the area and thus to reclassify the Indian 

country together with the balance of the nonattainment area. In 

this particular case, we are proposing to determine, based on 

the State’s demonstration and current ambient air quality 

trends, that the SJV nonattainment area in its entirety cannot 

practicably attain the 1997 PM2.5 standards by the applicable 

area attainment date of April 5, 2015. 

In light of the considerations outlined above that support 

retention of a uniformly-classified PM2.5 nonattainment area, and 

our finding that is impracticable for the area to attain by the 

applicable attainment date, we propose to reclassify the areas 

of Indian country areas within the San Joaquin Valley 

nonattainment area as Serious for the 1997 PM2.5 standards. 

The effect of reclassification would be to lower the 

applicable “major source” emissions threshold for purposes of 

the nonattainment new source review program and the Title V 

operating permit program from its current level of 100 tpy to 70 

tpy (CAA sections 189(b)(3) and 501(2)(B)) thus subjecting more 
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taken steps to ensure the accuracy of this version, but it is not the official version.

31

new or modified stationary sources to these requirements. The 

reclassification may also lower the de minimis threshold under 

the CAA’s General Conformity requirements (40 CFR part 93, 

subpart B) from 100 tpy to 70 tpy. Under the General Conformity 

requirements, Federal agencies bear the responsibility of 

determining conformity of actions in nonattainment and 

maintenance areas that require Federal permits, approvals, or 

funding. Such permits, approvals or funding by Federal agencies 

for projects in these areas of Indian country may be more 

difficult to obtain because of the lower de minimis thresholds. 

Given the potential implications of the reclassification, 

EPA has contacted tribal officials to invite government-togovernment consultation on this rulemaking effort.44 EPA 

specifically solicits additional comment on this proposed rule 

from tribal officials. We note that although eligible tribes may 

opt to seek EPA approval of relevant tribal programs under the 

CAA, none of the affected tribes will be required to submit an 

implementation plan to address this reclassification. 

44 We sent letters to tribal officials of seven tribes regarding 

government-to-government consultation on September 30, 2014. EPA 

inadvertently did not send a letter to the Tejon Indian Tribe, 

therefore, concurrently with this proposed action, EPA is 

sending a letter to the chairperson of the Tejon Indian Tribe 

inviting consultation on our proposed reclassification of the 

SJV PM2.5 nonattainment area. All eight letters can be found in 

the docket for this proposed action. 
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V. PM2.5 Serious Area SIP Requirements 

Upon reclassification as a Serious nonattainment area for 

the 1997 PM2.5 NAAQS, California will be required to submit 

additional SIP revisions to satisfy the statutory requirements 

that apply to Serious areas, including the requirements of 

subpart 4 of part D, title I of the Act. 

The Serious area SIP elements that California will be 

required to submit are as follows: 

1. provisions to assure that the best available control 

measures (BACM), including best available control 

technology (BACT) for stationary sources, for the control 

of direct PM2.5 and PM2.5 precursors shall be implemented no 

later than 4 years after the area is reclassified (CAA 

section 189(b)(1)(B)); 

2. a demonstration (including air quality modeling) that the 

plan provides for attainment as expeditiously as 

practicable but no later than December 31, 2015, or where 

the State is seeking an extension of the attainment date 

under section 188(e), a demonstration that attainment by 

December 31, 2015 is impracticable and that the plan 

provides for attainment by the most expeditious 

alternative date practicable (CAA sections 188(c)(2) and 

189(b)(1)(A)); 
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33

3. plan provisions that require reasonable further progress 

(RFP) (CAA section 172(c)(2)); 

4. quantitative milestones which are to be achieved every 3 

years until the area is redesignated attainment and which 

demonstrate RFP toward attainment by the applicable date 

(CAA section 189(c)); 

5. provisions to assure that control requirements applicable 

to major stationary sources of PM2.5 also apply to major 

stationary sources of PM2.5 precursors, except where the 

State demonstrates to EPA’s satisfaction that such sources 

do not contribute significantly to PM2.5 levels that exceed 

the standard in the area (CAA section 189(e)); 

6. a comprehensive, accurate, current inventory of actual 

emissions from all sources of PM2.5 and PM2.5 precursors in 

the area (CAA section 172(c)(3)); 

7. contingency measures to be implemented if the area fails 

to meet RFP or to attain by the applicable attainment date 

(CAA section 172(c)(9)); and 

8. a revision to the nonattainment new source review (NSR) 

program to lower the applicable “major stationary source”45

45 For any Serious area, the terms “major source” and “major 

stationary source” include any stationary source that emits or 

has the potential to emit at least 70 tons per year of PM10 (CAA 

section 189(b)(3)). 
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taken steps to ensure the accuracy of this version, but it is not the official version.

34

thresholds from 100 tons per year (tpy) to 70 tpy (CAA 

section 189(b)(3)). 

Section 189(b)(2) states, in relevant part, that the State 

must submit the required BACM provisions “no later than 18 

months after reclassification of the area as a Serious Area” and 

must submit the required attainment demonstration “no later than 

4 years after reclassification of the area to Serious.” Thus, if 

a final reclassification of the area to Serious becomes 

effective in early 2015, the Act provides the State with up to 

18 months after this date (i.e., until late 2016) to submit a 

BACM demonstration and up to 4 years after this date (i.e.,

until early 2019) to submit a Serious area attainment 

demonstration. Given the December 31, 2015 Serious area 

attainment date for the 1997 PM2.5 standards in this area under 

CAA section 188(c)(2), however, EPA expects the State to adopt 

and submit a Serious area plan for the 1997 PM2.5 standards well 

before the statutory SIP submittal deadlines in section 

189(b)(2). 

Additionally, in light of the available ambient air quality 

data and the short amount of time available before the December 

31, 2015 attainment date under CAA section 188(c)(2), EPA 

anticipates that California may choose to submit a request for 

an extension of the Serious area attainment date pursuant to 

section 188(e) simultaneously with its submittal of a Serious 
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taken steps to ensure the accuracy of this version, but it is not the official version.

35

area plan for the area. If California fails to submit a request 

for an extension of the Serious area attainment date that 

satisfies the requirements of section 188(e) and the SJV area 

fails to attain the 1997 PM2.5 standards by December 31, 2015, 

under CAA section 189(d) the State would be required to submit, 

within 12 months after December 31, 2015, plan revisions which 

provide for attainment of the PM2.5 standards and, from the date 

of such submission until attainment, for an annual reduction in 

emissions within the SJV area of not less than 5 percent of the 

amount of such emissions as reported in the most recent 

inventory prepared for the area (hereafter “section 189(d) 

plan”). If, however, California submits and EPA approves a 

section 188(e) request for an extension of the Serious area 

attainment date prior to the December 31, 2015 attainment date 

for the SJV area, the requirement to submit a section 189(d) 

plan would not apply unless and until the SJV area fails to 

attain the 1997 PM2.5 standards by the extended attainment date 

approved by EPA under section 188(e). 

The Act does not specify a deadline for the State’s 

submittal of nonattainment NSR program revisions to lower the 

“major stationary source” threshold from 100 tons per year (tpy) 

to 70 tpy (CAA section 189(b)(3)) following reclassification of 

a Moderate PM2.5 nonattainment area as Serious nonattainment 

under subpart 4. Pursuant to EPA’s gap-filling authority in CAA 
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36

section 301(a) and to effectuate the statutory control 

requirements in section 189 of the Act, EPA proposes to require 

the State to submit these nonattainment NSR SIP revisions no 

later than 12 months from the effective date of final 

reclassification of the SJV area as Serious nonattainment for 

the 1997 PM2.5 standards. We believe this timeframe will give the 

state sufficient time to make this relatively straightforward 

revision to its nonattainment NSR SIP while assuring that new or 

modified major sources locating in the SJV area will be subject 

to the lower statutory major source thresholds expeditiously. 

We are requesting comment on this proposed 12-month timeframe 

for submission of the nonattainment NSR SIP revisions. As noted 

above, however, if California intends to seek an extension of 

the Serious area attainment date, the State will need to submit 

a request that satisfies the requirements of CAA section 188(e), 

including NSR SIP provisions to implement the major stationary 

source threshold in CAA section 189(b)(3), in time for EPA to 

approve such an extension prior to the December 31, 2015 Serious 

area attainment date. 

Given the short amount of time available for California’s 

development of these SIP submittals, EPA anticipates that the 

Serious area attainment demonstration for the SJV area may rely 

to some extent on existing photochemical modeling analyses 

developed for previous PM2.5 plan submittals. EPA commits to work 
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taken steps to ensure the accuracy of this version, but it is not the official version.

37

with the District and CARB as they develop the necessary 

technical support for the Serious area plan and to provide 

guidance on the requirements that California must meet to 

qualify for an extension of the Serious area attainment date 

under CAA section 188(e). 

EPA is currently developing a proposed rulemaking to 

provide guidance to states on the attainment planning 

requirements in subparts 1 and 4 of part D, title I of the Act 

that apply to areas designated nonattainment for PM2.5. In the 

interim, EPA encourages the State to review the General Preamble 

and Addendum for guidance on how to implement these statutory 

requirements in the SJV PM2.5 nonattainment area.46

VI. Summary of Proposed Action and Request for Public Comment 

 Pursuant to section 188(b)(1) of the Act, EPA is proposing 

to reclassify the SJV nonattainment area from Moderate to 

Serious nonattainment for the 1997 annual and 24-hour PM2.5

standards based on EPA’s determination that the area cannot 

practicably attain these NAAQS by the applicable attainment date 

of April 5, 2015. This proposed action is based upon EPA’s 

evaluation of ambient air quality data for the 2003-2014 period 

indicating that it is not practicable for certain monitoring 

46 See generally the General Preamble, 57 FR 13498 (April 16, 

1992) and Addendum, 59 FR 41998 (August 16, 1994). 
This document is a prepublication version, signed by the Regional Administrator of EPA Region 9, Jared Blumenfeld, on 12/18/14. We have

taken steps to ensure the accuracy of this version, but it is not the official version.

38

sites within the SJV to show PM2.5 design values at or below the 

level of the 1997 PM2.5 NAAQS by April 5, 2015. Upon 

reclassification as a Serious nonattainment area, California 

will be required to submit a Serious area plan that satisfies 

the requirements of part D of title I of the Act, including a 

demonstration that the plan provides for attainment of the 1997 

annual and 24-hour PM2.5 standards in the SJV area by the 

applicable attainment date, which is no later than December 31, 

2015, or by the most expeditious alternative date practicable 

and no later than December 31, 2020, consistent with the 

requirements of CAA sections 189(b) and 188(e). 

 In addition, because EPA is proposing to similarly 

reclassify areas of Indian country within the SJV PM2.5

nonattainment area as Serious nonattainment for the 1997 PM2.5

standards, consistent with our proposed reclassification of the 

surrounding non-Indian country lands, EPA has invited 

consultation with interested tribes concerning this issue. We 

note that although eligible tribes may seek EPA approval of 

relevant tribal programs under the CAA, none of the affected 

tribes will be required to submit an implementation plan to 

address this reclassification. 

EPA is requesting public comment on this proposed action. 

VII. Statutory and Executive Order Reviews 
This document is a prepublication version, signed by the Regional Administrator of EPA Region 9, Jared Blumenfeld, on 12/18/14. We have

taken steps to ensure the accuracy of this version, but it is not the official version.

39

Additional information about these statutes and Executive 

Orders can be found at http://www2.epa.gov/lawsregulations/laws-and-executive-orders. 

A. Executive Order 12866: Regulatory Planning and Review, and 

Executive Order 13563: Improving Regulation and Regulatory 

Review

This action is not a significant regulatory action under 

the terms of Executive Order 12866 (58 FR 51735, October 4, 

1993) and Executive Order 13563 (76 FR 3821, January 21, 2011), 

and therefore was not submitted to the Office of Management and 

Budget (OMB) for review. Reclassification does not itself create 

any new requirements, and does not impose a materially adverse 

impact under Executive Order 12866. With respect to lands under 

state jurisdiction, this proposed reclassification would trigger 

statutory deadlines for the state to submit Serious area plan 

elements. With respect to Indian country, reclassifications do 

not establish deadlines for air quality plans or plan revisions 

because tribes are not subject to implementation plan submittal 

deadlines that apply to states as a result of reclassifications. 

B. Paperwork Reduction Act 

This action does not impose an information collection 

burden under the provisions of the Paperwork Reduction Act (44 

U.S.C. 3501-3521) because it does not contain any information 

collection activities. 
This document is a prepublication version, signed by the Regional Administrator of EPA Region 9, Jared Blumenfeld, on 12/18/14. We have

taken steps to ensure the accuracy of this version, but it is not the official version.

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C. Regulatory Flexibility Act

I certify that this action will not have a significant 

economic impact on a substantial number of small entities under 

the Regulatory Flexibility Act (RFA), 5 U.S.C. 601-612. This 

action will not impose any requirements on small entities. The 

proposed rule would require the state to adopt and submit SIP 

revisions to satisfy the statutory requirements that apply to 

Serious areas, and would not itself directly regulate any small 

entities. We continue to be interested in the potential impacts 

of the proposed rule on small entities and welcome comments on 

issues related to such impacts. 

D. Unfunded Mandates Reform Act

This action does not contain any unfunded mandate of $100 

million or more and does not significantly or uniquely affect 

small governments, as described in the Unfunded Mandates Reform 

Act (UMRA) (2 U.S.C. 1531–1538). This action itself imposes no 

enforceable duty on any state, local, or tribal governments, or 

the private sector. The proposed action would reclassify the SJV 

nonattainment area as Serious nonattainment for the 1997 PM2.5

NAAQS, which would trigger existing statutory timeframes for the 

state to submit SIP revisions. Such a reclassification in and of 

itself does not impose any federal intergovernmental mandate. 

The proposed action would not require any tribes to submit 

implementation plans. 
This document is a prepublication version, signed by the Regional Administrator of EPA Region 9, Jared Blumenfeld, on 12/18/14. We have

taken steps to ensure the accuracy of this version, but it is not the official version.

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E. Executive Order 13132: Federalism

This action does not have federalism implications. It will 

not have substantial direct effects on the states, on the 

relationship between the national government and the states, or 

on the distribution of power and responsibilities among the 

various levels of government, as specified in Executive Order 

13132 (64 FR 43255, August 10, 1999). The requirement to submit 

SIP revisions to meet the 1997 PM2.5 NAAQS is imposed by the CAA. 

This proposed rule does not alter the distribution of power and 

responsibilities established in the CAA. Thus, Executive Order 

13132 does not apply to this action. 

In the spirit of Executive Order 13132 and consistent with 

EPA policy to promote communications between EPA and state and 

local governments, EPA specifically solicits comments on this 

proposed action from state and local officials. 

F. Executive Order 13175, Consultation and Coordination with 

Indian Tribal Governments

Executive Order 13175, entitled “Consultation and 

Coordination with Indian Tribal Governments” (65 FR 67249, 

November 9, 2000), requires EPA to develop an accountable 

process to ensure “meaningful and timely input by tribal 

officials in the development of regulatory policies that have 

tribal implications.” “Policies that have Tribal implications” 

is defined in the Executive Order to include regulations that 
This document is a prepublication version, signed by the Regional Administrator of EPA Region 9, Jared Blumenfeld, on 12/18/14. We have

taken steps to ensure the accuracy of this version, but it is not the official version.

42

have “substantial direct effects on one or more Indian tribes, 

on the relationship between the Federal government and the 

Indian tribes, or on the distribution of power and 

responsibilities between the Federal government and Indian 

Tribes.” 

Eight Indian tribes are located within the boundaries of 

the SJV nonattainment area for the 1997 PM2.5 NAAQS: the Big 

Sandy Rancheria of Mono Indians of California, the Cold Springs 

Rancheria of Mono Indians of California, the North Fork 

Rancheria of Mono Indians of California, the Picayune Rancheria 

of Chukchansi Indians of California, the Santa Rosa Rancheria of 

the Tachi Yokut Tribe, the Table Mountain Rancheria of 

California, the Tejon Indian Tribe, and the Tule River Indian 

Tribe of the Tule River Reservation. 

EPA has concluded that this proposed rule might have tribal 

implications for the purposes of Executive Order 13175, but that 

it would not impose substantial direct compliance costs upon the 

tribes, nor would it preempt tribal law. We note that none of 

the tribes located in the SJV nonattainment area has requested 

eligibility to administer programs under the Clean Air Act. The 

proposed rule would affect EPA’s implementation of the new 

source review program because of the lower “major source” 

threshold triggered by reclassification (70 tons per year for 

direct PM2.5 and precursors to PM2.5). The proposed rule may also 
This document is a prepublication version, signed by the Regional Administrator of EPA Region 9, Jared Blumenfeld, on 12/18/14. We have

taken steps to ensure the accuracy of this version, but it is not the official version.

43

affect new or modified stationary sources proposed in these 

areas that require Federal permits, approvals, or funding. Such 

projects are subject to the requirements of EPA’s General 

Conformity rule, and Federal permits, approvals, or funding for 

the projects may be more difficult to obtain because of the 

lower de minimis thresholds triggered by reclassification. 

Given these potential implications, EPA contacted tribal 

officials during the process of developing this proposed rule to 

provide an opportunity for the tribes to have meaningful and 

timely input into its development. On September 30, 2014, we 

sent letters to leaders of the seven tribes with areas of Indian 

country in the SJV nonattainment area inviting government-togovernment consultation on the rulemaking effort. We requested 

that the tribal leaders, or their designated consultation 

representatives, provide input or request government-togovernment consultation by October 27, 2014. We did not receive 

a response from any of the tribes. As noted above, EPA 

inadvertently did not send a letter to the Tejon Indian Tribe 

prior to this proposed action. We recognize that the proposed 

reclassification may be of interest to officials of the Tejon 

Indian Tribe and we are contacting them presently to offer them 

an opportunity for government-to-government consultation. We 

intend to continue communicating with all eight tribes located 

within the boundaries of the SJV nonattainment area for the 1997 
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taken steps to ensure the accuracy of this version, but it is not the official version.

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PM2.5 NAAQS as we move forward developing a final rule. EPA 

specifically solicits additional comment on this proposed rule 

from tribal officials. 

G. Executive Order 13045, Protection of Children from 

Environmental Health Risks and Safety Risks

 EPA interprets Executive Order 13045 (62 FR 19885, April 

23, 1997) as applying only to those regulatory actions that 

concern environmental health or safety risks that EPA has reason 

to believe may disproportionately affect children, per the 

definition of “covered regulatory action” in section 2-202 of 

the Executive Order. This proposed action is not subject to 

Executive Order 13045 because it proposes only to reclassify the 

SJV nonattainment area as Serious nonattainment for the 1997 

PM2.5 NAAQS, which would trigger additional Serious area planning 

requirements under the CAA. This proposed action does not 

establish an environmental standard intended to mitigate health 

or safety risks. 

H. Executive Order 13211, Actions that Significantly Affect 

Energy Supply, Distribution, or Use

This proposed rule is not subject to Executive Order 13211, 

“Actions Concerning Regulations That Significantly Affect Energy 

Supply, Distribution, or Use” (66 FR 28355, May 22, 2001) 

because it is not a significant regulatory action under 

Executive Order 12866. 
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taken steps to ensure the accuracy of this version, but it is not the official version.

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I. National Technology Transfer and Advancement Act

This action is not subject to the requirements of Section 

12(d) of the National Technology Transfer and Advancement Act of 

1995 (15 U.S.C. 272 note) because it does not involve technical 

standards. 

J. Executive Order 12898: Federal Actions to Address 

Environmental Justice in Minority Populations and Low-Income 

Population 

Executive Order 12898 (59 FR 7629, Feb. 16, 1994) 

establishes federal executive policy on environmental justice. 

Its main provision directs federal agencies, to the greatest 

extent practicable and permitted by law, to make environmental 

justice part of their mission by identifying and addressing, as 

appropriate, disproportionately high and adverse human health or 

environmental effects of their programs, policies, and 

activities on minority populations and low-income populations in 

the United States. 

EPA has determined that this action will not have 

disproportionately high and adverse human health or 

environmental effects on minority or low-income populations 

because it does not affect the level of protection provided to 

human health or the environment. This proposed action would only 

reclassify the SJV nonattainment area as Serious nonattainment 
This document is a prepublication version, signed by the Regional Administrator of EPA Region 9, Jared Blumenfeld, on 12/18/14. We have

taken steps to ensure the accuracy of this version, but it is not the official version.

46

for the 1997 PM2.5 NAAQS, which would trigger additional Serious 

area planning requirements under the CAA. 

List of Subjects in 40 CFR Part 81 

Air pollution control, Incorporation by Reference 

AUTHORITY: 42 U.S.C. 7401 et seq. - 

December 18, 2014 /s/ 

Dated: Jared Blumenfeld, 

Regional Administrator, 

EPA Region 9.