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TITLE 40 - PROTECTION OF ENVIRONMENT 

CHAPTER I - ENVIRONMENTAL PROTECTION AGENCY 

SUBCHAPTER C - AIR PROGRAMS 

PART 51 - REQUIREMENTS FOR PREPARATION, ADOPTION, AND SUBMITTAL OF 

IMPLEMENTATION PLANS 

subpart x - PROVISIONS FOR IMPLEMENTATION OF 8 - HOUR OZONE NATIONAL 

AMBIENT AIR QUALITY STANDARD 

Appendix V to Part 51 - Criteria for Determining the Completeness of Plan Submissions 

1.0. Purpose This appendix V sets forth the minimum criteria for determining whether a State 

implementation plan submitted for consideration by EPA is an official submission for purposes 

of review under 51.103. 

1.1 The EPA shall return to the submitting official any plan or revision thereof which fails to 

meet the criteria set forth in this appendix V, and request corrective action, identifying the 

component(s) absent or insufficient to perform a review of the submitted plan. 

1.2 The EPA shall inform the submitting official whether or not a plan submission meets the 

requirements of this appendix V within 60 days of EPA's receipt of the submittal, but no later 

than 6 months after the date by which the State was required to submit the plan or revision. If a 

completeness determination is not made by 6 months from receipt of a submittal, the submittal 

shall be deemed complete by operation of law on the date 6 months from receipt. A 

determination of completeness under this paragraph means that the submission is an official 

submission for purposes of 51.103. 

2.0. Criteria The following shall be included in plan submissions for review by EPA: 2.1. 

Administrative Materials (a) A formal letter of submittal from the Governor or his designee, 

requesting EPA approval of the plan or revision thereof (hereafter the plan). 

 (b) Evidence that the State has adopted the plan in the State code or body of regulations; or 

issued the permit, order, consent agreement (hereafter document) in final form. That evidence 

shall include the date of adoption or final issuance as well as the effective date of the plan, if 

different from the adoption/issuance date. 

 (c) Evidence that the State has the necessary legal authority under State law to adopt and 

implement the plan. 
 (d) A copy of the actual regulation, or document submitted for approval and incorporation by 

reference into the plan, including indication of the changes made to the existing approved plan, 

where applicable. The submittal shall be a copy of the official State regulation /document signed, 

stamped, dated by the appropriate State official indicating that it is fully enforceable by the State.

The effective date of the regulation/document shall, whenever possible, be indicated in the 

document itself. 

 (e) Evidence that the State followed all of the procedural requirements of the State's laws and 

constitution in conducting and completing the adoption/issuance of the plan. 

 (f) Evidence that public notice was given of the proposed change consistent with procedures 

approved by EPA, including the date of publication of such notice. 

 (g) Certification that public hearings(s) were held in accordance with the information provided 

in the public notice and the State's laws and constitution, if applicable. 

 (h) Compilation of public comments and the State's response thereto. 

2.2. Technical Support (a) Identification of all regulated pollutants affected by the plan. 

 (b) Identification of the locations of affected sources including the EPA 

attainment/nonattainment designation of the locations and the status of the attainment plan for 

the affected areas(s). 

 (c) Quantification of the changes in plan allowable emissions from the affected sources; 

estimates of changes in current actual emissions from affected sources or, where appropriate, 

quantification of changes in actual emissions from affected sources through calculations of the 

differences between certain baseline levels and allowable emissions anticipated as a result of the 

revision. 

 (d) The State's demonstration that the national ambient air quality standards, prevention of 

significant deterioration increments, reasonable further progress demonstration, and visibility, as 

applicable, are protected if the plan is approved and implemented. For all requests to redesignate 

an area to attainment for a national primary ambient air quality standard, under section 107 of the 

Act, a revision must be submitted to provide for the maintenance of the national primary ambient 

air quality standards for at least 10 years as required by section 175A of the Act. 

 (e) Modeling information required to support the proposed revision, including input data, output 

data, models used, justification of model selections, ambient monitoring data used, 

meteorological data used, justification for use of offsite data (where used), modes of models 

used, assumptions, and other information relevant to the determination of adequacy of the 

modeling analysis. 

 (f) Evidence, where necessary, that emission limitations are based on continuous emission 

reduction technology. 
 (g) Evidence that the plan contains emission limitations, work practice standards and 

recordkeeping/reporting requirements, where necessary, to ensure emission levels. 

 (h) Compliance/enforcement strategies, including how compliance will be determined in 

practice. 

 (i) Special economic and technological justifications required by any applicable EPA policies, 

or an explanation of why such justifications are not necessary. 

2.3. Exceptions 2.3.1. The EPA, for the purposes of expediting the review of the plan, has 

adopted a procedure referred to as parallel processing. Parallel processing allows a State to 

submit the plan prior to actual adoption by the State and provides an opportunity for the State to 

consider EPA comments prior to submission of a final plan for final review and action. Under 

these circumstances, the plan submitted will not be able to meet all of the requirements of 

paragraph 2.1 (all requirements of paragraph 2.2 will apply). As a result, the following 

exceptions apply to plans submitted explicitly for parallel processing: (a) The letter required by 

paragraph 2.1(a) shall request that EPA propose approval of the proposed plan by parallel 

processing. 

 (b) In lieu of paragraph 2.1(b) the State shall submit a schedule for final adoption or issuance of 

the plan. 

 (c) In lieu of paragraph 2.1(d) the plan shall include a copy of the proposed/draft regulation or 

document, including indication of the proposed changes to be made to the existing approved 

plan, where applicable. 

 (d) The requirements of paragraphs 2.1(e)2.1(h) shall not apply to plans submitted for parallel 

processing. 

2.3.2. The exceptions granted in paragraph 2.3.1 shall apply only to EPA's determination of 

proposed action and all requirements of paragraph 2.1 shall be met prior to publication of EPA's 

final determination of plan approvability. 

[55 FR 5830, Feb. 16, 1990, as amended at 56 FR 42219, Aug. 26, 1991; 56 FR 57288, Nov. 8, 

1991] 

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