51310 Federal Register / Vol. 86, No. 176 / Wednesday, September 15, 2021 / Proposed Rules 

1National Ambient Air Quality Standards for 

Ozone, Final Rule, 80 FR 65292 (October 26, 2015). 

Although the level of the standard is specified in 

the units of ppm, ozone concentrations are also 

described in parts per billion (ppb). For example, 

0.070 ppm is equivalent to 70 ppb. 

2SIP revisions that are intended to meet the 

applicable requirements of section 110(a)(1) and (2) 

of the CAA are often referred to as infrastructure 

SIPs and the applicable elements under section 

110(a)(2) are referred to as infrastructure 

requirements. 

3See North Carolina v. EPA, 531 F.3d 896, 909– 

911 (D.C. Cir. 2008). 

TABLE 1 TO § 2520.104B–10—THE SUMMARY ANNUAL REPORT (SAR) UNDER ERISA: A CROSS-REFERENCE TO THE

ANNUAL REPORT—Continued 

SAR item Form 5500 large plan filer line 

items 

Form 5500 small plan filer line 

items Form 5500–SF filer line items 

11. Other expenses ................ Sch. H—Subtract the sum of 

2e(4) & 2i(5) from 2j.

Sch. I–2i ........................................ Line 8g. 

Signed at Washington, DC, this 2nd day of 

September, 2021. 

Ali Khawar, 

Acting Assistant Secretary, Employee Benefits 

Security Administration, U.S. Department of 

Labor. 

[FR Doc. 2021–19713 Filed 9–14–21; 8:45 am] 

BILLING CODE 4510–29–P 

ENVIRONMENTAL PROTECTION 

AGENCY 

40 CFR Part 52 

[EPA–R01–OAR–2021–0580; FRL–8967–01– 

R1] 

Air Plan Approval; Rhode Island; 2015 

Ozone NAAQS Interstate Transport 

Requirements 

AGENCY: Environmental Protection 

Agency (EPA). 

ACTION: Proposed rule. 

SUMMARY: The Clean Air Act (CAA) 

requires each State Implementation Plan 

(SIP) to contain adequate provisions 

prohibiting emissions that will have 

certain adverse air quality effects in 

other states. The State of Rhode Island 

made a submission to the 

Environmental Protection Agency (EPA) 

to address these requirements for the 

2015 ozone National Ambient Air 

Quality Standards (NAAQS). EPA is 

proposing to approve the submission for 

Rhode Island as meeting the 

requirement that each SIP contain 

adequate provisions to prohibit 

emissions that will significantly 

contribute to nonattainment or interfere 

with maintenance of the 2015 ozone 

NAAQS in any other state. 

DATES: Written comments must be 

received on or before October 15, 2021. 

ADDRESSES: Submit your comments, 

identified by Docket ID No. EPA–R01– 

OAR–2021–0580 at https://

www.regulations.gov, or via email to 

simcox.alison@epa.gov. For comments 

submitted at Regulations.gov, follow the 

online instructions for submitting 

comments. Once submitted, comments 

cannot be edited or removed from 

Regulations.gov. For either manner of 

submission, EPA may publish any 

comment received to its public docket. 

Do not submit electronically any 

information you consider to be 

Confidential Business Information (CBI) 

or other information whose disclosure is 

restricted by statute. Multimedia 

submissions (audio, video, etc.) must be 

accompanied by a written comment. 

The written comment is considered the 

official comment and should include 

discussion of all points you wish to 

make. EPA will generally not consider 

comments or comment contents located 

outside of the primary submission (i.e., 

on the web, cloud, or other file sharing 

system). For additional submission 

methods, please contact the person 

identified in the FOR FURTHER

INFORMATION CONTACT section. For the 

full EPA public comment policy, 

information about CBI or multimedia 

submissions, and general guidance on 

making effective comments, please visit 

https://www.epa.gov/dockets/ 

commenting-epa-dockets. Publicly 

available docket materials are available 

at https://www.regulations.gov or at the 

U.S. Environmental Protection Agency, 

EPA Region 1 Regional Office, Air and 

Radiation Division, 5 Post Office 

Square—Suite 100, Boston, MA. EPA 

requests that if at all possible, you 

contact the contact listed in the FOR

FURTHER INFORMATION CONTACT section to 

schedule your inspection. The Regional 

Office’s official hours of business are 

Monday through Friday, 8:30 a.m. to 

4:30 p.m., excluding legal holidays and 

facility closures due to COVID–19. 

FOR FURTHER INFORMATION CONTACT: 

Alison C. Simcox, Air Quality Branch, 

U.S. Environmental Protection Agency, 

EPA Region 1, 5 Post Office Square— 

Suite 100, (Mail code 05–2), Boston, MA 

02109—3912, tel. (617) 918–1684, email 

simcox.alison@epa.gov. 

SUPPLEMENTARY INFORMATION: 

Throughout this document whenever 

‘‘we,’’ ‘‘us,’’ or ‘‘our’’ is used, we mean 

EPA. 

Table of Contents 

I. Background 

II. Rhode Island Submission 

III. EPA Evaluation of Rhode Island’s 

Submission 

IV. Proposed Action 

V. Statutory and Executive Order Reviews 

I. Background 

On October 1, 2015, EPA promulgated 

a revision to the ozone NAAQS (2015 

ozone NAAQS), lowering the level of 

both the primary and secondary 

standards to 0.070 parts per million 

(ppm).1 Section 110(a)(1) of the CAA 

requires states to submit, within 3 years 

after promulgation of a new or revised 

standard, SIP submissions meeting the 

applicable requirements of section 

110(a)(2).2 One of these applicable 

requirements is found in section 

110(a)(2)(D)(i)(I), otherwise known as 

the good neighbor provision, which 

generally requires SIPs to contain 

adequate provisions to prohibit in-state 

emissions activities from having certain 

adverse air quality effects on other states 

due to interstate transport of pollution. 

There are two so-called ‘‘prongs’’ within 

CAA section 110(a)(2)(D)(i)(I). A SIP for 

a new or revised NAAQS must contain 

adequate provisions prohibiting any 

source or other type of emissions 

activity within the state from emitting 

air pollutants in amounts that will: 

Significantly contribute to 

nonattainment of the NAAQS in another 

state (prong 1) or interfere with 

maintenance of the NAAQS in another 

state (prong 2). EPA and states must give 

independent significance to prong 1 and 

prong 2 when evaluating downwind air 

quality problems under CAA section 

110(a)(2)(D)(i)(I).3

We note that EPA has addressed the 

interstate transport requirements of 

CAA section 110(a)(2)(D)(i)(I) with 

respect to prior ozone NAAQS in 

several regional regulatory actions, 

including the Cross-State Air Pollution 

Rule (CSAPR), which addressed 

interstate transport with respect to the 

1997 ozone NAAQS as well as the 1997 

and 2006 fine particulate matter 


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4See 76 FR 48208 (August 8, 2011). 

5 In 2019, the D.C. Circuit Court of Appeals 

remanded the CSAPR Update to the extent it failed 

to require upwind states to eliminate their 

significant contribution by the next applicable 

attainment date by which downwind states must 

come into compliance with the NAAQS, as 

established under CAA section 181(a). Wisconsin v. 

EPA, 938 F.3d 303, 313 (D.C. Cir. 2019). 

6The Revised Cross-State Air Pollution Rule 

Update for the 2008 Ozone NAAQS, 86 FR 23054 

(April 30, 2021), was signed by the EPA 

Administrator on March 15, 2021, and responded 

to the remand of the CSAPR Update, 81 FR 74504 

(October 26, 2016), and the vacatur of a separate 

rule, the CSAPR Close-Out, 83 FR 65878 (December 

21, 2018), by the D.C. Circuit. Wisconsin v. EPA, 

938 F.3d 303; New York v. EPA, 781 F. App’x. 4 

(D.C. Cir. 2019). 

7 In addition to the CSAPR rulemakings, other 

regional rulemakings addressing ozone transport 

include the NOX SIP Call, 63 FR 57356 (October 27, 

1998), and the Clean Air Interstate Rule (CAIR), 70 

FR 25162 (May 12, 2005). 

8See Notice of Availability of the Environmental 

Protection Agency’s Preliminary Interstate Ozone 

Transport Modeling Data for the 2015 Ozone 

National Ambient Air Quality Standard (NAAQS), 

82 FR 1733 (January 6, 2017). 

9 Id. at 1735. 

10See Information on the Interstate Transport 

State Implementation Plan Submissions for the 

2008 Ozone National Ambient Air Quality 

Standards under Clean Air Act Section 

110(a)(2)(D)(i)(I), October 27, 2017, available in the 

docket for this action or at https://www.epa.gov/ 

interstate-air-pollution-transport/interstate-airpollution-transport-memos-and-notices. 

11See Analysis of Contribution Thresholds for 

Use in Clean Air Act Section 110(a)(2)(D)(i)(I) 

Interstate Transport State Implementation Plan 

Submissions for the 2015 Ozone National Ambient 

Air Quality Standards, August 31, 2018) (‘‘August 

2018 memo’’), and Considerations for Identifying 

Maintenance Receptors for Use in Clean Air Act 

Section 110(a)(2)(D)(i)(I) Interstate Transport State 

Implementation Plan Submissions for the 2015 

Ozone National Ambient Air Quality Standards, 

October 19, 2018, available in the docket for this 

action or at https://www.epa.gov/airmarkets/memoand-supplemental-information-regarding-interstatetransport-sips-2015-ozone-naaqs. 

12See 85 FR 68964, 68981. The results of this 

modeling are included in a spreadsheet in the 

docket for this action. The underlying modeling 

files are available for public review in the docket 

for the Revised CSAPR Update (EPA–HQ–OAR– 

2020–0272). 

13See 86 FR 23054 at 23075, 23164 (April 30, 

2021). 

14See ‘‘Air Quality Modeling Technical Support 

Document for the Revised Cross-State Air Pollution 

Rule Update,’’ 86 FR 23054 (April 30, 2021), 

available in the docket for this action. This TSD was 

originally developed to support EPA’s action in the 

Revised CSAPR Update, as relating to outstanding 

good neighbor obligations under the 2008 ozone 

NAAQS. While developed in this separate context, 

the data and modeling outputs, including 

interpolated design values for 2021, may be 

evaluated with respect to the 2015 ozone NAAQS 

and used in support of this proposal. 

standards,4 the Cross-State Air Pollution 

Rule Update (CSAPR Update), and, most 

recently, the Revised CSAPR Update for 

the 2008 ozone NAAQS.5 6

Through the development and 

implementation of CSAPR and other 

regional rulemakings pursuant to the 

good neighbor provision,7 EPA, working 

in partnership with states, developed 

the following four-step interstate 

transport framework to address the 

requirements of the good neighbor 

provision for the ozone NAAQS: (1) 

Identify downwind air quality 

problems; (2) identify upwind states 

that impact those downwind air quality 

problems sufficiently such that they are 

considered ‘‘linked’’ and therefore 

warrant further review and analysis; (3) 

identify the emissions reductions 

necessary (if any), applying a multifactor analysis, to prevent linked 

upwind states identified in step 2 from 

contributing significantly to 

nonattainment or interfering with 

maintenance of the NAAQS at the 

locations of the downwind air quality 

problems; and (4) adopt permanent and 

enforceable measures needed to achieve 

those emissions reductions. 

EPA has released several documents 

containing information relevant to 

evaluating interstate transport with 

respect to the 2015 ozone NAAQS. First, 

on January 6, 2017, EPA published a 

notice of data availability (NODA) with 

preliminary interstate ozone transport 

modeling with projected ozone design 

values (DVs) for 2023 using a 2011 base 

year platform, on which we requested 

public comment.8 In the NODA, EPA 

used the year 2023 as the analytic year 

for this preliminary modeling because 

that year aligns with the expected 

attainment year for Moderate ozone 

nonattainment areas for the 2015 ozone 

NAAQS.9 On October 27, 2017, we 

released a memorandum (2017 memo) 

containing updated modeling data for 

2023, which incorporated changes made 

in response to comments on the NODA, 

and noted that the modeling may be 

useful for states developing SIPs to 

address good neighbor obligations for 

the 2008 ozone NAAQS.10 On March 27, 

2018, we issued a memorandum (March 

2018 memo) noting that the same 2023 

modeling data released in the 2017 

memo could also be useful for 

identifying potential downwind air 

quality problems with respect to the 

2015 ozone NAAQS at step 1 of the 

four-step interstate transport framework. 

The March 2018 memo also included 

the then newly available contribution 

modeling results to assist states in 

evaluating their impact on potential 

downwind air quality problems for the 

2015 ozone NAAQS under step 2 of the 

interstate transport framework. EPA 

subsequently issued two more 

memoranda in August and October 

2018, providing additional information 

to states developing good neighbor SIP 

submissions for the 2015 ozone NAAQS 

concerning, respectively, potential 

contribution thresholds that may be 

appropriate to apply in step 2 of the 

framework, and considerations for 

identifying downwind areas that may 

have problems maintaining the standard 

at step 1 of the framework.11

On October 30, 2020, in the Notice of 

Proposed Rulemaking for the Revised 

CSAPR Update, EPA released and 

accepted public comment on updated 

2023 modeling that used a 2016 

emissions platform developed under the 

EPA/Multi-Jurisdictional Organization 

(MJO)/state collaborative project as the 

primary source for the base year and 

future year emissions data.12 On March 

15, 2021, EPA signed the final Revised 

CSAPR Update using the same modeling 

released at proposal.13 Although Rhode 

Island relied on the modeling included 

in the March 2018 memo to develop its 

SIP submission as EPA had suggested, 

EPA now proposes to primarily rely on 

the updated and newly available 2016 

base year modeling in evaluating these 

submissions. By using the updated 

modeling results, EPA is using the most 

current and technically appropriate 

information as the primary basis for this 

proposed rulemaking. EPA’s 

independent analysis, which also 

evaluated historical monitoring data, 

recent DVs, and emissions trends, found 

that such information provides 

additional support and further 

substantiates the results of the 2016 base 

year modeling as the basis for this 

proposed rulemaking. Section III of this 

notice and the Air Quality Modeling 

technical support document (TSD) 

included in the docket for this proposal 

contain additional detail on this 

modeling.14

In the CSAPR, CSAPR Update, and 

the Revised CSAPR Update, EPA used a 

threshold of one percent of the NAAQS 

to determine whether a given upwind 

state was ‘‘linked’’ at step 2 of the 

interstate transport framework and 

would, therefore, contribute to 

downwind nonattainment and 

maintenance sites identified in step 1. If 

a state’s impact did not equal or exceed 

the one percent threshold, the upwind 

state was not ‘‘linked’’ to a downwind 

air quality problem, and EPA, therefore, 

concluded the state would not 

significantly contribute to 

nonattainment or interfere with 

maintenance of the NAAQS in the 

downwind states. However, if a state’s 

impact equaled or exceeded the one 

percent threshold, the state’s emissions 

were further evaluated in step 3, 

considering both air quality and cost 

considerations, to determine what, if 


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51312 Federal Register / Vol. 86, No. 176 / Wednesday, September 15, 2021 / Proposed Rules 

15We note that the court in Maryland did not 

have occasion to evaluate circumstances in which 

EPA may determine that an upwind linkage to a 

downwind air quality problem exists at steps 1 and 

2 of the interstate transport framework by a 

particular attainment date, but for reasons of 

impossibility or profound uncertainty the Agency is 

unable to mandate upwind pollution controls by 

that date. See Wisconsin, 938 F.3d at 320. The D.C. 

Circuit noted in Wisconsin that upon a sufficient 

showing, these circumstances may warrant 

flexibility in effectuating the purpose of the good 

neighbor provision. Such circumstances are not at 

issue in the present proposal. 

16CAA section 181(a); 40 CFR 51.1303; 

Additional Air Quality Designations for the 2015 

Ozone National Ambient Air Quality Standards, 83 

FR 25776 (June 4, 2018, effective Aug. 3, 2018). 

17EPA notes that Rhode Island submitted these 

regulations to EPA for approval into the Rhode 

Island SIP on September 20, 2019. On September 

3, 2020, EPA approved this submittal as meeting the 

state’s RACT obligations for the 2008 and 2015 

8-hour ozone NAAQSs as set forth in sections 

182(b), 182(f) and 184(b)(2) of the CAA. See 85 FR 

54926. 

18Certification of Rhode Island State 

Implementation Plan (SIP) Adequacy Regarding 

Clean Air Act Sections 110(a) and (2) for the 2015 

Ozone National Ambient Air Quality Standard 

(NAAQ) at 21. 

19We recognize that Rhode Island and other 

states may have been influenced by EPA’s 2018 

guidance memos (issued prior to the Wisconsin and 

Maryland decisions) in making good neighbor 

submissions that relied on EPA’s modeling of 2023. 

When there are intervening changes in relevant law 

or legal interpretation of CAA requirements, states 

are generally free to withdraw, supplement, and/or 

re-submit their SIP submissions with new analysis 

(in compliance with CAA procedures for SIP 

submissions). While Rhode Island has not done 

this, as explained in this section, the independent 

analysis EPA has conducted at its discretion 

confirms that the state’s submission in this instance 

is ultimately approvable. 

any, emissions might be deemed 

‘‘significant’’ and, thus, must be 

eliminated under the good neighbor 

provision. EPA is proposing to rely on 

the one percent threshold (which is 0.70 

ppb) for the purpose of evaluating 

Rhode Island’s contribution to 

nonattainment or maintenance of the 

2015 ozone NAAQS in downwind areas. 

Several D.C. Circuit court decisions 

address the issue of the relevant analytic 

year for the purposes of evaluating 

ozone transport air-quality problems. 

On September 13, 2019, the D.C. Circuit 

issued a decision in Wisconsin v. EPA, 

remanding the CSAPR Update to the 

extent that it failed to require upwind 

states to eliminate their significant 

contribution by the next applicable 

attainment date by which downwind 

states must come into compliance with 

the NAAQS, as established under CAA 

section 181(a). 938 F.3d 303, 313. 

On May 19, 2020, the D.C. Circuit 

issued a decision in Maryland v. EPA 

that cited the Wisconsin decision in 

holding that EPA must assess the impact 

of interstate transport on air quality at 

the next downwind attainment date, 

including Marginal area attainment 

dates, in evaluating the basis for EPA’s 

denial of a petition under CAA section 

126(b). Maryland v. EPA, 958 F.3d 1185, 

1203–04 (D.C. Cir. 2020). The court 

noted that ‘‘section 126(b) incorporates 

the Good Neighbor Provision,’’ and, 

therefore, ‘‘EPA must find a violation [of 

section 126] if an upwind source will 

significantly contribute to downwind 

nonattainment at the next downwind 

attainment deadline. Therefore, the 

agency must evaluate downwind air 

quality at that deadline, not at some 

later date.’’ Id. at 1204 (emphasis 

added). EPA interprets the court’s 

holding in Maryland as requiring the 

Agency, under the good neighbor 

provision, to assess downwind air 

quality by the next applicable 

attainment date, including a Marginal 

area attainment date under CAA section 

181 for ozone nonattainment.15 The 

Marginal area attainment date for the 

2015 ozone NAAQS is August 3, 2021.16

Historically, EPA has considered the 

full ozone season prior to the attainment 

date as supplying an appropriate 

analytic year for assessing good 

neighbor obligations. While this would 

be 2020 for an August 2021 attainment 

date (which falls within the 2021 ozone 

season running from May 1 to 

September 30), in this circumstance, 

when the 2020 ozone season is wholly 

in the past, it is appropriate to focus on 

2021 to address good neighbor 

obligations to the extent possible by the 

2021 attainment date. EPA does not 

believe it would be appropriate to select 

an analytical year that is wholly in the 

past, because the agency interprets the 

good neighbor provision as forward 

looking. See 86 FR 23054 at 23074; see 

also Wisconsin, 938 F.3d at 322. 

Consequently, in this proposal EPA will 

use the analytical year of 2021 to 

evaluate Rhode Island’s good neighbor 

obligation with respect to the 2015 

ozone NAAQS. 

II. Rhode Island Submission 

On September 23, 2020, Rhode Island 

submitted a SIP revision addressing, 

among other CAA requirements, the 

CAA section 110(a)(2)(D)(i)(I) interstate 

transport requirements for the 2015 

ozone NAAQS. Rhode Island asserted 

that its existing SIP contained adequate 

provisions to satisfy the requirements of 

CAA section 110(a)(2)(D)(i)(I). 

Rhode Island relied on the results of 

EPA’s modeling for the 2015 ozone 

NAAQS contained in the March 2018 

memorandum to identify potential 

downwind nonattainment and 

maintenance receptors that may be 

impacted by emissions from sources in 

Rhode Island in the year 2023. These 

results indicate Rhode Island’s greatest 

impact on any potential downwind 

nonattainment or maintenance receptor 

would be 0.04 ppb to a monitor in 

Queens, New York (monitoring site 

360810124). Rhode Island compared 

this value to a screening threshold of 

0.70 ppb, representing one percent of 

the 2015 ozone NAAQS. Because Rhode 

Island’s impacts to potential receptors 

in downwind states are projected to be 

less than 0.70 ppb in 2023, Rhode Island 

concluded that air emissions from 

sources within the state will not 

significantly contribute to 

nonattainment or interfere with 

maintenance of the 2015 ozone NAAQS 

in any other state. 

Rhode Island’s September 2020 good 

neighbor SIP submission also notes that, 

in 2018 and 2019, the state adopted 

several air pollution control regulations 

based on EPA Control Techniques 

Guidelines, which represent Reasonably 

Available Control Technology (RACT) 

for several industry sectors.17

In addition, to reduce air pollution 

from mobile sources, Rhode Island 

states in its submittal that it has adopted 

California’s vehicle emissions 

standards, implements an inspection 

and maintenance program for vehicle 

emissions-control systems and programs 

to enhance emissions control 

technology for diesel engines, and 

participates in regional and state efforts 

to build and incentivize zero-emission 

vehicle infrastructure and ownership. 

The state explains that these emissions 

reduction efforts ‘‘will result in lower 

contributions of ozone precursors from 

sources or activities within Rhode 

Island to downwind areas, and lead to 

greater air quality benefits locally and 

regionally.’’ 18

III. EPA Evaluation of Rhode Island’s 

Submission 

Rhode Island’s SIP submission relies 

on analysis of the year 2023 to show 

that Rhode Island does not significantly 

contribute to nonattainment or interfere 

with maintenance of the 2015 ozone 

NAAQS in any other state.19 As 

explained in Section 1 of this proposal, 

the EPA has conducted an updated 

analysis for the 2021 analytical year that 

is being used to evaluate Rhode Island’s 

transport SIP submission. While EPA 

has focused its analysis in this notice on 

the year 2021, modeling data in the 

record for years 2023 and 2028 confirm 

that no new linkages to downwind 

receptors are projected in later years. 

This is not surprising as it is consistent 


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20 531 F.3d at 910–911 (holding that EPA must 

give ‘‘independent significance’’ to each prong of 

CAA section 110(a)(2)(D)(i)(I)). 

21See 81 FR 74504 (October 26, 2016). Revised 

CSAPR Update also used this approach. See 86 FR 

23054 (April 30, 2021). This same concept, relying 

on both current monitoring data and modeling to 

define nonattainment receptor, was also applied in 

CAIR. See 70 FR 25241 (January 14, 2005); see also 

North Carolina, 531 F.3d at 913–914 (affirming as 

reasonable EPA’s approach to defining 

nonattainment in CAIR). 

22See 76 FR 48208 (August 8, 2011). CSAPR 

Update and Revised CSAPR Update also used this 

approach. See 81 FR 74504 (October 26, 2016); 86 

FR 23054 (April 30, 2021). 

23See 86 FR 23054 (April 30, 2021). The results 

of this modeling are included in a spreadsheet in 

the docket for this action. The underlying modeling 

files are available for public access in the docket for 

the Revised CSAPR Update (EPA–HQ–OAR–2020– 

0272). 

24The data are given in the ‘‘Air Quality 

Modeling Technical Support Document for the 

Revised Cross-State Air Pollution Rule Update’’ and 

‘‘Ozone Design Values and Contributions Revised 

CSAPR Update.xlsx,’’ which are included in the 

docket for this action. 

25This is because ground-level ozone is not 

emitted directly into the air but is formed by 

chemical reactions involving ozone precursors, 

chiefly NOX and VOCs, in the presence of sunlight. 

See 86 FR 23054, 23063. 

with an overall, long-term downward 

trend in emissions from the state. 

As explained in Section I of this 

notice, in consideration of the holdings 

in Wisconsin and Maryland, EPA’s 

analysis relies on 2021 as the relevant 

attainment year for evaluating Rhode 

Island’s good neighbor obligations with 

respect to the 2015 ozone NAAQS using 

the four-step interstate transport 

framework. In step 1, we identify 

locations where the Agency expects 

there to be nonattainment or 

maintenance receptors for the 2015 8- 

hour ozone NAAQS in the 2021 analytic 

year. Where EPA’s analysis shows that 

an area or site does not fall under the 

definition of a nonattainment or 

maintenance receptor in 2021, that site 

is excluded from further analysis under 

EPA’s four-step interstate transport 

framework. For areas that are identified 

as a nonattainment or maintenance 

receptor, we proceed to the next step of 

our four-step framework by identifying 

the upwind state’s contribution to those 

receptors. 

EPA’s approach to identifying ozone 

nonattainment and maintenance 

receptors in this action is consistent 

with the approach used in previous 

transport rulemakings. EPA’s approach 

gives independent consideration to both 

the ‘‘contribute significantly to 

nonattainment’’ and the ‘‘interfere with 

maintenance’’ prongs of CAA section 

110(a)(2)(D)(i)(I), consistent with the 

D.C. Circuit’s direction in North 

Carolina.20

For the purpose of this proposal, EPA 

identifies nonattainment receptors as 

those monitoring sites that are projected 

to have average design values that 

exceed the NAAQS and that are also 

measuring nonattainment based on the 

most recent monitored design values. 

This approach is consistent with prior 

transport rulemakings, such as CSAPR 

Update, where EPA defined 

nonattainment receptors as those areas 

that both currently monitor 

nonattainment and that EPA projects 

will be in nonattainment in the future 

analytic year.21

In addition, in this proposal, EPA 

identifies a receptor to be a 

‘‘maintenance’’ receptor for purposes of 

defining interference with maintenance, 

consistent with the method used in the 

CSAPR and upheld by the D.C. Circuit 

in EME Homer City Generation, L.P. v. 

EPA, 795 F.3d 118, 136 (D.C. Cir. 

2015).22 Specifically, monitoring sites 

with a projected maximum design value 

in 2021 that exceeds the NAAQS are 

considered maintenance receptors. 

EPA’s method of defining these 

receptors takes into account both 

measured data and reasonable 

projections based on modeling analysis. 

Recognizing that nonattainment 

receptors are also, by definition, 

maintenance receptors, EPA often uses 

the term ‘‘maintenance-only’’ to refer to 

receptors that are not currently 

nonattainment receptors. Consistent 

with the methodology described above, 

those sites that are currently measuring 

ozone concentrations below the level of 

the applicable NAAQS, but that are 

projected to be nonattainment based on 

the average or maximum design values, 

are also identified as maintenance-only 

receptors. 

To evaluate future air quality in steps 

1 and 2 of the interstate transport 

framework, EPA is using the 2016 and 

2023 base case emissions developed 

under the EPA/MJO/state collaborative 

emissions modeling platform project as 

the primary source for base year and 

2023 future year emissions data for this 

proposal.23 Because this platform does 

not include emissions for 2021, EPA 

developed an interpolation technique 

based on modeling for 2023 and 

measured ozone data to determine 

ozone concentrations for 2021. To 

estimate average and maximum design 

values for 2021, EPA first performed air 

quality modeling for 2016 and 2023 to 

obtain design values in 2023. The 2023 

design values were then coupled with 

the corresponding 2016 measured 

design values to estimate design values 

in 2021. Details on the modeling, 

including the interpolation 

methodology, can be found in the Air 

Quality Modeling TSD, found in the 

docket of this proposal. 

To quantify the contribution of 

emissions from specific upwind states 

on 2021 8-hour design values for the 

identified downwind nonattainment 

and maintenance receptors, EPA first 

performed nationwide, state-level ozone 

source apportionment modeling for 

2023. The source apportionment 

modeling provided contributions to 

ozone from precursor emissions of 

anthropogenic nitrogen oxides (NOX) 

and volatile organic compounds (VOCs) 

in each state, individually. The modeled 

contributions were then applied in a 

relative sense to the 2021 average design 

value to estimate the contributions in 

2021 from each state to each receptor. 

Details on the source apportionment 

modeling and the methods for 

determining contributions in 2021 are in 

the Air Quality Modeling TSD in the 

docket. 

The 2021 design values and 

contributions were examined to 

determine if Rhode Island contributes at 

or above the threshold of one percent of 

the 2015 ozone NAAQS (0.70 ppb) to 

any downwind nonattainment or 

maintenance receptor. The data 24

indicate that the highest contribution in 

2021 from Rhode Island to a downwind 

nonattainment or maintenance receptor 

is 0.09 ppb to a maintenance receptor in 

Fairfield County, Connecticut 

(monitoring site 90013007). The data 

also show modeled ozone contributions 

from Rhode Island to the design values 

of a larger set of monitoring sites 

(independent of attainment status) and 

indicate that the highest projected 

contribution in 2021 from Rhode Island 

to any of these sites is 2.50 ppb to 

Bristol County in Massachusetts 

(monitoring site 250051004; #242 on the 

Design Values and Contributions 

spreadsheet). While Rhode Island’s 

modeled contribution to the Bristol 

County monitor exceeds one percent of 

the 2015 ozone NAAQS, EPA’s analysis 

at step 1 does not identify the Bristol 

County monitor as a downwind area 

that may have problems maintaining the 

2015 ozone NAAQS. The Bristol County 

monitor’s projected average design 

value in 2021 is 65.7 ppb. 

EPA also analyzed emissions trends 

for ozone precursors in Rhode Island to 

support the findings from the air quality 

analysis. In evaluating emissions trends, 

we first reviewed the information 

submitted by Rhode Island and then 

reviewed additional information 

available to the Agency. We focused on 

state-wide emissions of nitrogen oxides 

and volatile organic compounds.25


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51314 Federal Register / Vol. 86, No. 176 / Wednesday, September 15, 2021 / Proposed Rules 

26Tier 3 Motor Vehicle Emission and Fuel 

Standards, 79 FR 23414 (April 28, 2014); Mobile 

Source Air Toxics Rule (MSAT2), 72 FR 8428 

(February 26, 2007); Heavy-Duty Engine and 

Vehicle Standards and Highway Diesel Fuel Sulfur 

Control Requirements, 66 FR 5002 (January 18, 

2001); Clean Air Nonroad Diesel Rule, 69 FR 38957 

(June 29, 2004); Locomotive and Marine Rule, 73 FR 

25098 (May 6, 2008); Marine Spark-Ignition and 

Small Spark-Ignition Engine Rule, 73 FR 59034 

(October 8, 2008); New Marine CompressionIgnition Engines at or Above 30 Liters per Cylinder 

Rule, 75 FR 22895 (April 30, 2010); Aircraft and 

Aircraft Engine Emissions Standards, 77 FR 36342 

(June 18, 2012). 27The annual emissions data for the years 2011 

through 2019 were obtained from EPA’s National 

Emissions Inventory website: https://www.epa.gov/ 

air-emissions-inventories/air-pollutant-emissionstrends-data. Note that emissions from 

miscellaneous sources are not included in the state 

totals. The emissions for 2021 and 2023 are based 

on the 2016 emissions modeling platform. See 

‘‘2005 thru 2019 + 2021_2023_2028 Annual State 

Tier 1 Emissions_v3’’ and the Emissions Modeling 

TSD in the docket for this action. 

Emissions from mobile sources, electric 

generating units (‘‘EGUs’’), industrial 

facilities, gasoline vapors, and chemical 

solvents are some of the major 

anthropogenic sources of ozone 

precursors. This evaluation looks at 

both past emissions trends, as well as 

projected trends. 

As shown in Table 1, for Rhode 

Island, between 2016 and 2023, annual 

total NOX and VOC emissions are 

projected to decline by 33 percent and 

5 percent, respectively. The projected 

reductions are a result of the 

implementation of existing control 

programs that will continue to decrease 

NOX and VOC emissions in Rhode 

Island, as indicated by EPA’s most 

recent 2021 and 2023 projected 

emissions. 

As shown in Table 2, on-road and 

nonroad mobile source emissions 

collectively comprise a large portion of 

Rhode Island’s total anthropogenic NOX

and VOC. For example, in 2019, NOx 

emissions from mobile sources in Rhode 

Island comprised 75 percent of total 

NOX emissions and 35 percent of total 

VOC emissions. 

The large decrease in NOX emissions 

between 2016 emissions and projected 

2023 emissions in Rhode Island is 

primarily driven by reductions in 

emissions from on-road and nonroad 

mobile sources. EPA projects that both 

VOC and NOX emissions will continue 

declining out to 2023 as newer vehicles 

and engines that are subject to the most 

recent, stringent mobile source 

standards replace older vehicles and 

engines.26

In summary, based on the projected 

downward trend in projected future 

emissions trends, in combination with 

the historical decline in actual 

emissions, there is no evidence to 

suggest that the overall emissions trend 

demonstrated in Table 2 would 

suddenly reverse or spike in 2021 

compared to historical emissions levels 

or those projected for 2023. Further, 

there is no evidence that the projected 

ozone precursor emissions trends 

beyond 2021 would not continue to 

show a decline in emissions. In 

addition, EPA’s normal practice is to 

include in our modeling only changes in 

NOX or VOC emissions that result from 

final regulatory actions. Any potential 

changes in NOX or VOC emissions that 

may result from possible future or 

proposed regulatory actions are 

speculative. 

This downward trend in emissions in 

Rhode Island adds support to the air 

quality analyses presented above and 

indicates that the contributions from 

emissions from sources in Rhode Island 

to ozone receptors in downwind states 

will continue to decline and remain 

below one percent of the NAAQS. 

TABLE 1—ANNUAL EMISSIONS OF NOX AND VOC FROM ANTHROPOGENIC SOURCES IN RHODE ISLAND

[Tons per year] 27

2011 2012 2013 2014 2015 2016 2017 2018 2019 Projected 

2021 

Projected 

2023 

RI ..........

NOX ...... 22,485 23,228 23,972 24,715 22,327 17,191 14,710 13,900 13,226 12,082 11,535 

RI ..........

VOC ...... 23,167 23,275 23,382 23,490 21,896 19,086 17,893 17,489 17,086 18,260 18,089 

TABLE 2—ANNUAL EMISSIONS OF NOX AND VOC FROM ONROAD AND NONROAD VEHICLES IN RHODE ISLAND

[Tons per year] 

2011 2012 2013 2014 2015 2016 2017 2018 2019 Projected 

2021 

Projected 

2023 

RI ..........

NOX ...... 15,164 16,679 18,195 19,711 17,625 12,792 10,614 10,000 9,386 7,745 6,919 

RI ..........

VOC ...... 12,095 11,408 10,722 10,036 9,112 6,971 6,448 6,044 5,641 4,870 4,582 

Thus, EPA’s air quality and emissions 

analyses indicate that emissions from 

Rhode Island will not significantly 

contribute to nonattainment or interfere 

with maintenance of the 2015 ozone 

NAAQS in any other state in 2021. 

IV. Proposed Action 

As discussed in Section II, Rhode 

Island concluded that emissions from 

sources in their state will not contribute 

to nonattainment or interfere with 

maintenance of the 2015 ozone NAAQS 

in any other state. EPA conducted an 

independent analysis to determine 

whether the state’s conclusions would 

remain valid for the analytic year 2021, 

based on more recent data and updated 

modeling. EPA’s evaluation of measured 

and monitored data, including 

interpolating values to generate a 

reasonable expectation of air quality and 

contribution values in 2021, as 

discussed in Section III, is consistent 

with conclusions made by Rhode Island 

that emissions from sources in the state 

will not contribute to nonattainment or 

interfere with maintenance of the 2015 

ozone NAAQS in any other state. This 

conclusion remains true for later 

modeled years 2023 and 2028 in the 

updated modeling EPA is relying on. 

Because our analysis corroborates the 

state’s conclusion that emissions from 

within its state do not contribute to 

nonattainment or interfere with 

maintenance of the 2015 ozone NAAQS 

in another state, we propose to approve 

the Rhode Island submission as meeting 


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Federal Register / Vol. 86, No. 176 / Wednesday, September 15, 2021 / Proposed Rules 51315 

the requirements of CAA section 

110(a)(2)(D)(i)(I). 

EPA is soliciting public comments on 

this notice. Significant comments will 

be considered before taking final action. 

Interested parties may participate in the 

Federal rulemaking procedure by 

submitting written comments to this 

proposed rule by following the 

instructions listed in the ADDRESSES

section of this Federal Register. 

V. Statutory and Executive Order 

Reviews 

Under the Clean Air Act, the 

Administrator is required to approve a 

SIP submission that complies with the 

provisions of the Act and applicable 

Federal regulations. 42 U.S.C. 7410(k); 

40 CFR 52.02(a). Thus, in reviewing SIP 

submissions, EPA’s role is to approve 

state choices, provided that they meet 

the criteria of the Clean Air Act. 

Accordingly, this proposed action 

merely approves state law as meeting 

Federal requirements and does not 

impose additional requirements beyond 

those imposed by state law. For that 

reason, this proposed action: 

• Is not a significant regulatory action 

subject to review by the Office of 

Management and Budget under 

Executive Orders 12866 (58 FR 51735, 

October 4, 1993) and 13563 (76 FR 3821, 

January 21, 2011); 

• Does not impose an information 

collection burden under the provisions 

of the Paperwork Reduction Act (44 

U.S.C. 3501 et seq.); 

• Is certified as not having a 

significant economic impact on a 

substantial number of small entities 

under the Regulatory Flexibility Act (5 

U.S.C. 601 et seq.); 

• Does not contain any unfunded 

mandate or significantly or uniquely 

affect small governments, as described 

in the Unfunded Mandates Reform Act 

of 1995 (Pub. L. 104–4); 

• Does not have federalism 

implications as specified in Executive 

Order 13132 (64 FR 43255, August 10, 

1999); 

• Is not an economically significant 

regulatory action based on health or 

safety risks subject to Executive Order 

13045 (62 FR 19885, April 23, 1997); 

• Is not a significant regulatory action 

subject to Executive Order 13211 (66 FR 

28355, May 22, 2001); 

• Is not subject to requirements of 

Section 12(d) of the National 

Technology Transfer and Advancement 

Act of 1995 (15 U.S.C. 272 note) because 

application of those requirements would 

be inconsistent with the Clean Air Act; 

and 

• Does not provide EPA with the 

discretionary authority to address, as 

appropriate, disproportionate human 

health or environmental effects, using 

practicable and legally permissible 

methods, under Executive Order 12898 

(59 FR 7629, February 16, 1994). 

In addition, the SIP is not approved 

to apply on any Indian reservation land 

or in any other area where EPA or an 

Indian tribe has demonstrated that a 

tribe has jurisdiction. In those areas of 

Indian country, the rule does not have 

tribal implications and will not impose 

substantial direct costs on tribal 

governments or preempt tribal law as 

specified by Executive Order 13175 (65 

FR 67249, November 9, 2000). 

List of Subjects in 40 CFR Part 52 

Environmental protection, Air 

pollution control, Carbon monoxide, 

Incorporation by reference, 

Intergovernmental relations, Lead, 

Nitrogen dioxide, Ozone, Particulate 

matter, Reporting and recordkeeping 

requirements, Sulfur oxides, Volatile 

organic compounds. 

Dated: September 9, 2021. 

Deborah Szaro, 

Acting Regional Administrator, EPA Region 

1. 

[FR Doc. 2021–19836 Filed 9–14–21; 8:45 am] 

BILLING CODE 6560–50–P 

ENVIRONMENTAL PROTECTION 

AGENCY 

40 CFR Part 52 

[EPA–R03–OAR–2017–0290; FRL–8942–01– 

R3] 

Air Plan Partial Disapproval; 

Commonwealth of Pennsylvania; 

Reasonably Available Control 

Technology Regulations for the 1997 

and 2008 Ozone National Ambient Air 

Quality Standards 

AGENCY: Environmental Protection 

Agency (EPA). 

ACTION: Proposed rule. 

SUMMARY: As a result of the Third 

Circuit Court of Appeals’ decision, 

dated August 27, 2020, in Sierra Club v. 

U.S. EPA, No. 19–2562 (3rd Cir. 2020), 

the Environmental Protection Agency 

(EPA) is proposing to partially 

disapprove a specific part of a state 

implementation plan (SIP) revision that 

had been previously approved by EPA. 

On May 19, 2019, EPA fully approved 

certain parts of a SIP revision submitted 

by the Commonwealth of Pennsylvania 

to address reasonably available control 

technology (RACT) for the 1997 and 

2008 ozone national ambient air quality 

standards (NAAQS), and conditionally 

approved other parts of that submission. 

The court vacated EPA’s approval of a 

portion of the SIP revision, as discussed 

below, and ordered that EPA either 

approve a new SIP revision addressing 

the court’s decision or promulgate a 

federal implementation plan (FIP) 

within two years. EPA is therefore 

proposing to disapprove the portion of 

the SIP submission addressed by the 

court’s decision. This action is being 

taken under the Clean Air Act (CAA). 

DATES: Written comments must be 

received on or before October 15, 2021. 

ADDRESSES: Submit your comments, 

identified by Docket ID No. EPA–R03– 

OAR–2017–0290 at https://

www.regulations.gov, or via email to 

gordon.mike@epa.gov. For comments 

submitted at Regulations.gov, follow the 

online instructions for submitting 

comments. Once submitted, comments 

cannot be edited or removed from 

Regulations.gov. For either manner of 

submission, EPA may publish any 

comment received to its public docket. 

Do not submit electronically any 

information you consider to be 

confidential business information (CBI) 

or other information whose disclosure is 

restricted by statute. Multimedia 

submissions (audio, video, etc.) must be 

accompanied by a written comment. 

The written comment is considered the 

official comment and should include 

discussion of all points you wish to 

make. EPA will generally not consider 

comments or comment contents located 

outside of the primary submission (i.e., 

on the web, cloud, or other file sharing 

system). For additional submission 

methods, please contact the person 

identified in the FOR FURTHER

INFORMATION CONTACT section. For the 

full EPA public comment policy, 

information about CBI or multimedia 

submissions, and general guidance on 

making effective comments, please visit 

https://www.epa.gov/dockets/ 

commenting-epa-dockets. 

FOR FURTHER INFORMATION CONTACT: 

Dave Talley, Planning & Implementation 

Branch (3AD30), Air & Radiation 

Division, U.S. Environmental Protection 

Agency, Region III, 1650 Arch Street, 

Philadelphia, Pennsylvania 19103. The 

telephone number is (215) 814–2117. 

Mr. Talley can also be reached via 

electronic mail at talley.david@epa.gov. 

SUPPLEMENTARY INFORMATION: On May 

16, 2016, the Pennsylvania Department 

of Environmental Protection (PADEP) 

submitted a revision to its SIP for RACT 

Regulations for the 1997 and 2008 ozone 

NAAQS. 

I. Background 

On May 9, 2019, EPA published a 

final action fully approving certain 


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