Document ID: EPA-HQ-OAR-2003-0090-0004
Agency: epa
Document Type: Supporting & Related Material
Title: 
Posted Date: 2003-06-17T04:00Z

PROTOCOL
FOR
EARLY
ACTION
COMPACTS
DESIGNED
TO
ACHIEVE
AND
MAINTAIN
THE
8­
HOUR
OZONE
STANDARD
Purpose
of
Compact
Early
voluntary
8­
hour
air
quality
plans
can
be
developed
through
a
Compact
between
Local,
State
and
the
Environmental
Protection
Agency
(
EPA)
officials
for
areas
that
are
in
attainment
(
including
no
monitored
violations)
of
the
1­
hour
ozone
standard
but
approach
or
monitor
exceedances
of
the
8­
hour
standard.
These
early
action
plans
will
include
all
necessary
elements
of
a
comprehensive
air
quality
plan,
but
will
be
tailored
to
local
needs
and
driven
by
local
decisions.
The
Early
Action
Compact
is
designed
to
develop
and
implement
control
strategies,
account
for
growth,
and
achieve
and
maintain
the
8­
hour
ozone
standard.
This
approach
will
offer
a
more
expeditious
time
line
for
achieving
emission
reductions
than
the
EPA's
expected
8­
hour
implementation
rulemaking,
while
providing
"
fail­
safe"
provisions
for
the
area
to
revert
to
the
traditional
State
Implementation
Plan
(
SIP)
process
if
specific
milestones
are
not
met.
Early
Action
Compacts
should
complement
any
existing
Ozone
Flex
Agreements.

The
principles
of
the
tri­
party
Early
Action
Compact
to
be
executed
by
Local,
State
and
the
EPA
officials
are:
°
Early
planning,
implementation,
and
emission
reductions
leading
to
expeditious
attainment
and
maintenance
of
the
8­
hour
ozone
standard;
°
Local
control
of
the
measures
to
be
employed,
with
broad
based
public
input;
°
State
support
to
ensure
technical
integrity
of
the
early
action
plan;
°
Formal
incorporation
of
the
early
action
plan
into
the
SIP;
°
Deferral
of
the
effective
date
of
nonattainment
designation
and
related
requirements
so
long
as
all
Compact
terms
and
milestones
are
met;
and
°
Safeguards
to
return
areas
to
traditional
SIP
requirements
should
Compact
terms
and/
or
milestones
be
unfulfilled,
with
appropriate
credit
given
for
emission
reduction
measures
implemented.

Compact
Requirements
The
Compact
will
address
the
following
components:

A.
Milestones
and
Reporting

In
order
to
facilitate
self­
evaluation
and
communication
with
the
EPA,
TNRCC
and
stakeholders,
the
Early
Action
Compact
must
include
clearly
measurable
milestones
for
the
development
and
implementation
of
the
plan.
Local
areas
will
assess
and
report
their
progress
against
milestones
in
a
regular,
public
process,
at
least
every
six
months.
Milestones
will
include,
at
a
minimum:
­
Completion
of
emissions
inventories
and
modeling;
­
Adoption
of
control
strategies
that
demonstrate
attainment;
­
Completion
and
adoption
of
the
early
action
SIP
revision;
­
Attainment
not
later
than
December
31,
2007;
­
Post­
attainment
demonstration
and
plan
updates
as
outlined
in
Section
E;

In
the
absence
of
achieving
milestones,
including
attaining
the
8­
hour
ozone
standard
on
or
before
December
31,
2007,
the
area
will
be
deemed
in
violation
of
the
Compact
and
will
be
subject
to
the
full
planning
requirements
under
applicable
Clean
Air
Act
(
CAA)
standard
SIP
processes
including
requirements
defined
as
part
of
the
EPA's
8­
hour
implementation
rulemaking.
Such
an
area
will
be
subject
to
the
same
requirements
and
deadlines
which
would
have
been
effective
under
the
CAA
and
the
EPA's
8­
hour
designation
rulemaking
had
it
not
participated
in
this
program,
with
no
preferential
delays
or
exemptions
from
the
EPA.
However,
the
area
will
receive
appropriate
credit
in
the
standard
SIP
process
for
all
emission
reductions
from
measures
implemented
in
this
program.

If
the
area
has
had
the
effective
date
of
its
nonattainment
designation
deferred
and
the
area
does
not
reach
attainment
of
the
standard
by
December
31,
2007,
then
the
nonattainment
designation
will
be
effective
immediately.
If
the
EPA's
implementation
schedule
also
requires
SIP's
from
areas
on
or
before
December
31,
2007,
then
a
SIP
revision
demonstrating
attainment
by
the
new
attainment
date
will
be
due
for
the
nonattainment
area
no
later
than
December
31,
2008.
The
EPA
will
offer
areas
no
extensions
or
delays
of
the
applicable
attainment
date.

B.
Emissions
Inventory

Modeling
emissions
inventories
using
the
most
current
tools
available
will
be
completed
for
at
least
one
recent
episode
in
order
to
support
the
early
action
plan.
Emission
inventories
must
include:
­
1999
or
later
episode
reflective
of
a
typical
ozone
season
exceedance
that
meets
the
EPA
episode
selection
guidance
to
ensure
that
representative
meteorological
regimes
are
considered;
­
MOBILE6
data
with
link
based
Travel
Demand
Model
(
TDM)
mobile
data
in
urban
areas;
­
NONROAD
model
data
adjusted
for
local
equipment
populations
and
usage
rates;
­
Area
source
databased
when
possible
on
local
survey
data.

Further
episode
inventories
will
also
be
developed
over
time
to
fully
represent
the
variety
of
situations
that
typically
contribute
to
ozone
production
in
the
area
and
to
include
the
most
recent
developments.

Emission
inventories
will
be
compared
and
analyzed
for
trends
in
emission
sources
over
time.
This
will
improve
an
area's
understanding
of
the
trends
in
emissions
in
their
community
and
will
aid
in
verification
of
the
accuracy
of
the
inventories.

C.
Modeling

Emission
inventories
will
be
used
to
develop
SIP
quality
modeling
episodes
that
perform
within
the
EPA's
accepted
margin
of
accuracy,
including
a
base
case
and
future
case
on
or
before
December
31,
2007.
Therefore,
inventories
must
sufficiently
account
for
projected
future
growth
in
ozone
precursor
emissions,
particularly
from
stationary,
non­
road,
and
on­
road
mobile
sources.

Local
area
must
carefully
document
modeling
approach,
and
work
will
be
supported
and
reviewed
by
the
State
and
concurrently
reviewed
by
the
EPA.

Quantifiable
emission
reduction
measures
will
be
integrated
into
the
future
case
to
produce
one
or
more
control
cases.
These
control
cases
will
be
used
to
indicate
the
relative
effectiveness
of
different
measures
and
aid
in
selecting
appropriate
measures.

Prior
to
plan
implementation
the
control
strategies
should
be
determined
based
on
model
results
from
a
control
case
episode
that
shows
achievement
of
the
8­
hour
ozone
standard
on
or
before
December
31,
2007
through
implementation
of
the
control
strategies.

Communities
will
continue
to
develop
other
episodes
as
necessary
to
fully
represent
the
variety
of
situations
that
typically
contribute
to
ozone
production
in
the
area
and
to
support
the
plan
with
the
most
current
information
and
tools.
Other
episodes
may
also
indicate
necessary
revisions
to
ensure
that
sufficient
emission
reduction
measures
are
selected
and
implemented
to
continue
to
achieve
target
ozone
concentration
levels.

D.
Control
Strategies

After
all
adopted
Federal
and
State
or
Tribal
controls
that
have
been
or
will
be
implemented
by
the
attainment
date
of
December
31,
2007
are
accounted
for
in
the
modeling,
the
local
area
will
adopt
additional
local
controls,
as
necessary,
to
demonstrate
attainment
of
the
8­
hour
standard
by
December
31,
2007.
As
an
initial
matter,
by
June
16,
2003,
the
local
area
will
identify
and
describe
the
local
control
measures
that
will
be
considered
during
the
local
planning
process.
The
June
16,
2003
deadline
for
describing
the
control
measures
under
consideration
must
be
met
to
maintain
eligibility
in
the
program.
While
failure
to
list
a
measure
at
this
stage
would
not
preclude
its
adoption
later,
it
is
important
to
develop
a
reasonably
complete
initial
list
of
measures.
This
will
provide
the
public
with
clear
information
on
the
measures
under
consideration,
will
help
ensure
that
interested
parties
are
fully
aware
of
the
level
of
effort
and
local
commitment
that
is
necessary,
and
will
demonstrate
that
the
local
area
is
making
progress
toward
meeting
the
critical
March
31,
2004
deadline
for
adoption
of
local
measures.
The
resulting
local
plan
must
be
completed
and
submitted
to
the
State
or
Tribal
leader
by
March
31,
2004
for
inclusion
in
the
State
implementation
plan.
The
local
plan
shall
include
measures
that
are
specific,
quantified,
and
permanent,
and
that
if
approved
by
EPA,
will
be
Federally
enforceable
SIP
revisions.
The
March
31,
2004
submission
also
will
include
specific
implementation
dates
for
the
adopted
local
controls,
as
well
as
detailed
documentation
and
reporting
processes.

Controls
will
be
implemented
as
soon
as
practicable,
but
not
later
than
December
31,
2005.

Controls
will
be
designed
and
implemented
by
the
community
with
full
stakeholder
participation.

All
control
measures
will
be
incorporated
by
the
state
into
the
State
Implementation
Plan
and
submitted
to
the
EPA
for
review
and
approval.
In
the
event
that
areas
wish
to
add
or
substitute
measures
after
SIP
submittal,
plan
modifications
will
be
treated
as
SIP
revisions
and
facilitated
by
the
state.

E.
Maintenance
for
Growth

The
plan
must
include
a
component
to
address
emissions
growth
at
least
5
years
beyond
December
31,
2007,
ensuring
that
the
area
will
remain
in
attainment
of
the
8­
hour
standard
during
that
period.
This
future
attainment
maintenance
analysis
may
employ
one
or
more
of
the
following
or
any
other
appropriate
techniques
necessary
to
make
such
a
demonstration:
­
Modeling
analysis
showing
ozone
levels
below
the
8­
hour
standard
in
2012;
­
An
annual
review
of
growth
(
especially
mobile
and
stationary
source)
to
ensure
control
measures
and
growth
assumptions
are
adequate;
­
Identification
and
quantification
of
federal,
state,
and/
or
local
measures
indicating
sufficient
reductions
to
offset
growth
estimates.

The
plan
must
also
detail
a
continuing
planning
process
that
includes
modeling
updates
and
modeling
assumption
verification
(
particularly
growth
assumptions).
Modeling
updates
and
planning
processes
must
consider
and
evaluate:
­
all
relevant
actual
new
point
sources;
­
impacts
from
potential
new
source
growth;
and
­
future
transportation
patterns
and
their
impact
on
air
quality
in
a
manner
that
is
consistent
with
the
most
current
adopted
Long
Term
Transportation
Plan
and
most
current
trend
and
projections
of
local
motor
vehicle
emissions.

If
the
review
of
growth
demonstrates
that
adopted
control
measures
are
inadequate
to
address
growth
in
emissions,
additional
measures
will
be
added
to
the
plan.
Local
planning
processes
should
prepare
for
this
possibility.

F.
Public
Involvement

Public
involvement
will
be
conducted
in
all
stages
of
the
planning
and
implementation
process.

Public
education
programs
will
be
used
to
raise
awareness
regarding
issues,
opportunities
for
involvement
in
the
planning
process,
implementation
of
control
strategies,
and
any
other
issues
important
to
the
area.

Interested
stakeholders
will
be
involved
in
the
planning
process
as
early
as
possible.
Planning
meetings
will
be
open
to
the
public,
with
posted
meeting
times
and
locations.
Plan
drafts
will
be
publicly
available,
and
the
drafting
process
will
have
sufficient
opportunities
for
comment
from
all
interested
stakeholders.

Public
comment
on
the
proposed
final
plan
will
follow
the
normal
SIP
revision
process
as
implemented
by
the
State.

Semi­
annual
reports
detailing,
at
a
minimum,
progress
toward
milestones,
will
be
publicly
presented
and
publicly
available.

Local,
State
and
the
EPA
Commitments
Local
Areas
Local
areas
hold
primary
responsibility
for
the
development
and
implementation
of
the
plan,
as
well
as
for
maintaining
communication
with
all
parties,
including:
°
Drawing
up
the
Compact,
which
embodies
the
requirements
described
in
Sections
A­
F,
including
a
time
line
for
milestones.
°
Completing
and
signing
by
all
parties
of
the
Early
Action
Compact
no
later
than
December
31,
2002.
°
By
June
16,
2003,
the
local
area
will
identify
and
describe
the
local
control
measures
that
will
be
considered
during
the
local
planning
process.
°
By
March
31,
2004,
the
local
area
will
submit
their
early
action
plan
to
the
State/
EPA
to
permit
adequate
time
for
adoption
as
part
of
the
SIP
no
later
than
December
31,
2004.
°
Notifying
parties
as
soon
as
possible
of
issues
and
developments,
which
may
impact
performance
and
progress
toward
milestones.
°
Notifying
parties
as
soon
as
possible
if
Compact
milestones
will
be
missed
or
have
been
missed.
°
Notifying
parties
as
soon
as
possible
if
Compact
modification/
termination
is
to
be
requested.

State
The
state
will
assist
in
the
drafting
of
the
Early
Action
Compact
and
will
provide
support
to
areas
throughout
the
planning
and
implementation
process,
including:
°
Technical
assistance
in
the
development
of
emission
inventories,
modeling
process,
trend
analysis
and
quantification
and
comparison
of
control
measures;
°
Necessary
information
on
all
Federal
and
State
adopted
emission
reduction
measures
which
affect
the
area;
°
Critical
third
party
review
of
emissions
inventory,
modeling,
and
self­
evaluation
work;
°
Technical
and
strategic
assistance,
as
appropriate,
in
the
selection
and
implementation
of
control
strategies;
°
Technical
and
planning
assistance
in
developing
and
implementing
processes
to
address
the
impact
of
emissions
growth
beyond
the
attainment
date;
°
Maintenance
of
monitors
and
reporting
and
analysis
of
monitoring
data;
°
Support
for
public
education
efforts;
°
Coordinate
communication
between
local
areas
and
the
EPA
to
facilitate
continuing
the
EPA
review
of
local
work;
°
Expeditious
review
of
the
locally
developed
plan,
and
if
deemed
adequate,
propose
modification
of
the
SIP
to
adopt
the
early
action
plan;
°
Adoption
of
control
measures
into
the
SIP
as
expeditiously
as
possible.
The
final
complete
SIP
revision
must
be
completed,
adopted,
and
submitted
by
the
state
to
the
EPA
by
2004.
EPA
The
EPA
will
recognize
the
local
area's
and
State's
commitment
to
voluntarily
adopt
an
early,
substantive,
enforceable
and
scientifically­
based
attainment
plan
with
early
implementation
of
control
measures
by
becoming
a
party
to
the
Early
Action
Compact
developed
in
conformance
with
this
protocol.
°
The
EPA
will
provide
technical
assistance
to
the
state
and
local
area
in
the
development
of
the
early
action
plan.
°
The
EPA
will
move
quickly
to
review
and
approve
completed
plans
by
no
later
than
nine
months
after
submission
of
the
SIP
revision
by
the
state.
°
When
the
EPA's
8­
hour
implementation
guidelines
call
for
designations,
the
EPA
will
defer
the
effective
date
of
nonattainment
designation
and
related
requirements
for
participating
areas
that
fail
to
meet
the
8­
hour
ozone
standard
as
long
as
all
terms
and
milestones
of
the
compact
are
being
met,
including
submission
of
the
early
action
SIP
revision
by
2004.
°
Provided
that
the
monitors
in
the
area
reflect
attainment
by
December
31,
2007,
the
EPA
will
move
expeditiously
to
designate
the
area
as
attainment
and
impose
no
additional
requirements.
°
If
at
any
time
the
area
does
not
meet
all
the
terms
of
this
Compact,
including
meeting
agreed­
upon
milestones,
then
it
will
forfeit
its
participation
and
its
designation
(
or
redesignation
if
necessary)
will
become
effective
according
to
the
EPA's
8­
hour
ozone
implementation
guidelines.
The
EPA
will
offer
such
an
area
no
delays,
exemptions
or
other
favorable
treatment
because
of
its
previous
participation
in
this
program.
°
If
the
area
violates
the
standard
as
of
December
31,
2007,
and
the
area
has
had
the
effective
date
of
its
nonattainment
designation
deferred,
the
area's
nonattainment
designation
will
become
effective.
The
state
will
then
submit
a
revised
attainment
demonstration
SIP
revision
according
to
the
CAA
and
the
EPA's
8­
hour
implementation
rule,
unless
the
8­
hour
implementation
schedule
requires
SIP's
from
8­
hour
nonattainment
areas
before
December
31,
2008.
In
that
event,
a
revised
attainment
demonstration
SIP
revision
for
the
participating
area
will
be
due
as
soon
as
possible
but
no
later
than
December
31,
2008.
In
no
event
will
the
EPA
extend
the
attainment
date
for
the
area
beyond
that
required
by
the
CAA
and/
or
the
EPA's
8­
hour
implementation
rule.
°
No
area
will
be
allowed
to
renew
their
Early
Action
Compact
after
December
31,
2007,
or
initiate
a
new
compact
if
it
has
previously
forfeited
its
participation.