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SIP 101Introduction to Air Quality Planning

Module 1: Understanding Regulatory Requirements and Processes

Version August 1, 2015

Developed by the University of North Carolina Institute for the Environment for the Lake Michigan Air Directors Consortium

Contact: Zac Adelman (UNC-IE), [email protected]

Module 1: Purpose and Objectives

• Define State Implementation Plans (SIPs)

– What are they and why are they needed?

• Objectives

– Provide the regulatory background required for preparing a SIP

– Understand the types and structures of SIPs

– Learn how SIPs are used in the context of air quality management

SIP 101 - Introduction to Air Quality Planning: Module 1 2

Module 1 Road Map

• Introduction• Air Quality Management• Clean Air Act (CAA)• National Ambient Air Quality

Standards (NAAQS)• Nonattainment Areas (NAAs) and

Redesignation• State Implementation Plans (SIPs)• EPA Guidance on SIPs• SIP Components• Attainment and maintenance plans• Interstate Transport • Conformity


State Implementation Plans (SIPs)

SIPs are air pollution reduction measures and strategies developed/adopted by a State/Tribe and approved by EPA for attaining and maintaining the National Ambient Air Quality Standards (NAAQS)



• Purpose

– Demonstrate that a State/Tribe has the basic AQM program components in place to implement, monitor, and enforce a new or revised NAAQS

– Identify emissions control requirements that will be used to attain/maintain the NAAQS

• Tribes submit Tribal Implementation Plans (TIPs)


Air Quality Management

Reference(s):

• Air Pollution Training Institute (APTI), Air Quality Planning for New Non-Attainment Areas: Timelines and Designations

• EPA, Air Quality Management Online Portal

http://www.epa.gov/apti/video/sip2009/ScavoJones.pdf

http://www.epa.gov/airquality/aqmportal/

IntroductionAir Quality Management (AQM)

• A system that combines emissions data, air quality information, promulgation of regulations, regulations to meet Clean Air Act (CAA) goals and requirements, and enforcement

• Collaborative process between EPA, States, Local, and Tribal (S/L/T) agencies



• AQM components (responsibility):– Setting NAAQS (EPA)

– Designing and executing SIPs to comply with NAAQS (EPA, S/L/T)

– Assessing and measuring progress of air quality (S/L/T)

• SIPs are the framework to provide control strategies that achieve the NAAQS or maintain air pollution levels below the NAAQS



• AQM is multidisciplinary– Legal, technical, and public policy experts craft defensible

air quality regulations– Physicians, public health professionals, and scientists

develop protective limits on pollution exposure levels– Atmospheric scientists apply decision support tools to

develop and evaluate emissions control strategies– Chemists develop and deploy monitors to measure

ambient air pollution concentrations– Engineers develop and apply emissions control devices

and new processes to reduce emissions– S/L/T planners integrate the above into plans and submit

to EPA for review/approval



• AQM is a cooperative process– EPA and S/L/T agencies communicate on approaches

to meeting air quality standards• Federal EPA Office of Air Quality Planning and Standards

crafts the regulations

• Regional EPA Offices serve as the liaisons with S/L/Ts

– S/L/Ts have flexibility in which emissions sources to control in order to meet air quality goals

– Public participation allows stakeholders to monitor and engage in the AQM process



• Role of the S/L/T agency– Where the rubber meets the road: develop, implement,

enforce, and evaluate air pollution mitigation strategies– Understand the source/fate/transport/background of

air pollution within the jurisdiction in the context of Federal air pollution laws

– Inventory emissions sources and control technologies within the S/L/T jurisdiction

– Issue and enforce permits to polluters– Center of communication for stakeholder processes


The Clean Air Act (CAA)

Reference(s):

• Air Pollution Training Institute (APTI), General SIP Requirements, Pt 1

• EPA, SIP Processing Manual, SIP 101 Presentation

• Clean Air Act, Title I

http://www.epa.gov/apti/video/sip2009/MarciaSpink.pdf

https://cfpub.epa.gov/oarwebadmin/sipman/sipman/Content/chap1/SIP101.ppt


The Clean Air Act (CAA) requires EPA to set NAAQS for criteria air pollutants considered harmful to public health and the environment



• Two Types of Standards:

– Primary – set limits to protect public health, including sensitive populations (asthmatics, children, elderly)

– Secondary – limits to protect public welfare, including decreased visibility, damage to animals, crops, vegetation, and buildings



• EPA sets limits, for specific pollutants, on how much of a pollutant can be in the air anywhere in the U.S.

• Gives EPA, States, and Tribes enforcement powers– Authority is delegated to the States if they show that they

have the ability to implement a program

• States do much of the work to carry out the Act– Planning, implementation, enforcement

• Allows the public to participate in the process• Requires EPA or States to take action against violators



• Tribal Authority Rule (TAR) identifies those provisions of the CAA for which it is appropriate to treat eligible Tribes in the same manner as States– See Oklahoma Dept. of Env. Quality v EPA, 740

F.3d 185 (D.C. Cir. 2014)– Identifies that tribes can be found eligible for most

provisions of the CAA



• CAA allows EPA to find tribes eligible to be “treated in a manner similar to a State” so tribes can implement provisions of the CAA that are appropriate for their areas

• EPA will implement the CAA and provisions of the CAA in Indian country that the tribes do not implement



1970 1980 1990

JUL 1970EPA formed

1990 CAA Amendments• Regulations for nonattainment areas• New requirements for vehicles and fuels• OTR/OTC • Acid rain cap and trade (Title IV)• Stratospheric O3

• Stronger enforcement authority

APR 1971NAAQS established

1970 CAA• NAAQS authority• 1975 attainment deadline• SIP guidelines• Emissions standards for

industry and automobiles• Hazardous Air Pollutants

1975States to attain NAAQS; 95% emissions reductions from cars

1977 CAA Amendments• New Source Review (NSR)• Prevention of Significant Deterioration (PSD)• Class I Areas• Extended Attainment Deadlines• CASAC

SIP 101 - Introduction to Air Quality Planning: Module 1

MAY 31, 19721st SIPs approved

18

1990 CAA Amendments

• Title I: Air pollution prevention and control• Title II: Provisions relating to mobile sources• Title III: General provisions including Tribal authority,

emergency authority, and citizen suit provisions• Title IV: Acid deposition• Title V: Operating permits• Title VI: Stratospheric O3

• Title VII: Enforcement provisions• Title VIII: Miscellaneous provisions• Title IV: Clean air research• Title X: Disadvantaged business concerns• Title XI: Clean air employment transition assistanceSIP 101 - Introduction to Air Quality Planning: Module 1 19

CAA Title IAir Pollution Prevention and Control

• Part A – Air Quality and Emissions Limitations

• Part B – Stratospheric Ozone (repealed for CAA Title VI)

• Part C – Prevention of Significant Deterioration (PSD)

• Part D – Nonattainment Area (NAA) Plan Requirements


CAA Section 108

• Mandates the EPA Administrator to identify and set national standards for pollutants with adverse human and ecological effects

• EPA reviews each standard at least once every 5 years

• EPA to recommend pollution control techniques

CAA Section 109

• Promulgation (40 CFR)

• Primary and secondary standards

• NAAQS review process (CASAC, peer, and public)

CAA Title I – Part A Sections 108 & 109National Ambient Air Quality Standards (NAAQS)


• Primary, health-based standards “requisite” to protect public health with an adequate margin of safety

– Public health policy judgments required to protect sensitive groups, not most sensitive individual, from adverse effects

– Standards are not “risk free” and not based on cost



• Secondary, welfare-based standards required to protect agricultural crops and ecosystems from adverse effects

– Includes visibility impairment, damage to animals, crops, vegetation, and buildings



CAA Title I Part A Section 110 The Infrastructure SIP

• Demonstrate that the State has the infrastructure to determine air quality, identify NAAQS violations, and carry out enforcement of regulations

• Provides states authority for implementation, maintenance and enforcement of primary and secondary NAAQS

• Due to EPA within 3 years of new or revised NAAQS, following reasonable notice (usually 30 days) for public comment and opportunity for public hearing




• Part B – Stratospheric Ozone




• PSD for new sources in attainment/unclassifiable areas

• Permits for new sources in NAA’s– New Source Review (NSR)

• Objectives– Preserve and enhance the air quality in Class I

areas of special natural, recreational, scenic, or historic value

– Ensure that the emissions sources from one State don’t interfere with attainment of areas in other States

CAA Title I Part CPrevention of Significant Deterioration (PSD)

Subpart 1: Clean AirSubpart 2: Visibility




• Part B – Stratospheric Ozone




CAA Title I Part DNonattainment Area Requirements

• Attain NAAQS within a specified period• Submit a SIP with:

– Emissions inventory– Permits– Control measures

and plans to reach standards (attainment demonstration)

– Reasonable further progress (RFP)– Contingency measures– Maintenance plan to meet NAAQS for 10 years after

redesignation to attainment


CAA Title I Part D The Nonattainment Area (NAA) SIPs

• Subpart 1 (Section 172): General provisions

• Subpart 2 (Section 182): Ozone

• Subpart 3 (Section 187): Carbon Monoxide

• Subpart 4 (Section 189): Particulate Matter


CAA Title I Part D The Nonattainment Area (NAA) SIPs

• Subpart 5 (Section 191): SOx/NOx/Pb SIP

• Subpart 6 (Section 193): General Savings

– Rules or controls promulgated for NAAs before November 15, 1990 shall remain in effect

– New rules or modifications must ensure equivalent or greater emissions reductions


The National Ambient Air Quality Standards

Reference(s):• Code of Federal Register, Title 40, Parts 50-52• EPA, National Ambient Air Quality Standards website• Clean Air Act, Title I• APTI, Air Quality Planning for New Non-Attainment Areas: Timelines and

Designations• Benjamin L., “NAAQS, SIP, Regional Haze Update”, 2014 Region 4

Modeler’s Workshop, November 5, 2014.

http://www.epa.gov/air/criteria.html

http://www.epa.gov/apti/video/sip2009/ScavoJones.pdf

http://www.epa.gov/region4/air/modeling/2014_R4_Modelers_Workshop_PDFs/Benjamin_Modelers_Workshop_Presentation_2014.pdf

Code of Federal Regulations Title 40 (Part 50)National Ambient Air Quality Standards (NAAQS)


Code of Federal Regulations Title 40 (Part 50)National Ambient Air Quality Standards (NAAQS)

The Fine Print (Very Important):

(1) Final rule signed October 15, 2008. The 1978 lead standard (1.5 µg/m3 as a quarterly average) remains in effect until one year after an area is designated for the 2008 standard, except that in areas designated nonattainment for the 1978, the 1978 standard remains in effect until implementation plans to attain or maintain the 2008 standard are approved.(2) The official level of the annual NO2 standard is 0.053 ppm, equal to 53 ppb, which is shown here for the purpose of clearer comparison to the 1-hour standard.(3) Final rule signed March 12, 2008. The 1997 ozone standard (0.08 ppm, annual fourth-highest daily maximum 8-hour concentration, averaged over 3 years) and related implementation rules remain in place. In 1997, EPA revoked the 1-hour ozone standard (0.12 ppm, not to be exceeded more than once per year) in all areas, although some areas have continued obligations under that standard (“anti-backsliding”). The 1-hour ozone standard is attained when the expected number of days per calendar year with maximum hourly average concentrations above 0.12 ppm is less than or equal to 1.(4) Final rule signed June 2, 2010. The 1971 annual and 24-hour SO2 standards were revoked in that same rulemaking. However, these standards remain in effect until one year after an area is designated for the 2010 standard, except in areas designated nonattainment for the 1971 standards, where the 1971 standards remain in effect until implementation plans to attain or maintain the 2010 standard are approved.


• 23 subparts detailing State SIP requirements

• 40 CFR Part 51 is the State SIP User’s Manual

• Find 40 CFR Part 51 on www.ecfr.gov and read

Code of Federal Register Title 40 (Part 51)Preparation, Adoption, and Submittal of SIPs


http://www.ecfr.gov

• Record of the EPA Administrator’s

approval, disapproval, and promulgation

of State SIPs

• Every State/Tribe/Territory has its own

subpart under Part 52

• Promulgation - the act of formally

proclaiming or declaring a new law

after its enactment.

• For U.S. environmental regulations

formal promulgation occurs after EPA considers all public comments

received on the proposal and follows publication of the final rule in

the Federal Register (Part 52).

Code of Federal Regulations Title 40 (Part 52)Approval and Promulgation of SIPs

www.ecfr.gov


http://www.ecfr.gov

Current NAAQS Timeline

Pollutant

Final NAAQS

Date (or

Projection)

Infrastructure

SIP Due

Designations

Effective

Attainment

Demonstration

Due

Attainment

Date

Timing t=0 t+3 yearst+2 year

d=0d+(18-48 mos) d+5* years

PM2.5 (2006) Oct 2006 Oct 2009 Dec 2009 Dec 2014Dec 2015 (Mod)

Dec 2019 (Ser)

Pb (2008) Oct 2008 Oct 2011Dec

2010/2011

June

2012/2013

Dec

2015/2016

NO2 (primary) Jan 2010 Jan 2013 Feb 2012 none none

SO2 (primary) Jun 2010 Jun 2013Oct 2013/

Jul 2016Apr 2015 Oct 2018

Ozone (2008) Mar 2008 Mar 2011 Jul 2012 2015 2015/2032

PM2.5 (2012)

(current review)Dec 2012 Dec 2015 Apr 2015 Oct 2016

Dec 2021 (Mod)

Dec 2025 (Ser)

Ozone

(current review)Oct 2015 Oct 2018 Dec 2017 Dec 2020/2021 2020-2037


NAAQS Process: Reviews and Roles

• Planning workshop by EPA, experts, public• Integrated Science Assessment (ISA) by EPA

– Establishes most policy relevant science

• Risk/Exposure Assessment (REA) by EPA– Quantifies exposures and risks– Uncertainties

• Policy Assessment (PA) by EPA– “Bridge the Gap” between ISA/REA and the EPA Administrator

• Clean Air Scientific Advisory Committee (CASAC)– Non-EPA scientific, medical, and policy experts– Technical advice to the Administrator on NAAQS

NAAQS Review


NAAQS Process: Reviews and Roles

• Public Comment Period• Notice of Proposed Rulemaking (NPR) by EPA• Public comment period on NPR• Final Rule

Regulatory Impact Analyses (RIA)

• Inform public and States about potential costs and benefits of new NAAQS

• Separate from NAAQS decision-making process


NAAQS Process

Peer-reviewed science

Integrated Science Assessment

CASAC review & public comment

Workshop on science-policy

issues

Integrated Review Plan

Risk/Exposure Assessment

Policy Assessment

EPA decision making and draft proposal notice

Interagency Review

EPA proposed decision

Public Hearings and comments

EPA decision making

Interagency Review

EPA final decision

ParticipantsEPAPublicCASAC


Nonattainment Areas & Redesignation

Reference(s):

• EPA Greenbook

• CFR 40, Part 81

• EPA, Redesignation Guidance

http://www.epa.gov/airquality/greenbook

http://www.epa.gov/groundlevelozone/designations/1997standards/redesig/guidance.htm

Nonattainment Area (NAA)

• Areas of the country where air pollution levels exceed the NAAQS

• An area may be a NAA for one pollutant but not another

• NAAs require plans to meet the NAAQS

– States must submit NAA SIPs

– Sanctions and FIPs are a last resort


Attainment Designation: CAA 107(d)

• Within 1 year of promulgation of new or revised NAAQS– States and Tribes shall submit to EPA a list of all areas

recommended as• Nonattainment• Attainment• Unclassifiable

• EPA must notify States and Tribes of changes to their recommendations no later than 120 days prior to the final designations

• Within 2 years of promulgation of new or revised NAAQS– EPA uses monitoring, state submittals, and other technical data

to make final NAAQS attainment designations – EPA may take up to 1 additional year if there is insufficient

information to promulgate the designations


• Record of the EPA Administrator’s designations (and redesignations) of attainment, nonattainment, and unclassifiable

• Subpart A: Glossary

• Subpart B: Air Quality Control Region Boundaries

• Subpart C: Section 107 Attainment Status Designations

• Subpart D: Identification of Sensitive Class I Areas

Code of Federal Register Title 40 (Part 81)Designation of Areas for Air Quality Planning Purposes


Designation Definitions

• Attainment– Any area that meets the NAAQS

• Nonattainment– Any area that does not meet primary and secondary

NAAQS for that pollutant– Any area that contributes to the ambient air quality in

a nearby areas that does not meet primary and secondary NAAQS for that pollutant

• Unclassifiable– Any area with insufficient air quality data to

determine the status for that area


Designations

• Designations based on several factors

– Monitoring data

– Emissions-related data

– Meteorology/transport patterns

– Geography/topography

– Jurisdictional boundaries


Designations

• NAA Boundaries– EPA recommends using a Metropolitan Statistical Area

(MSA) or Combined Statistical Area (CSA) as the default spatial unit for O3 and PM2.5 non-attainment areas• MSA falls completely within a state

• CSA may fall within multiple states

– States are required to make recommendations to EPA on the NAA boundary

– EPA ultimately determines the NAA boundary


Designation Guidance

• Different classifications of O3 nonattainment– Extreme– Severe– Serious– Moderate– Marginal

• Classifications apply only to O3 and CO• EPA Greenbook (www.epa.gov/airquality/greenbook)

– Guidance on NAAQS designations through rules and memos

– Details on designations and classifications


Current 8-hour Ozone Designations


Current PM2.5 Designations


Regional Haze and Class I Areas

• CAA Section 169A

– Prevents future and remedies existing impairment of visibility in Federal Class I areas resulting from manmade air pollution

• Class I Areas

– National parks, wilderness areas, forests, monuments, etc.


Great Smokies NP

Natural Conditions

Hazy Conditions

50

Regional Haze and Class I Areas

• Regional Haze Rule (RHR) of 1999

– SIPs required to show progress toward natural visibility conditions in Class I areas by 2064

• Reasonable Progress: SIPs required every 10 years; interim progress report every 5 years

• Include consideration of retrofit controls on existing large stationary sources: BART (Best Available Retrofit Technology)


Great Smokies NP

Natural Conditions

Hazy Conditions

51


Class I Areas

52


What happens if a NAA come into attainment of the NAAQS?

Clean Data Findings

• Clean Data Determination– When a NAA comes into NAAQS attainment prior to

the due date of the NAA SIP or the attainment date– Determination made by EPA– Requirement: 3 years of violation-free monitor data

• Relieves a State from some SIP provisions (RFP Plan and Attainment Demonstration)

• Area still designated nonattainment– Not a redesignation, only relief of some SIP

requirements

• By State request or initiated by EPA


Redesignation

• 3-years of violation-free data, plus…

• State must submit a request satisfying 5 requirements of CAA Section 107(d)(3)(e)– Includes a maintenance plan (SIP revision) that

projects attainment 10 years beyond redesignation

• Final approval by EPA redesignates an area from nonattainment to attainment– Codified in Part 52 (SIP revision) and Part 81

(change in designation)


Clean Data Determination vs. Redesignation

• Clean Data Finding– 3-years of violation-free data

• Redesignation (5 components)1. 3-years of violation-free data (attainment)2. Fully approved Infrastructure SIP (CAA Section 110)3. Approved NAA SIP (CAA Part D) components that were due

up to the redesignation request date4. Improvements in air quality due to permanent and

enforceable emissions reductions (not due to weather or economic downturn)

5. Approved 10-year maintenance plan, including contingency measures and mobile budgets



Reference(s):

• CFR 40, Part 52

• CAA Title I, Part A, Section 110

• CAA Title I, Part D

• EPA, Support Center for Regulatory Atmospheric Modeling, Modeling Guidance and Support

http://www.epa.gov/scram001/guidanceindex.htm


• SIPs consist of everything codified under 40 CFR Part 52

• Three categories of SIP content

1. State-adopted control measures (regulatory)

2. State-submitted non-regulatory components

3. Additional requirements under a CAA Part A Section 110 or Part D requirement


Tribal Implementation Plan (TIP)

• Although not a requirement, Tribes can attain authority under the CAA to regulate air resources within the tribal boundary

• TAR provides regulatory framework for developing TIPs

• Like SIPs, TIPs demonstrate that Tribes have the resources and authority to manage air pollution


Federal Implementation Plan (FIP)

• Air pollution reduction plan developed by EPA in the absence of a state-developed plan

• EPA publishes an NPR to be codified in 40 CFR Part 52, holds public hearings, and publishes the FRN

• If EPA subsequently approves a SIP, EPA can then remove the FIP


Federal Implementation Plan (FIP)

• 24 months after EPA disapproves or makes a finding of failure to submit a required SIP, it has a nondiscretionary duty to promulgate a FIP

• The FIP should correct the deficiency in the SIP; no more, no less


SIP Revisions

• Original SIPs approved by EPA for all 50 states, 4 territories, and Washington DC on May 31, 1972 (37 FR 10842)

• Since 1972 numerous SIP revisions submitted by states in response to CAA amendments

• Technically, all SIPs after 1972 are SIP revisions

• Even if a State believes no updates are necessary to its SIP, it must provide for public participation on THAT determination


SIP Process: Review and Roles

• SIP Development: – S/L/T authorities develop SIPs in response to

• New or revised NAAQS

• SIP Calls

• New or revised State regulations

• Changes in attainment status

• SIP Adoption and Submittal– Authority: Governor or his/her designee.

– Generally delegated to Environmental Secretary or equivalent.

• SIP Review Approval– EPA Regional Administrators (RA) are delegated the authority to

receive, return, approve, or disapprove SIPs


SIP Process: Rulemaking Formats

• EPA decides the format

– Sequential

– Direct Final

– Parallel Processing

• Sequential Rulemaking

– Most common

– Notice of Proposed Rulemaking (NPR) 30-day public comment period Final Rulemaking Notice (FRN)



• Direct Final Rulemaking

– Used for noncontroversial SIP revisions

– Most common format

– Direct Final Rule published at same time as the NPR

– Effective 60 days after publication unless adverse public comments received in the first 30 days

• If adverse comments received, then withdrawal and conversion to sequential rulemaking



• Parallel Processing

– Formal request from State to EPA with strict requirements on the form and content of the request

– Used when a State believes that there will be no changes to the proposed rule at the time it becomes final



• Parallel Processing (con’t)– Parallel processes

• EPA: Publishes the proposed State rule as NPR

• State: Sends EPA proposed rule and conducts public hearings and addresses comments to develop a final SIP revision

– If the State adopts a different final rule than what was proposed for parallel processing, EPA may withdraw the NPR and proceed with NPR Public Comment FRN


General Types of SIPs

• Infrastructure SIP (I-SIP)

– Required from all States and Territories

– Demonstrate that States have the infrastructure to monitor air quality and regulate/enforce NAAQS

– Due 3 years after promulgation of new/revised standard



• Nonattainment Area SIP (NAA SIP)

– Required from States that are part of an NAA

• Different States that are part of the same NAA may submit separate SIPs or jointly submit one

– Plans to achieve and maintain attainment of the relevant NAAQS

– Due 3-4 years after designation



• Maintenance SIP (Maintenance Plan)

– Major component of a redesignation request

– Actions to ensure that the area will meet the NAAQS for 10 years after redesignation (a 2nd 10-year maintenance SIP due prior to the end of the 1st

period)



• Program SIP

– Implements programs or parts of programs required by the CAA

– Examples Mobile Source Inspection/Maintenance Plan, Emission Inventory, Regional Haze, Startup/Shutdown/Malfunction (SSM)


EPA SIP Guidance

EPA Guidance on SIPs

• EPA Office of Air & Radiation SIP Toolkits by pollutant– Timeframes

– Attainment demonstrations/modeling

– Reasonable Further progress

– Applicable control measures

– Control Techniques Guidance (CTG) and Alternative Control Techniques (ACT)

– Rules and policies

– Example State SIPs


Important EPA SIP GuidanceInfrastructure SIP Guidance

• Release: September 2013

• Purpose: Help S/L/Ts develop and submit I-SIPs

• Provides recommendations for air agencies to develop I-SIPs for O3, NO2, SO2, and PM2.5 NAAQS

• Does not address interstate pollution transport affecting maintenance or nonattainment areas

• I-SIPs are required under CAA sections 110(a)(1) and 110(a)(2)

http://www.epa.gov/air/urbanair/sipstatus/infrastructure.html


http://www.epa.gov/air/urbanair/sipstatus/infrastructure.html

Important EPA SIP GuidanceEmission Inventory SIP Guidance

• Release: June 2014

• Purpose: Guide S/L/Ts in preparing SIPs for the 2008 8-hour ozone NAAQS and regional haze plan revisions

• Emissions inventories are a primary component of NAA SIP revisions

www.epa.gov/ttn/chief/eidocs/eiguid/draftemissioninventorysipguidance_(2).pdf


http://www.epa.gov/ttn/chief/eidocs/eiguid/draftemissioninventorysipguidance_(2).pdf

Important EPA SIP GuidanceRedesignation Guidance

• Release: September 1992

• Purpose: Describe EPA process for reviewing and approving NAA redesignation requests

• Describes the elements and schedule of requests to redesignate NAAs

www.epa.gov/groundlevelozone/designations/1997standards/redesig/guidance.htm


http://www.epa.gov/groundlevelozone/designations/1997standards/redesig/guidance.htm

Important EPA SIP GuidanceO3, PM2.5, and Regional Haze Modeling Guidance

• Release: December 2014

• Purposes:– Describe how to apply an air quality model to support an

attainment demonstration or rate of progress analysis

– Explain how to interpret whether the modeling results support a conclusion that NAAQS attainment or uniform rate of progress will occur by the appropriate date

• Most* NAA SIPs are required to use modeling as part of attainment demonstration

• Regional Haze SIPs use modeling to show reasonable progresswww.epa.gov/ttn/scram/guidance/guide/Draft_O3-PM-RH_Modeling_Guidance-2014.pdf


http://www.epa.gov/ttn/scram/guidance/guide/Draft_O3-PM-RH_Modeling_Guidance-2014.pdf

Important EPA SIP GuidancePermit Modeling Guidance

• Purpose: Provide recommendations on modeling techniques for estimating pollutant concentrations in order to asses control strategies and determine emissions limits

• Appendix W– Release: November 2005– Adoption of a Preferred General Purpose Dispersion Model

• Screening Procedures for Estimating the Air Quality Impact of Stationary Sources– Release: October 1992– Guidance on procedures to determine if a source poses a

potential threat to air quality


Important EPA SIP GuidancePermit Modeling Guidance

• PM2.5 Permit Modeling Guidance– Release: May 2014

– Recommendations on how to conduct a PM2.5 NAAQS and PSD increments compliance demonstration under the PSD program.

• CAA Section 165(a)(3) requires that a PSD permit application demonstrate that emissions from the new facility will not cause or contribute to a NAAQS violation

www.epa.gov/ttn/scram/guidance_permit.htm


http://www.epa.gov/ttn/scram/guidance_permit.htm

Important EPA SIP GuidanceReasonable Progress Guidance for Regional Haze

• Release: June 2007• Purpose: Provide guidance to S/L/Ts in setting

Reasonable Progress Goals as part of their Regional Haze SIPs

• CAA Section 169A(a)(4) requires EPA to promulgate regulations to assure reasonable progress toward meeting national visibility goals

• Regional Haze Rule requires States to submit plans with measures to achieve reasonable progress goals for each Class I area.

http://www.epa.gov/ttn/caaa/t1/memoranda/reasonable_progress_guid071307.pdf


http://www.epa.gov/ttn/caaa/t1/memoranda/reasonable_progress_guid071307.pdf

Important EPA SIP GuidanceControl Measures Guidance

• Release: variable

• Purpose: Provide S/L/Ts resources of available NOx and VOC control techniques and their cost effectiveness

• CAA Section 108 requires the Administrator to provide information on air pollution control techniques

www.epa.gov/groundlevelozone/SIPToolkit/ctgs.html


http://www.epa.gov/groundlevelozone/SIPToolkit/ctgs.html

Important EPA SIP GuidanceTransportation Emissions Control Guidance

• Purpose: Provide S/L/Ts with direction on how to implement strategies for controlling emissions from the transportation sector.

• General Guidance on Innovative and Voluntary Air Pollution Control Strategies– Processes for securing SIP credits for voluntary and

innovative emissions reduction programs

• Topic-Specific Transportation Guidance – Guidance on specific crediting programs to reduce

transportation-related air pollution

www.epa.gov/oms/stateresources/policy/SIP 101 - Introduction to Air Quality Planning: Module 1 82

http://www.epa.gov/oms/stateresources/policy/

Important EPA SIP GuidanceOther Related Guidance

• Mobile Sources Policy and Guidancehttp://www.epa.gov/otaq/stateresources/policy

• Transportation Conformityhttp://www.epa.gov/otaq/stateresources/transconf

• Public Hearing Guidancewww.epa.gov/ttn/oarpg/t1/memoranda/o_ei1992.pdf

• SIP Credit Guidancewww.epa.gov/oms/stateresources/policy/pag_guidance.htm

• SIP Submission Guidance, including eSIP*www.epa.gov/air/urbanair/sipstatus/efficiency.html

• See OAR Guidance pages for pollutant-specific guidance

www.epa.gov/airquality/urbanair/


http://www.epa.gov/otaq/stateresources/policy

http://www.epa.gov/otaq/stateresources/transconf

http://www.epa.gov/ttn/oarpg/t1/memoranda/o_ei1992.pdf

http://www.epa.gov/oms/stateresources/policy/pag_guidance.htm

http://www.epa.gov/air/urbanair/sipstatus/efficiency.html

http://www.epa.gov/airquality/urbanair/

Case Study #1: What is in Your Current SIP?

Examples from North Carolina and Illinois

SIP Locations

• 40 CFR Part 52 is a record of SIP actions for each state– Includes references to CFR volumes where each

SIP is codified

• EPA Regional Offices have SIP websites

• Many States include their SIPs on government websites – Pre-internet materials often archived within state

offices


What’s in My SIPExample from North Carolina

• 40 CFR Part 52 Subpart II– Includes references to FR volumes where each SIP

provision is codifiedwww.ecfr.gov

• EPA Region 4 SIPswww.epa.gov/region4/air/sips/

• NC Division of Air Quality SIP Planning Page– 8-hour O3 NAAs, Carbon Monoxide, Regional Haze SIP’s– Infrastructure SIP– Inspection/Maintenance Plan SIP– Redesignation Demonstration and Maintenance Plans

www.ncair.org/planning/nc_sip.shtml


http://www.ecfr.gov

http://www.epa.gov/region4/air/sips/

http://www.ncair.org/planning/nc_sip.shtml

What’s in My SIPExample from Illinois

• 40 CFR Part 52 Subpart O

• EPA Region 5 SIPshttp://www.epa.gov/reg5oair/sips/

• Illinois EPA Planning & Reporting Page

– Regional Haze and BART SIP

– Notices of Proposed Revision for different SIP elements

www.epa.illinois.gov/topics/air-quality/planning-reporting/index


http://www.epa.gov/reg5oair/sips/

http://www.epa.illinois.gov/topics/air-quality/planning-reporting/index

SIP Components,Attainment Plans,Maintenance Plans

Reference(s):

• CFR 40, Part 51

• APTI, General SIP Requirements, Pt 1

http://www.epa.gov/apti/video/sip2009/MarciaSpink.pdf

SIP Components

• Details in 40 CFR Part 51 Subparts F & G

• Monitoring Program– Demonstration that devices to measure ambient air

pollution are operational and quality-controlled

• Design Values– Numeric indicators of air quality calculated from

monitoring data

– Used to designate an area’s attainment status

– May be used for clean data determinations/findings, determination of attainment deadlines, and redesignation


SIP Components

• Emission Inventories– Accounting of the pollutants (including O3 and

secondary PM precursors) being emitted by all sources in a State/Tribal area

• Air Quality Calculations and Computer Modeling – Decision support tools for projecting air quality

conditions

– Used as part of attainment demonstrations


SIP Components

• Control Strategy Studies

– Evaluate different ways to reduce emissions and attain/maintain NAAQS

• Formal Adoption of Measures/Regulations

– Ensures the required authority for implementing and enforcing an air pollution mitigation plan for meeting the NAAQS


SIP Components

• Periodic Review– Evaluate whether the planned and needed reductions

were achieved and whether they had the predicted results

• Public Review– Procedures must be in place to provide the public an

opportunity to review a SIP before submission to EPA for approval

– Public notice, public hearing and 30-day comment period


Regulatory vs. Non-Regulatory SIP Elements

• Regulatory SIPs– State rules and regulations incorporated by reference (IBR) into 40

CFR 52

– Source-specific emission limitations (control measures)

– Provisions enabling the statutes

• Non-regulatory SIPs– State rulemaking and public comment; no IBR

– SIP narratives

– Maintenance plans

– Emission inventories

– Monitoring network plans

– Proof of legal authority

– Emergency episode plans

- Attainment demonstrations

- ROP plans

- Visibility plans

- Non-regulatory control measures

- Part D (NAA) plans

- Contingency measures


Example of SIP Provisions

• SIP provisions are non-regulatory SIP elements• Good Neighbor SIP

– Demonstration that a State is controlling emissions from any source which contributes significantly to nonattainment or interfere with NAAQS maintenance in neighboring States

• Inspection and Maintenance SIP– Program to reduce vehicle emission through regular

tailpipe emissions inspections– Component of NAAQS attainment and maintenance

plan


Example of SIP Provisions

• Regional Haze SIP

– Plans to restore natural visibility conditions in Class I areas by 2064

– Include Reasonable Progress Goals showing progress towards natural conditions at 10-year intervals

• Reasonable Further Progress SIP

– Plans showing increments of progress (emissions reductions) from date of designation prior to attainment dates


SIP Credits

• Emission reductions, achieved by using technologies or strategies, used by a State for the purpose of meeting emission reduction requirements in a reasonable further progress (RFP), rate of progress (ROP), attainment, or maintenance strategy

• Alternatives to conventional command-and-control


SIP Credits

• Requirements: – Do not interfere with other CAA provisions

– Consistent with SIP attainment, maintenance, or RFP/ROP requirements

– Provide emissions reductions that are quantifiable, surplus, permanent, and enforceable

• Limited to 6% of the increment necessary to achieve ROP, RFP, attainment, or maintenance not the total inventory


SIP Credits: Examples

• Emissions Reductions from Electric-Sector Energy Efficiency and Renewable Energy Measures (2004 EPA Guidance)– Electric-sector energy efficiency and renewable

energy projects, initiatives, or measures to reduce fossil-fueled EGU emissions

– Examples: Demand-side management (ENERGY STAR), supply-side measures (renewable energy projects)


SIP Credits: Examples

• Guidance on Incorporating Voluntary Mobile Source Emission Reduction Programs in SIPs (1997 EPA Policy)– Programs to gain additional emissions reductions

by engaging the public to make changes in activities

– Examples: ride-sharing programs, increased consumer demand for low-emission vehicles, heavy duty diesel retrofits


Rate of Progress (ROP)

• Component of an Ozone NAA SIP• SIP revisions documenting that anthropogenic VOC

emissions rates are declining relative to a baseline period• 15% ROP Plan

– Plans for ozone NAA to reduce VOC emissions in 1996 by 15% from a 1990 baseline

• Post-1996 ROP Plan– Reduce VOC emissions by a minimum of a 3% average per year,

across 3-year running averages beginning November 1996 until the ozone attainment date is reached

– NOx emission reductions can be substituted for VOC reductions– Emission reductions from some motor vehicles control

programs are excluded from the ROP plan


Reasonable Further Progress (RFP)

• Requirement for NAA SIPs to contain increments of progress (emissions reductions) from date of designation up to attainment dates

• RFP: annual incremental emissions reductions of relevant pollutants for the purpose of attaining the NAAQS by the applicable date


Reasonable Further Progress (RFP)

• Applies to ozone and PM NAAs• Ozone NAA

– Moderate or higher O3 NAA require RFP Plans– If attainment date is <= 5 years from designation, RFP

is met by attainment emissions reductions and no SIP required

– If attainment date is > 5 years from designation, RFP SIP to provide 15% NOx or VOC emissions reductions within 6 years of designation; proportional reductions between the end of the first increment and attainment


SIPs and New Emissions Sources

• New Source Review (NSR) program established with the 1977 CAA amendments

• Permits issued by state/local agencies; approved by EPA in SIPs

• Preconstruction permitting program– Ensures air quality is not significantly degraded from the

addition of new and modified sources– Ensures that advances in pollution control occur concurrently

with industrial expansion

• NSR permits are legally binding specifications of:– What may be built– What the emissions limits are– How often the emissions source may operate


Attainment Demonstrations

• NAA SIP revisions that present and demonstrate how the emissions control strategies proposed by a State will lead to attainment of the NAAQS

• Primarily a modeling exercise that simulates the changes in air quality that will result from the implementation of emissions controls


Attainment DemonstrationsKey Components

• Modeling Platform Development• Model Performance Evaluation (MPE)• Model Attainment Test• Weight of Evidence (WOE)• Reasonable Available Control Technology (RACT)

Analysis• Reasonably Available Control Measures (RACM)

Analysis• Motor Vehicle Emissions Budget (MVEB)• Contingency Plan


Attainment DemonstrationsKey Components: Modeling

• Modeling Platform consists of all of the data and software required for simulating base and future year air quality

• Base year modeling to validate the model– Model Performance Evaluation is a systematic

approach for comparing models to observations; benchmark performance criteria provided by EPA

• Future year modeling to demonstrate attainment– Modeled Attainment Test compares base year design

values (observed) with future year design values (modeled) to demonstrate attainment


Attainment DemonstrationsKey Components: Weight of Evidence

• Analyses that support the conclusion that the modeling-based projections are likely to provide the predicted air quality improvement by the attainment date.

• Supplemental WOE information may include:– Additional modeling analyses

– Analyses of trends in ambient air quality and emissions

– Additional emissions controls/reductions


Attainment DemonstrationsKey Components: Emissions Control Measure Analyses

• SIP revisions required to demonstrate that the State rules fulfill the emissions Control Techniques Guidelines (CTGs) and Alternative Control Techniques (ACTs) for major sources of NOx and VOC– CTGs define VOC Reasonably Available Control

Technologies (RACT)

– ACTs describe available control technologies and their cost effectiveness for VOC and NOx; do not define presumptive RACT levels as CTGs do



• Reasonably Available Control Technology (RACT)

– Lowest emissions limitation that a particular source is capable of meeting by the application of control technology that is reasonably available considering technological and economic feasibility



• Reasonably Achievable Control Measures (RACM)

– Similar consideration of technological and economic feasibility as RACT, but…

– Any non-RACT emissions control measure (or collection of measures)

– Must advance attainment of the area towards meeting the NAAQS by at least 1 year


Attainment DemonstrationsKey Components: Motor Vehicle Emissions Budgets

• NOx and VOC emissions budgets estimated for on-road mobile sources

• Establish emissions limits for motor vehicles– Applies to all vehicles within an NAA, not to individual

vehicles

• Based on emissions modeling

• Dual purpose– Attainment and maintenance plans

– Transportation conformity


Attainment DemonstrationsKey Components: Contingency

• NAA SIPs must provide for the implementation of measures if an area fails to attain the NAAQS or make RFP– Emissions reductions = 3% of VOC or NOx

emissions beyond the levels needed for attainment or RFP goals

• Contingency measures are emissions controls beyond the reasonably available measures required to expeditiously attain the NAAQS



• Contingency measures shall “take effect … without further action by the State, or the EPA”– Most States do not wait for shortfall notifications

from the EPA

– Excess 3% emissions reductions are built into attainment demonstration and RFP SIPs

• Measures should take effect within 60 days after after EPA notifies the State



• Measures may total 1 year of RFP reductions relative to the base year emissions levels

• SIP may include specific emissions controls to be implemented after EPA notice of failure to attain

– Will include a schedule for implementation


Maintenance Plans

• Part of the requirement for demonstrating attainment for 10 years following redesignation

• Plans for areas that were initially designated nonattainment but were later able to demonstrate attainment

• Must include contingency measures that could be implemented if a violation is recorded at any time during the maintenance period.


Interstate Transport SIP Provisions

Reference(s):

• EPA, Interstate Air Pollution Transport

• CAA, Title I, Part A, 110(a)(2)(D)

• CAA, Title I, Part C, 167A

• CAA, Title I, Part D 179B

• CAA, Title 1, Part D, 182H

• EPA, Technology Transfer Network, Exceptional Events Guidance

http://www.epa.gov/airtransport/

http://www.epa.gov/ttn/analysis/exevents.htm

Interstate TransportContributions to another State

• Transport of air pollution is regulated under CAA section 110(a)(2)(D)– SIPs may contain provisions prohibiting any source

from emitting air pollutants which will do any of the following in downwind States:• Contribute significantly to nonattainment areas• Interfere with NAAQS maintenance• Interfere with PSD measures• Interfere with measures to protect visibility

• Examples: NOx SIP call, Cross State Air Pollution Rule (CSAPR), Regional Haze Rule


Interstate/International TransportContributions from another State or Location

• States and Tribes can petition EPA to require upwind areas to reduce pollution

• Interstate Transport Commissions (CAA 167a): may be formed to assess the degree of interstate transport in a region, develop strategies, and recommend emission control requirements for States in the region

• International Border Areas (CAA 179b): provision that a SIP would be adequate to attain and maintain a NAAQS but for emissions emanating from outside the U.S.


Interstate/International TransportContributions from another State or Location

• Rural Transport Areas (CAA 182h)

– NAAs that are not in or adjacent to an MSA

– Local NOx and VOC sources don’t contribute significantly to high ozone areas

• Exceptional/Natural Events

– Unusual or naturally occurring events that can affect air quality but are not reasonably controllable using techniques that S/L/Ts may implement in order to attain and maintain the NAAQS


Conformity

Reference(s):

• EPA, General Conformity

• EPA, Transportation Conformity Training and Presentations

http://www.epa.gov/air/genconform/

http://www.epa.gov/otaq/stateresources/transconf/training.htm

Conformity Overview

• Any activity funded by or approved by Federal agencies must conform to State’s NAA or maintenance area SIP

• Conform: activities will not cause or contribute to new air quality violations, worsen existing violations, or delay attainment of air quality standards


Transportation vs. General Conformity

• Transportation Conformity

– Applies to Federal Highway and Transit transportation actions

– Applies to transportation-related criteria pollutants:• Ozone

• PM

• CO

• NO2

• General Conformity– Applies to all other

federal actions, e.g. approval of airports (FAA), DOD facilities, freight rail (FRA), etc.

– Applies to all criteria pollutants• Transportation

conformity +– SO2

– NH3

– Lead (Pb)


Transportation Conformity

• Links air quality and transportation planning

• Only required for NAA and maintenance areas (CAA 176(c))

• Requires that any transportation project, plan, or program approved by a Federal agency or metropolitan planning organization conform to the approved SIP for the NAA or maintenance area


Transportation Conformity

• Required before funding and approval of transportation plans, Transportation Improvement Programs (TIPs), and projects

• PM Hot-spot Analyses

– Estimate of likely future localized pollutant concentrations and a comparison to the NAAQS

– Only required for projects of local air quality concern


What is Subject to Transportation Conformity?

• Metropolitan Transportation Plans: 20-year timeframe

• TIPs: 4-year timeframe• Transportation Plan/TIP amendment for non-exempt

Federal projects• Non-exempt Federal projects

– Receive FHWA or FTA funding or– Require FHWA or FTA approval

• Regionally significant non-federal projects– Included in the regional emissions analysis– No project-level conformity determination is required


Transportation Planning

• Transportation Plans– 20-year horizon on highway and transit investments in a

region

• TIPs– 4-years of projects consistent with the transportation plan

– NAAs: projects in the first 2 years of the TIP are limited to those for which funds are available or committed

– For the remaining 2 years, funds must be reasonably available


Transportation Planning

• Both Plans and TIPs

– MPO must demonstrate that the plan conforms before adoption

– Require update and conformity evaluation every 4 years in NAA and maintenance areas, or will expire

– Must be fiscally constrained

– Must be available for public review


When Does Transformation Conformity Apply?

• CAA and conformity rule provide a 1-year grace period before conformity applies for new areas

• Within 1-year of a NAA designation, a conforming transportation plan and TIP must be in place to approve new federally funded/approved projects


When Does Transformation Conformity Apply?

• Frequency Requirements – after the 1-year grace period, a new conformity determination is required:– Before new transportation plans and TIPs are

adopted, and at least every 4 years

– Within 2 years of an adequate or approved motor vehicle emissions budget (“SIP budget”)

– Before a new non-exempt Federal project receives funding or approval for the first time


Conformity Lapse

• If an area does not conform within the 2 or 4-year deadline, a 1-year conformity lapse grace period starts

• If a conformity determination is not made by the end of the grace period (i.e. no conforming plan/TIP in place), the plan/TIP enters a conformity lapse


Conformity Lapse

• During a conformity lapse, only 3 types of projects can proceed:

– Exempt projects

– Transportation control measures that are in the approved SIP

– Any project or project phase that was approved prior to the conformity lapse


Roles and Responsibilities


US DOT (FHWA/FTA) Determines conformity on transportation plans, TIPS, and projects

MPO’s Prepares the conformity determination for transportation plans and TIPs

State DOT and Transit Agencies

Prepares project-level conformity determination

State and Local Air Agencies

Develops the SIP budget; consults on conformity determinations

US EPA Consults on the conformity process; conformity regulations and guidance

132

Transportation Conformity SIP

• CAA 176(c)(4)– Requires States to submit SIP revision to reflect specific

Federal conformity criteria and procedures

• Transportation Conformity SIPS required to include the following provisions– Consultation procedures– Written commitments to any control measures not

included in plan and TIP (to ensure they are funded)– Written commitments to any mitigation measures

necessary for project-level conformity determinations (to ensure they occur)


Conformity SIP Emissions Budget

• Conformity rule requires that the latest available emissions model be used in a conformity determination

– Rule provides a grace period of 3-24 months before a new model must be used in conformity

• EPA released MOVES2014 in October 2014

– Grace period ends for switch from MOVES2010 October 2016


General Conformity

• Ensure that federal activities do not cause or contribute to new violation of the NAAQS

• Ensure that actions do not cause additional or worsen existing violations of or contribute to new violations of the NAAQS

• Ensure that attainment of the NAAQS is not delayed.


General Conformity

• The General Conformity Rule applies to all Federal actions that are taken in designated nonattainment or maintenance areas.

• Three exceptions:

– Actions covered by the transportation conformity rule

– Actions with associated emissions below specified de minimis levels

– Other actions which are either exempt or presumed to conform.


General Conformity

• In an area without SIP, a federal action can be shown to "conform" by demonstrating there will be no increase in emissions in the NAA or maintenance area from the Federal action that could cause new violations of the standards and/or no increase in the frequency or severity of previous violations.


General Conformity

• In an area with a SIP, conformity can be demonstrated in one of five ways:

– By showing that the emission increases caused by an action are included in the SIP

– By demonstrating that the State agrees to include the emission increases in the SIP

– Through offsetting the action’s emissions in the same or nearby area

– Through mitigation to reduce the emission increase

– Through an air quality modeling demonstration, in some circumstances.


More on Conformity

• EPA Transportation Conformity– Rulemakings– Transportation conformity guidance documents– Guidance on reductions from control measures– Research and training

www.epa.gov/otaq/stateresources/transconf/index.htm

• DOT (FHWA) Transportation Conformity– Basic guide, reference guide, and FAQs– Research and training– Examples

www.fhwa.dot.gov/environment/air_quality/conformity/

• EPA General Conformityhttp://www.epa.gov/air/genconform/


http://www.epa.gov/otaq/stateresources/transconf/index.htm

http://www.fhwa.dot.gov/environment/air_quality/conformity/

http://www.epa.gov/air/genconform/

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