1. Planning for Clean Air:
An Introduction to the
“SIP process”
SIP 101

2. U.S. EPA Region 4 – Basic Air Quality Training
The many faces of Air Pollution!
U.S. EPA Region 4 – Basic Air Quality Training

3. U.S. EPA Region 4 – Basic Air Quality Training
Clean Air Act (CAA)
Under this law EPA sets limits on how much of a pollutant can be in the air anywhere in the U.S.
Gives EPA enforcement powers (EPA can fine a company for violating the CAA).
States do much of the work to carry out the Act (pollution control problems are unique to the different industries and geography areas).
Allows the public to participate in the process and request EPA or states to take action against violators.
U.S. EPA Region 4 – Basic Air Quality Training

4. U.S. EPA Region 4 – Basic Air Quality Training
What is the “Air Quality Management” process ?
Air Quality Management (AQM) … the process to relate National Ambient Air Quality Standard (NAAQS) air quality measurements to emissions data … determine the reductions & control measures needed to meet the NAAQS.
AQM is the approach, or pathway to translate measured air quality problems into a regulatory clean air plan, or State Implementation Plan (SIP).
SIPs are the framework to provide for control measures that “clean the air” and achieve or maintain the standards.
U.S. EPA Region 4 – Basic Air Quality Training

5. U.S. EPA Region 4 – Basic Air Quality Training
What is the “air quality management” process ?
NAAQS
New/Revised
New Violation
Designations
Maintain
Attainment
Nonattainment
SIP
Revised
Attain
Demo
Fed/Local
Measures
PSD
Action
Violate
Attain/
Monitor
ENF
New
Violation EI
U.S. EPA Region 4 – Basic Air Quality Training

6. What is the “Air Quality Management” process ?
Emission inventories, monitoring and air quality models are central to air quality management, they are tools that help to:
understand cause of an air quality standard violation
develop control strategies to reach attainment
demonstrate that selected strategies will lead to attainment
assess whether progress is made toward reaching standard
U.S. EPA Region 4 – Basic Air Quality Training

7. U.S. EPA Region 4 – Basic Air Quality Training
What Are The NAAQS?
National Ambient Air Quality Standard set for “Criteria Pollutants”.
Criteria Pollutant: A group of six widespread and common air pollutants regulated by EPA to protect health and the environment.
Two NAAQS Standards Primary and Secondary:
NAAQS primary standard is to protect human
health
NAAQS secondary standard, to protect public
welfare and the environment
U.S. EPA Region 4 – Basic Air Quality Training

8. What Are The NAAQS? (continued)
NAAQS set for ground level Ozone (smog), Particulate Matter, Carbon Monoxide, Lead, Nitrogen Dioxide and Sulfur Dioxide.
The Act requires EPA to review these standards every five years.
U.S. EPA Region 4 – Basic Air Quality Training

9. U.S. EPA Region 4 – Basic Air Quality Training
What are EPA’s National Ambient Air Quality
Standards?
U.S. EPA Region 4 – Basic Air Quality Training

10. U.S. EPA Region 4 – Basic Air Quality Training
What is a State Implementation Plan (SIP)?
It’s a plan for “clean air!”
Clean Air Act requires a general plan to achieve the NAAQS in all areas of the country and a specific plan for each nonattainment area.
Each state is responsible for developing plans to demonstrate how standards will be achieved, maintained, and enforced.
These enforceable plans, SIPs are developed by States (and locals) and submitted to EPA for approval.
U.S. EPA Region 4 – Basic Air Quality Training

11. U.S. EPA Region 4 – Basic Air Quality Training
What is a SIP?
(continued)
After EPA approval, these SIPs and associated control measures are enforceable at both the state and national levels.
These plans make up the State Implementation Plan.
Plans are the framework (states
recipe for success) for each state's
program to protect the air.
States must regularly update SIPs
U.S. EPA Region 4 – Basic Air Quality Training

12. U.S. EPA Region 4 – Basic Air Quality Training
SIP
Resources
Legal Authority
Source
Surveillance
Enforcement
Permitting
Emergency
Episode
Voluntary and
Non-traditional
Measures
Air Quality
Monitoring
Control Strategy
Demonstration
New Source
Review
Emission Limiting
Rules and Regs
Mobile Measures
and Fuels
U.S. EPA Region 4 – Basic Air Quality Training

13. U.S. EPA Region 4 – Basic Air Quality Training
What is a LIP?
Regions use different terms, basically allows EPA to
accommodate various State/Local agency relationships.
States have varying arrangements, certificate of exemption,
memo of agreement or other documents that delegate
specific authority (enforcement or permitting) to a Local agency.
State ensure LIPs are equivalent or more stringent.
Portion of the SIP.
U.S. EPA Region 4 – Basic Air Quality Training
13 yrs old/attitude

14. U.S. EPA Region 4 – Basic Air Quality Training
Who is Required to
Have a SIP?
Each State, required and approved
by EPA pursuant to Section 110
of the Clean Air Act
U.S. EPA Region 4 – Basic Air Quality Training

15. The SIP, a Living Document
Revised by State as necessary
Addresses unique air pollution problems in State
Keeping SIP updated is a continuous process
Number of submittals vary
The different terms of SIP
U.S. EPA Region 4 – Basic Air Quality Training

16. What Must a SIP Revision Do?
Makes adjustments to state/local air quality rules to provide for attainment and/or maintenance of the NAAQS (section 110 of Clean Air Act)
U.S. EPA Region 4 – Basic Air Quality Training

17. U.S. EPA Region 4 – Basic Air Quality Training
What Does a SIP Include?
Emissions inventory
Emission control measures/regulations
Rate of Progress Plans
Attainment Plans (Modeling)
Maintenance Plans
New Source Review
Commitment/Demonstration
U.S. EPA Region 4 – Basic Air Quality Training

18. U.S. EPA Region 4 – Basic Air Quality Training
What Does a SIP Include?
(continued)
Regulations
RACT Rules
Non-regulatory
Voluntary
Programs
I/M
Source-specific
(permits)
U.S. EPA Region 4 – Basic Air Quality Training
The Mixing Pot

19. U.S. EPA Region 4 – Basic Air Quality Training
Examples:
What are control measures that are placed in SIPs?
Industrial VOC controls
Surface coating controls
Transportation
controls
NOx controls
Auto Testing –I/M
”Super clean” cars
Stage 2 Vapor controls
U.S. EPA Region 4 – Basic Air Quality Training

20. Who is Responsible for Developing the SIP?
Governor or his designee.
Generally delegated to Environmental Secretary or equivalent.
Local or regional agencies in some states delegated some authority, but usually not SIP adoption.
Usually limited to inspections, monitoring, etc.
U.S. EPA Region 4 – Basic Air Quality Training

21. How does the SIP Process Work?
CAA or court case mandates plan revision or
State/Local decide to revise its own plan.
State submits changes to EPA Regional Office.
EPA reviews SIP for completeness/approvability…
propose in Federal Register.
Once approved, plan becomes Federally enforceable.
U.S. EPA Region 4 – Basic Air Quality Training

22. What are the Steps Followed to Prepare a SIP?
Determine emissions
Develop strategy
Determine emission changes
Model to determine air quality changes
Compare to NAAQS
Adjust strategy as necessary and reanalyze
Draft rules to implement strategy
Adopt rules using state process and minimum federal public participation requirements (40 CFR Part 51)
Submit to EPA
EPA rulemaking
U.S. EPA Region 4 – Basic Air Quality Training

23. What guidance exists for SIP preparation?
EPA Policy memos
Statutory
Regulatory
Policy and Guidelines
Court decisions
U.S. EPA Region 4 – Basic Air Quality Training

24. U.S. EPA Region 4 – Basic Air Quality Training
Regulatory
Regulatory sources: Title 40 Code of Federal Regulations Parts 50, 51, 52 and 81.
Part 50: The primary and secondary standard for each criteria pollutant.
Part 51: Emission inventory reporting requirements and the requirements for preparation, adoption, and submittal of implementation plans.
U.S. EPA Region 4 – Basic Air Quality Training

25. Regulatory (continued)
Part 52: Approval and promulgation of implementation plans approved by EPA
Part 81: Designation of areas for air quality planning purposes
U.S. EPA Region 4 – Basic Air Quality Training

26. U.S. EPA Region 4 – Basic Air Quality Training
State SIP information from the web …
U.S. EPA Region 4 – Basic Air Quality Training

27. What is the State Process?
Although not required, SIP revisions usually go through an environmental board (designated by environmental secretary).
30-day comment period.
Public hearing/availability of SIP revision announced in state public forum (local newspapers).
Public hearing.
Response to comments.
Legislative review (State requirement).
Formal adoption.
SIP submittal.
U.S. EPA Region 4 – Basic Air Quality Training

28. U.S. EPA Region 4 – Basic Air Quality Training
Stakeholders
Federal, State and Local Governments
Tribes
Regulated Community
Others
U.S. EPA Region 4 – Basic Air Quality Training

29. Other Organizations involved in SIP Process
Metropolitan Planning Organizations (MPOs)
Other state agencies (transportation, energy)
Ozone Transport Commission (OTC)
Center for Clean Air Policy (CCAP)
STAPPA/ALAPCO
U.S. EPA Region 4 – Basic Air Quality Training

30. U.S. EPA Region 4 – Basic Air Quality Training

31. How Long Does A SIP Revision Typically Take?
Technical Evaluation 6 months to 1 year
State Rulemaking 6 months to 2 year
EPA Approval 6 months to 18 months
U.S. EPA Region 4 – Basic Air Quality Training

32. What are the steps in EPA’s Rulemaking Process?
Review state submittal (EPA Regions)
“Complete” findings
Partial approval
Limited approval/disapproval
Conditional approval
Approval
Disapproval
U.S. EPA Region 4 – Basic Air Quality Training

33. What are the steps in EPA’s Rulemaking Process? (continued)
Prepare technical support document
Propose action in Federal Register
Allow for comment period
Response to comments
Publish final action in Federal Register
U.S. EPA Region 4 – Basic Air Quality Training

34. U.S. EPA Region 4 – Basic Air Quality Training
Types of Submittals
Drafts (not required)
Prehearings
Finals
Request for parallel processing
U.S. EPA Region 4 – Basic Air Quality Training

35. Types of Submittals Continued
Drafts: Allows Region to review complicated or controversial revisions and resolve issues prior to prehearing.
Parallel Processing: Region will publish proposed approval while State is holding its public hearing and comment period. Region can publish final approval upon receipt of final submittal if no major revisions.
Drafts: Are very advantages when requesting parallel processing.
U.S. EPA Region 4 – Basic Air Quality Training

36. U.S. EPA Region 4 – Basic Air Quality Training
Review Time
Drafts (30 days or more)
Prehearings (at least 30 days, required by law)
Finals (6 months to determine complete, 12 months after to act on)
Request for parallel processing
U.S. EPA Region 4 – Basic Air Quality Training

37. U.S. EPA Region 4 – Basic Air Quality Training
Submitting a Revision
Drafts: Can be submitted by (electronic copy) or hard copy.
Prehearings: Will accept (to meet 30 day requirement) must follow-up with hard copy.
Finals: Must be submitted to Regional Administrator (hard copy).
Parallel Processing: Must be submitted to Regional Administrator (hard copy).
U.S. EPA Region 4 – Basic Air Quality Training

38. Submitting a Revision Continued
Note: When submitting a prehearing through cc Sean Lakeman, Dick Schutt, and Kay Prince. This will ensure it gets distributed if State contact is out.
Note: A prehearing (always follow-up with hard copy) may be submitted to the Division Director.
U.S. EPA Region 4 – Basic Air Quality Training

39. Completeness Determination
Appendix V of 40 CFR Part 51 sets the minimum criteria for determining whether a State submittal is an official submittal for purposes of review.
Inform State within 60 days of receipt but no later than 6 months of completeness determination.
Completeness determination is not a determination of approvability.
U.S. EPA Region 4 – Basic Air Quality Training

40. Completeness Determination Continued
A submittal determined incomplete is not an official submittal.
2 parts of a completeness determination:
Administrative Materials
Technical Support
U.S. EPA Region 4 – Basic Air Quality Training

41. Administrative Materials
Letter from Governor or his designee requesting EPA approval (use language in letter).
Evidence State adopted the plan (include date of adoption and effective date).
Evidence State has legal authority under State law to adopt and implement plan.
A copy of actual regulation (redline/strikeout) signed, stamped and dated by appropriate State official.
U.S. EPA Region 4 – Basic Air Quality Training

42. Administrative Materials Continued
Evidence State followed all procedural requirements of State law.
Evidence that public notice was given.
Certification that public hearing(s) were held IAW information provided to the public.
Compilation of public comments and States response.
U.S. EPA Region 4 – Basic Air Quality Training

43. U.S. EPA Region 4 – Basic Air Quality Training
What is the SIP
approval process?
SIP APPROVAL
SIP submittals come from State to EPA Regional Offices.
EPA Regional Administrators have been delegated authority to approve most SIPs.
EPA determines whether a SIP meets the requirements of the CAA and EPA regulations … approve or disapprove in Federal Register.
U.S. EPA Region 4 – Basic Air Quality Training

44. What is the SIP approval process? (continued)
EPA publishes notice in Federal Register.
Revisions federally effective
after effective date.
U.S. EPA Region 4 – Basic Air Quality Training

45. What Happens if a SIP Revision is Not Submitted/Disapproval?
New Source Review permitting sanctions:
After 18 months sanctions clock
2 to 1 offset
Highway funding sanctions:
After 24 months sanctions clock
Federal Implementation Plan (FIP):
Not permanent
U.S. EPA Region 4 – Basic Air Quality Training

46. U.S. EPA Region 4 – Basic Air Quality Training
How Do Sanctions Work?
SIP revision required by a set date.
EPA finding of failure to submit starts 18-month clock.
After 18 months New Source permitting sanctions imposed.
After 24 months FHWA is required to impose funding moratorium for all but exempt projects (safety, mass transit).
State air grants are subject to moratorium also.
After 24 months EPA to promulgate federal rules to correct SIP deficiency.
U.S. EPA Region 4 – Basic Air Quality Training

47. Problems Impacting the Approval of SIPsX
Plans that do not meet CAA or EPA rules and Guidelines … or not consistent with court case
Regulations that are vague, missing test methods, or technical justification … incomplete
Regulatory relaxation without justification
U.S. EPA Region 4 – Basic Air Quality Training

48. U.S. EPA Region 4 – Basic Air Quality Training
What the CAA says about backsliding….
Section 110(l)
“The Administrator shall not approve a revision to a Plan if the revision would interfere with any applicable requirement concerning attainment and reasonable further progress (as defined in section 171), or any other applicable requirement of this Act.”
U.S. EPA Region 4 – Basic Air Quality Training

49. Summary …How the SIP process works
State/Local prepares and adopts plan after public hearing
State submits SIP to EPA Regional office
EPA reviews SIP for completeness … if complete … propose in FR
EPA approves/disapproves plan after considering public comments
After SIP approval, the plan becomes Federally enforceable
If SIP Federally mandated and disapproved … then FIP promulgated
CAA or court case mandates plan submittal ,
or State/Local decides to revise its own SIP
U.S. EPA Region 4 – Basic Air Quality Training

50. U.S. EPA Region 4 – Basic Air Quality Training
Where can I get more
Information?
U.S. EPA Region 4 – Basic Air Quality Training

51. Where to find information relating to the new 8-hr NAAQS
U.S. EPA Region 4 – Basic Air Quality Training

52. U.S. EPA Region 4 – Basic Air Quality Training
Where to find the NAAQS and who’s nonattainment.
U.S. EPA Region 4 – Basic Air Quality Training

53. Where to find information maps … attainment of NAAQS
U.S. EPA Region 4 – Basic Air Quality Training

54. U.S. EPA Region 4 – Basic Air Quality Training
Where to find Air Quality and Emissions Data …
U.S. EPA Region 4 – Basic Air Quality Training

55. Where to find information about Fuels and Mobile Sources.
U.S. EPA Region 4 – Basic Air Quality Training

56. U.S. EPA Region 4 – Basic Air Quality Training
Where to find policy documents …
U.S. EPA Region 4 – Basic Air Quality Training

57. U.S. EPA Region 4 – Basic Air Quality Training
The End ….
U.S. EPA Region 4 – Basic Air Quality Training

58. Emission Inventory

59. U.S. EPA Region 4 – Basic Air Quality Training
What Is An Emission Inventory?
Current, comprehensive listing, by source, of the air pollutant emissions
Specific geographic area
Specific time period
U.S. EPA Region 4 – Basic Air Quality Training

60. U.S. EPA Region 4 – Basic Air Quality Training
Types of Sources
Point Sources
Area Sources
Mobile
Onroad Mobile Sources
Nonroad Mobile Sources
Biogenic Sources
U.S. EPA Region 4 – Basic Air Quality Training

61. How Are Emission Inventories Used?
To Meet Requirements of the CAA
Base Year, Periodic Updates, Rate of Progress
To Track Progress Towards Attainment
To Set Baseline For Policy Planning
To Determine Control Strategies
Foundation for Modeling and Motor Vehicle Emission Budget
U.S. EPA Region 4 – Basic Air Quality Training

62. U.S. EPA Region 4 – Basic Air Quality Training
Why Is A Complete, Accurate Inventory Important?
A technically defensible emission inventory serves as the foundation for policy
Formulation of appropriate control strategies
Flawed data = poor policy
U.S. EPA Region 4 – Basic Air Quality Training

63. What Does An Inventory Contain?
Summary of emissions by source category
Geographic area
Time Interval
Population, employment, economic data
U.S. EPA Region 4 – Basic Air Quality Training

64. U.S. EPA Region 4 – Basic Air Quality Training
Continued.....
Narrative for each source category
Procedure used to collect data
Sources of data
Copies of questionnaires
Methods used in calculation
Documentation of assumptions
List of references
U.S. EPA Region 4 – Basic Air Quality Training

65. Consolidated Emissions Reporting Rule (CERR)
Final Rule published June 10, 2002
67 FR 39602
U.S. EPA Region 4 – Basic Air Quality Training

66. U.S. EPA Region 4 – Basic Air Quality Training
Purpose of CERR
To simplify reporting
To unify reporting dates
Decrease burden on state and locals
Increase efficiency
Provide more consistent and uniform data
U.S. EPA Region 4 – Basic Air Quality Training

67. U.S. EPA Region 4 – Basic Air Quality Training
Reporting Requirements
SOx
VOC
NOx CO Pb
PM10
And now PM2.5 and NH3
U.S. EPA Region 4 – Basic Air Quality Training

68. U.S. EPA Region 4 – Basic Air Quality Training
Geographic Coverage of CERR
Statewide inventory
By county - regardless of attainment status
Point, Area, Onroad Mobile, Nonroad Mobile, and Biogenics
U.S. EPA Region 4 – Basic Air Quality Training

69. U.S. EPA Region 4 – Basic Air Quality Training
Reporting Frequency - Point
Larger point sources
Annually
Smaller point sources every 3 years
Or 1/3 every year
U.S. EPA Region 4 – Basic Air Quality Training

70. U.S. EPA Region 4 – Basic Air Quality Training
Reporting Frequency - Other
Mobile and Area Sources
Continue in nonattainment area every 3yrs
Additionally, statewide every 3yrs
U.S. EPA Region 4 – Basic Air Quality Training

71. U.S. EPA Region 4 – Basic Air Quality Training
Submitting Data to EPA
June 1, Annual Cycle
Reporting deadline for Large point sources (type A) for the 2001 inventory
Subsequent cycles will be due 17 months following the end of the reporting year
U.S. EPA Region 4 – Basic Air Quality Training

72. U.S. EPA Region 4 – Basic Air Quality Training
Submitting Data - Continued
June 1, Three-year Cycle
Reporting deadline for Point, mobile, and area sources for the 2002 inventory
Subsequent cycles will be due 17 months following the end of the reporting year
U.S. EPA Region 4 – Basic Air Quality Training

73. U.S. EPA Region 4 – Basic Air Quality Training
2002 Base Year Emission Inventory SIP Planning: 8-hr Ozone, PM2.5, and Regional Haze
U.S. EPA Region 4 – Basic Air Quality Training

74. U.S. EPA Region 4 – Basic Air Quality Training
Why 2002 As Base Year?
EPA made designations for 8-hour ozone and fine particulate matter standards in 2004
2002 reflects one of the years used to calculate design values for 8-hour ozone and PM2.5
CAA and CERR requirements
U.S. EPA Region 4 – Basic Air Quality Training

75. 8-Hour Ozone, PM 2.5, and Regional Haze
8-Hour ozone and PM 2.5 designations made in PM 2.5 designations effective in 2005
8-Hour ozone SIPs due in 2007
PM 2.5 and Regional Haze SIPs due in 2008
U.S. EPA Region 4 – Basic Air Quality Training

76. Air Emissions Reporting Requirements (AERR)
Clean Air Interstate Rule (CAIR) to be promulgated as final rule spring 2005
AERR originally to be proposed same day as CAIR
Now AERR to be proposed summer 2005
Purpose is to unify all emission reporting requirement details in subpart A of 40 CFR part 51.
U.S. EPA Region 4 – Basic Air Quality Training

77. Proposed Reporting Requirements
Due Dates
Harmonize report due dates of NOx SIP call and CERR. NOx SIP call currently requires reports due 12 month after end of reporting year. CERR specifies 17 months.
AERR proposes to consolidate reporting times to 12 months after end of reporting year.
Proposing that triennial year point source inventories be due 6 months after end of year beginning in 2011
U.S. EPA Region 4 – Basic Air Quality Training

78. Proposed Reporting Requirements
Biogenic Emissions
Proposing to remove requirement in CERR for reporting annual and typical summer day biogenic emissions.
Reporting Emission Model Inputs
Proposing a new provision which would allow states the option of providing emissions inventory estimation model inputs in lieu of actual emission estimates, for source categories for which prior to the submission deadline EPA develops suitable emissions inventory estimation models and by guidance defines their inputs.
U.S. EPA Region 4 – Basic Air Quality Training

79. Proposed Reporting Requirements
Reporting Summer Day Emissions
Proposing to retain requirement for reporting summer day emissions from all sources (except biogenic) at 3-year intervals, but restrict it to NOx SIP call states, states subject to CAIR, and states subject to 126 petitions.
Reporting Winter Work Weekday Emissions
Proposing to delete the existing requirement that all states report emissions for a winter work week day.
U.S. EPA Region 4 – Basic Air Quality Training

80. Availability of Draft 2002 NEI
EPA has completed a draft 2002 National Emission Inventory (NEI)
Comments/revisions are due by May 1, 2005.
Submit revisions through Central Data Exchange (CDX)
Final 2002 NEI to be released in December 2005
U.S. EPA Region 4 – Basic Air Quality Training

81. U.S. EPA Region 4 – Basic Air Quality Training
Inventory Guidance
Revised emission inventory guidance for 8-hour ozone, PM 2.5, and regional haze should be available summer 2005
U.S. EPA Region 4 – Basic Air Quality Training

82. U.S. EPA Region 4 – Basic Air Quality Training
Where Can I Get Help?
Clearing House for Inventories and Emission Factors (CHIEF)
U.S. EPA Region 4 – Basic Air Quality Training

83. U.S. EPA Region 4 – Basic Air Quality Training
For more information,
please contact:
Scott Martin
U.S. EPA Region 4 – Basic Air Quality Training