Guidance on Preparing Enforceable
Regulations and Compliance Programs for
the 15 Percent Rate-of-Progress Plans
Ozone/Carbon Monoxide Programs Branch
U.S. Environmental Protection Agency
Office of Air Quality Planning and
Standards
Research Triangle Park, NC 27711
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CONTENTS
Page
LIST OF TABLES iv
ACRONYMS AND ABBREVIATIONS V
EXECUTIVE SUMMARY 1
1.0 INTRODUCTION 3
1.1 Purpose 4
1.2 Statutory Requirements 7
1.3 Organization of Document 8
2.0 ESTABLISHING AN ENFORCEABLE STATE RULE 11
2.1 Stationary Source Regulations ., 11
Common RACT Rule Deficiencies 12
Model VOC RACT Rules 13
2.2 Mobile Source Regulations 13
Inspection and Maintenance (I/M) Programs 14
Stage II Vapor Recovery Control Programs 14
Transportation Control Measures (TCM's) 15
Reid Vapor Pressure (RVP) ...... 16
Reformulated Gasoline Program .....' 17
2.3 Economic Incentive Programs (EIP's) . . 17
Baseline EIP Issues 18
Emissions Quantification .... 18
Long-Term Averaging 19
Criteria for Monitoring, Recordkeeping, and
Reporting ... 20
3.0 -RULE EFFECTIVENESS: 21
3.1 Compliance Effectiveness '. . . . 21
Stationary Source Compliance Division (SSCD)
Study 22
3.2 Inventory Rule Effectiveness 23
3.3 Rule Effectiveness Improvements 23
3.4 SIP Effectiveness 23
4.0 DETERMINING COMPLIANCE WITH EPA REGULATIONS 25
4.1 Current Regulations Related to Compliance ..... 25
4.2 Enhanced Monitoring and Compliance Certification
Regulations 25
REFERENCES 29
APPENDIX A: DEFINITION OF TERMS . . . A-l
APPENDIX B: CHECKLIST FOR DETERMINING THE ACCEPTABILITY OF
STATE RULES B-l
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LIST OF TABLES
A-l. MAJOR SOURCE THRESHOLDS FOR OZONE
Page
, A-4
IV
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ACRONYMS AND ABBREVIATIONS
Act
CAAA
CC
CFR
CTG
EIP
EKMA
EM
EPA
FIP
FR
gal
I/M
kg
NAAQS
NOX
psi
RACT
RE
RVP
SIP
SSCD
TCM
tpy
UAM
VMT
VOC
Clean Air Act
Clean Air Act Amendments of 1990
Compliance Certification
Code of Federal Regulations
Control Technique Guideline
Economic Incentive Program
Empirical Kinetic Modeling Approach
Enhanced Monitoring
U.S. Environmental Protection Agency
Federal Implementation Plan
Federal Register
gallon
Inspection and Maintenance
kilogram
National Ambient Air Quality Standard
Nitrogen Oxides
pounds per square inch
Reasonably Available Control Technology
Rule Effectiveness
Reid Vapor Pressure
State Implementation Plan
Stationary Source Compliance Division of EPA's
Office of Air Quality Planning and Standards
Transportation Control Measure
tons per year
Urban Airshed Model
Vehicle Miles Traveled
Volatile Organic Compound(s)
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EXECUTIVE SUMMARY
Section 182(b)(l) of the Clean Air Act (Act) requires all
ozone nonattainment areas classified as moderate and above to
submit a State implementation plan (SIP) revision by November 15,
1993, which describes, in part, how the areas will achieve an
actual volatile organic compound (VOC) emissions reduction of at
least 15 percent during the first 6 years after enactment of the
Clean Air Act Amendments of 1990 (CAAA) (i.e., up to November 15,
1996). The portion of the SIP revision that illustrates the plan
for the achievement of this emissions reduction is subsequently
defined in this document as the "rate-of-progress plan."
The purpose of this document is to provide States with
guidance on how to prepare enforceable stationary and mobile
source regulations for their rate-of-progress plans. Developing
clear, concise, enforceable rules and establishing strong
compliance programs helps to, ensure that the emissions reductions
projected for specific control strategies are actually achieved.
The document identifies the minimum criteria and the information
sources that the U.S. Environmental Protection Agency (EPA) will
use to evaluate the enforceability of regulations, and to
determine compliance with Federal guidelines and regulations.
States should follow the guidelines provided in this document as
part of their quality assurance process involved in the
development of control measures for their rate-of-progress plans.
This document attempts to address compliance and enforcement
issues that typically arise during the development and
implementation of regulations. The document discusses the key
elements needed in stationary and mobile source regulations to
make the regulations enforceable. For stationary sources, issues
related to the development of reasonably available control
technology (RACT) rules are discussed. For mobile sources,
issues related to inspection and maintenance (I/M) programs,
Stage II vapor recovery programs, transportation control measures
(TCM's), gasoline volatility control programs, and reformulated
gasoline programs are discussed. The document also discusses
issues related to the development and implementation of economic
incentive programs (EIP's) for nonattainment areas- The EPA is
preparing regulations to implement the enhanced monitoring and
compliance certification (EM and CC) requirements of the Act.
This document provides a general overview of some of the key EM
and CC elements that States will need to consider when preparing
their regulations for stationary sources.
Rule effectiveness is a measure of the degree to which all
affected sources comply with an applicable regulation over time.
This document discusses the use of rule effectiveness
measurements to estimate compliance effectiveness, inventory rule
effectiveness, rule effectiveness improvements, and SIP
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effectiveness. Emphasis is placed on the method for determining
compliance effectiveness using the Stationary Source Compliance
Division fSSCD) study.
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1.0 INTRODUCTION
Section 182(b)(1) of the Act requires all ozone
nonattainment areas classified as moderate and above to submit a
SIP revision by November 15, 1993, which describes, in part, how
the areas will achieve an actual VOC emissions reduction of at
least 15 percent during the first 6 years after enactment of the
CAAA (up to November 15, 1996). Emissions and emissions
reductions shall be calculated on a typical weekday basis for the
"peak" 3-month ozone period (generally June through August). The
15 percent VOC emissions reduction required by November 15, 1996
is defined within this document as "rate-of-progress.Hl
Furthermore, the portion of the SIP revision that illustrates the
plan for the achievement of the emissions reduction is
subsequently defined in this document as the "rate-of-progress
plan."
It is important to note that section 182(b)(l) also requires
the SIP for moderate areas to provide for reductions in VOC and
nitrogen oxides (NOX) emissions "as necessary to attain the
national primary ambient air quality standard for ozone" by
November 15, 19'96. This requirement can be met through the use
of EPA-approved modeling techniques and the adoption of any
additionalcontrol measures beyond those needed to meet the
15 percent emissions reduction requirements. States with
intrastate moderate ozone nonattainment areas will generally be
required to submit attainment demonstrations with their SIP
revisions due by November 15, 1993 [such areas choosing to use
the Urban Airshed Model (UAM) to prepare their attainment
demonstrations will be allowed to submit attainment
demonstrations by November 15, 1994]. States choosing to run UAM
for their intrastate moderate areas must submit, by November 15,
*The EPA recognizes that the Act terms, for both the
15 percent VOC emissions reduction requirement of section
182(b)(l) and the section 182(c)(2)(B) requirement for 3 percent
per year VOC emissions reductions averaged over each consecutive
3-year period from November 15, 1996 until the attainment date,
as reasonable further progress requirements. However, because
the Act requires SIP revisions for the 15 percent reduction to be
submitted in 1993 and SIP revisions for the 3 percent per year
reductions to be submitted in 1994, EPA believes that it would be
clearer, within the context of both the 15 percent rate-of-
progress plan and the post-1996 rate-of-progress plan guidance
documents that EPA is producing, to create distinct labels for
these two seemingly similar reductions. The 1994 SIP revisions
describing the requirement for 3 percent VOC emissions reductions
averaged over each consecutive 3-year period from November 15,
1996 until the attainment date, constitute the post-1996 rate-of-
progress plan.
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1993, their 15 percent rate-of-progress plan and a committal SIP
addressing the attainment demonstration. The committal TIP
subject to a section 110(k)(4) approval would include, au a
minimum, evidence that grid modeling is well under way and a
commitment, with schedule, to complete the modeling and submit it
as a SIP revision by November 1994. The completed attainment
demonstration would include any additional controls needed for
attainment.
Section 182(c)(2) requires all ozone nonattainment areas
classified as serious and above to submit a SIP revision by
November 15, 1994 which describes, in part, how each area will
achieve additional VOC emissions reductions of 3 percent per year
averaged over each consecutive 3-year period from November 15,
1996 until the area's attainment date. It is important to note
that section 182(c)(2)(C) allows for actual NOX emissions
reductions (exceeding growth) that occur after the base year of
1990 to be used to meet post-1996 emissions reduction
requirements for ozone nonattainment areas classified as serious
and above, provided that such NOX reductions meet the criteria
outlined in forthcoming substitution guidance. The portion of
the^SIP revision (due in 1994) that illustrates the plan for the
achievement of these post-1996 reductions in VOC or NOX is
subsequently defined in this document as the "post-1996 rate-of-
prpgress plan." This plan must also contain an attainment
demonstration based on photochemical grid modeling. The EPA will
distribute a separate guidance document on the development of the
post-1996 rate-of-progress plan in early to mid-1993.
Demonstrating achievement of the 15 percent VOC emissions
reductions by November 15, 1996, and then subsequently
demonstrating achievement of the 3 percent per year VOC emissions
reductions averaged over each consecutive 3-year period from
November 15, 1996 until an area's attainment date, are termed
milestone demonstrations. Achievement of the milestones must be
demonstrated within 90 days of the milestone date (i.e., the
15 percent VOC emissions reductions must be demonstrated by
February 13, 1997). The EPA is currently developing a rule which
will describe the information and analysis required for the
milestone demonstrations. The rule is scheduled for promulgation
in the summer of 1994.
1.1 Purpose
The purpose of this document is to provide States with
guidance on how to prepare enforceable regulations and compliance
programs for their rate-of-progress plans. Developing clear,
concise, enforceable rules and establishing strong compliance
programs helps to ensure that the emissions reductions projected
for specific control strategies are actually achieved. This
document is intended to provide the minimum criteria for
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developing enforceable control measures. In addition,
information sources are cited that inform States of the criteria
EPA will use in evaluating stationary and mobile source
regulations submitted as SIP revisions under their rate-of-
progress plans. States should follow these guidelines as part of
the quality assurance process involved in the establishment of
their control measures. In addition, this document provides
guidance to States on EPA's forthcoming EM and CC regulations, as
well as EPA's .criteria for the measurement and determination of
source compliance.
Compliance and enforcement issues (e.g., recordkeeping)
related to the implementation of control measures needed to meet
the 15 percent VOC emissions reduction requirements are addressed
with respect to the following EPA regulations and guidance:
VOC SIP deficiencies and model Federal RACT rule
guidance.
Mobile source guidance, such as the TCM SIP
guidance and information documents.
Title V operating permit regulations.
Enhanced monitoring and compliance certification
regulations.
Because some of the' guidance and regulations are in the
development stage, States should track them as they evolve
through the regulatory process. For these cases, this document
serves as a general discussion of how EPA's enforcement and
compliance regulations and directives relate to the 15 percent
VOC emissions reduction requirements.
As part of the SIP revisions required under Title I of the
Act, States are required to make any necessary corrections to
their current RACT rules (RACT fix-ups) and provide for
additional RACT rules (RACT catch-ups). Although emissions
reductions due to RACT fix-ups are not creditable toward meeting
the 15 percent VOC emissions reduction requirement, examination
of past RACT rule deficiencies can help a State avoid developing
new rules with similar deficiencies. Emissions reductions from
new RACT catch-up rules are creditable toward the 15 percent-
requirement. The EPA has identified compliance issues related to
States' current programs, and has issued SIP calls to States
where EPA has noted significant RACT deficiencies. This document
highlights guidelines that will assist States in developing RACT
rules that comply with EPA guidance.
Additionally, new mobile source emissions reduction programs
are required in particular ozone nonattainment areas under the
CAAA. This document cites the appropriate EPA guidance and
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regulations that States should use in developing these programs.
The effective use of this information will assist staves ;n
developing and implementing mobile source programs tha~ i^et the
objectives of the Act.
An economic incentive program (EIP) is not a mandatory
requirement for any area to meet the .15 percent VOC emissions
reduction requirement. However, some areas may chose to
establish EIP's in order to allow for increased flexibility and
innovation in their control strategies. Therefore, this document
briefly discusses some of the general design and implementation
issues that the forthcoming EIP rules and guidance will address.
Rule effectiveness (RE) reflects the ability of a regulatory
program to achieve all the emissions reductions that could have
been achieved by full compliance with the applicable regulations
at all sources at all times. Many specific RE applications may
be generically referred to as RE. The appropriate method for
determining and using RE depends upon the purpose of the
determination: control program compliance, SIP inventories, SIP
improvement creditability, and SIP progress. This document
provides background on these four elements of RE. Emphasis is
placed on determining compliance effectiveness using a
methodology developed by EPA's Stationary Source Compliance
Division (SSCD), known as the SSCD Study. The SSCD Study
estimates the degree of compliance with an existing regulation by
comparing actual and allowable emissions for sources included in
the study.
The EM regulations combined with the CC requirements under
Part 70 will mandate which sources must certify compliance, how
they must certify compliance, and how often they must certify
compliance. The EM regulations will be implemented primarily
through the operating permits program under Title V of the Act.
Final regulations covering the implementation of the operating
permits program have been promulgated. (See reference 1.) Since
the EM and CC requirements will only apply to certain stationary
sources, enforcement and compliance guidance is also discussed
for those sources that will not be subject to the EM and CC
requirements.
This guidance is part of EPA's technical memoranda whose
objective is to assist States in preparing rate-of-progress plans
demonstrating how nonattainment areas are to achieve a 15 percent
reduction in VOC emissions over the period 1990 to 1996. This
guidance is not intended to supersede other reports or guidance,
and guidance documents that address certain subjects more
completely are identified herein.
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1.2 Statutory Requirements
Sections 182(b)(l)(A) and 182(c)(2)(A) of the Act specify
that ozone nonattainment areas classified as moderate or above
develop SIP's to provide for attainment of the national ambient
air quality standard (NAAQS) for ozone. One element of each SIP
must outline the adoption of RACT rules for designated source
categories and all major sources [section 182(b)(2)]. New model
RACT rules have been developed by EPA and may be used as
guidelines for areas subject to the RACT "fix-up" requirements of
section 182(a), and the RACT "catch-up" requirements specified in
section 182(b)(2). (See reference 2.)
Section 182(a)(2)(B) of the Act requires that moderate ozone
nonattainment areas meet the basic I/M program standard. In
addition, enhanced I/M programs, which must meet a higher
performance standard than the basic I/M program, are to be
implemented in any areas classified as serious or above [section
182(c) (3)]. According to section 182(d)(l), severe and extreme
nonattainment area SIP's must include a transportation control
measure (TCM) program. Section 182(c)(5) presents TCM's as
potential control measures for serious nonattainment areas where
future vehicle miles traveled (VMT) and congestion parameters
exceed those predicted in the SIP. Also, other nonattainment
areas may select TCM's as part of their overall control strategy.
A listing of some of the possible TCM's, including provisions for
reducing VMT and improving traffic flow, is provided in section
108(f) of the Act.
Stage II systems are vapor recovery systems installed at
gasoline pumps to reduce vehicle refueling emissions. Section
182(b)i(3) of the Act requires that all ozone nonattainment areas
classified as moderate or above implement a Stage II vapor
recovery program as a control measure. Section 202(a)(6) of the
Act provides an exemption from the Stage II requirement for
moderate ozone nonattainment areas after EPA promulgates on-board
vapor recovery standards. After consulting with the U.S.
Department of Transportation, EPA published in the Federal
Register its decision against promulgating on-board vapor
recovery standards (57 FR 13220, April 15, 1992), removing the
possibility of a Stage II exemption for moderate areas. However,
on January 22, 1993, the United States Court of Appeals for the
District of Columbia Circuit ruled that EPA's decision not to
require on-board vapor recovery controls be set aside and on-
board vapor recovery standards be promulgated pursuant to section
202(a)(6) of the Act. The EPA is currently studying a schedule
for complying with the court's ruling.
These provisions of the Act indicate that a State's
obligation to adopt Stage II rules for moderate areas continues
until on-board rules are actually promulgated. When on-board
rules are promulgated, a State may withdraw its Stage II rules
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for moderate areas from the SIP consistent with its obligation
under sections 182(b)(3) and 202(a)(6). Further guidance on
Stage II requirements for moderate nonattainment; <",;. a as seeking
redesignation will be forthcoming.
The EPA is further considering how this court ruling affects
a State's obligation under section 18.4(b) (2) regarding Stage II
or measures that get equivalent emissions reductions in the
Northeast ozone transport region. The section 184(b)(2)
requirement applies to all areas in the region regardless of the
ozone designation or classification. Guidance concerning the
Northeast ozone transport region will be issued at a later date.
Title II of the Act specifies Federal mobile source
regulations and control measures that must be implemented for
specified ozone nonattainment areas. For example, section
211(h)(1) mandates that EPA promulgate rules making it unlawful
for any^person during the high ozone season to sell, offer for
sale, dispense, supply, offer for supply, transport, or introduce
into commerce gasoline with a Reid vapor pressure (RVP) in excess
of 9.0 pounds per square inch (psi). Section 211(h)(2) further
provides that EPA may not impose a standard lower than 9.0 psi in
an attainment area for ozone, unless the area was formerly a
nonattainment area. Section 211(h)(4) provides a 1 psi waiver
for certain gasoline blends containing 10 percent ethanol. Under
section 211(k) of the Act, the sale of'reformulated gasoline will
be required in the nine largest cities with nonattainment areas
having the highest ozone design value, taking effect January 1,
1995. Other nonattainment areas may opt-in to this Federal
reformulated gasoline program.
Section 702(a) of the CAAA amended section 114(a) of the Act
by establishing stricter provisions concerning the recording,
reporting, and monitoring of emissions from any part of.a
stationary source which emits or has the potential to emit any
regulated pollutant. Section 702(b) of the CAAA amended section
114(a)(3) of the Act by adding EM and CC requirements that apply
to owners or operators of major stationary sources. The EPA is
currently developing regulations to implement the EM and CC
program, and proposed rules are expected in June 1993.
1.3 Organization of Document
This document is organized as follows. Section 2 provides
an overview of the characteristics of an enforceable rule, and
cites the guidance that EPA will use, at a minimum, to evaluate
the acceptability of State regulations for controlling.VOC
emissions from stationary and mobile sources. Once the rules
have been developed and implemented, a State may want to measure
the degree to which the affected sources are complying with the
regulations (known as rule effectiveness) in order to identify
weaknesses in the control strategies and to improve the accuracy
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of emissions estimates for the nonattainment area. Section 3
describes the four elements of rule effectiveness, including a
discussion of the method for calculating compliance
effectiveness. Section 4 of this document discusses how formal
determinations of source compliance with EPA regulations will be
made, which provides the basis for evaluating rule effectiveness.
Appendix A provides definitions for terms used throughout this
document. Appendix B provides a checklist that States may use to
evaluate the acceptability of their rules.
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2.0 ESTABLISHING AN ENFORCEABLE STATE RULE
When States establish regulations as part of their SIP's to
control stationary or mobile sources, the rules must undergo a
review by EPA to determine their acceptability. The general
criteria that are used to evaluate a rule take into account the
overall clarity and completeness of the rule. The rule must
clearly indicate what limits or standards apply to what sources,
and must outline enforceable compliance procedures (i.e.,
compliance test methods and inspections). In addition, the rule
must specify the time frames within which the provisions must be
met. Test methods, monitoring, recordkeeping, and reporting
requirements must be specified to establish the procedures for
determining a source's compliance status. In addition to
clarity, simplicity is an important characteristic of a rule
because complex rules are more likely to be misunderstood and
violated. Appendix B provides a checklist for States to use as
guidance when developing rules to meet EPA requirements.
General characteristics of an enforceable rule include:
A specific statement defining which sources comprise
the regulated universe.
An established emissions standard or limit that is
consistently applied to regulated sources.
A clear statement of the compliance period.
A description of the test methods and monitoring
procedures used to evaluate compliance with the
applicable limit.,
Conversion factors to convert test data into units of
the applicable standard (i.e., a calculation conversion
procedure to determine compliance).
Monitoring, recordkeeping, and reporting requirements
that are consistent with the compliance time frame.
Penalties (e.g., fines, sanctions) for sources in
violation.
Exemptions from the rule.
2.1 Stationary Source Regulations
The Act specifies that moderate and above nonattainment area
SIP's must include RACT regulations for designated source
categories and all "major new or modified sources." The EPA has
issued control technique guideline (CTG) documents that contain
information on recommended air pollution control techniques and
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their costs for many industrial source categories. A summary of
the existing CTG documents is provided in the EPA document
entitled Guidance for Growth Factors. Projections and Cor.trgji
Strategies for the 15 Percent Rate-of-Progress Plan. "(~See
reference 3.) The CTG's provide guidance to States for
developing their RACT rules. The CTG's represent EPA's
assessment of the degree of emissions reduction that is
reasonable for a specific source category. Upon publication of a
CTG document, States must submit a SIP revision that incorporates
regulations for the applicable source category. The CTG guidance
is not binding; a State may elect to follow the guidance or,
alternatively, may choose to adopt regulations which differ from
the CTG. The "alternative" RACT rule must be approved by EPA in
the initial SIP submittal or in a SIP revision.
It should be noted that the major source size cutoff is
lower for higher ozone nonattainment area classifications. For
example, in moderate ozone nonattainment areas, major sources are
defined as those emitting 100 tons per year (tpy) or more,
whereas in serious nonattainment areas, the size cutoff for a
major source is 50 tpy. Table A-l presents the major source size
cutoffs for classified and nonclassified nonattainment areas and
the ozone transport region nonattainment and attainment areas.
gomroon RACT Rule Deficiencies
The EPA issues a SIP call to a State pursuant to section
110(a)(2)(H) when it finds significant deficiencies in a State's
RACT rule(s). A deficiency involves a rule or portion of a rule
that is less stringent than RACT recommendations defined by a CTG
document. The publication entitled Issues Relating to VOC
Regulation Cutpoints. Deficiencies, and Deviations (see reference
4), lists the most prevalent ozone SIP deficiencies identified by
EPA. Most of the revisions to RACT rules required by the 1988
and 1989 SIP calls have been carried out, although some
deficiencies still exist. In the event that these deficiencies
are not corrected within 2 years after a finding of deficiency is
made, the Act authorizes EPA to prepare a Federal implementation
plan (FIP) for the negligent area.
Described below are some of the more prevalent RACT
deficiencies identified by EPA. States should be aware of these
common RACT deficiencies while establishing their RACT rules so
they can avoid future problems.
Under the pre-amended Act, RACT was required for sources not
regulated by a CTG that have the potential to emit 100 tpy of a
regulated pollutant. Some States have mistakenly interpreted
this provision as applying to individual emissions units emitting
100 tpy or more, but EPA interprets "non-CTG source" as the
aggregate of all the nonregulated sources at the plant.
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Many proposed State regulations specified a greater number
of RACT exemptions than those recommended in the CTG documents.
The exemption cutoffs established in some cases were not clearly
defined, which led to loose interpretations of the exemption
cutoffs. Many rules specified an inaccurate vapor pressure
cutoff, which resulted in some photochemically reactive VOC's
escaping regulation.
Coating rules for VOC's specify an emissions limit that is
usually expressed as kilograms (kg) of VOC/liter of coating (less
water and exempt solvents) [pounds of VOC/gallon (gal) of coating
(less water and exempt solvents)]. Many rules have not expressed
these limits as equivalent kg VOC/liter or pounds of VOC/gal of
solids as applied. The coating limit must be expressed in this
form (i.e., as-applied solids basis) in order to make a
compliance determination when cross-line averaging, emissions
trading, add-on control equipment, and/or credit for improved
transfer efficiency are allowed. Additionally, definitions
involved in a majority of VOC coating rules have been found to be
unacceptable or ambiguous.
Compliance time frames associated with a particular
emissions limit must be specified, and records must be kept
consistent with this compliance period to determine compliance
with the emission limitation. Missing or deficient records
render an accurate evaluation of compliance status impossible.
Also, the use of the most current EPA-approved test methods is
required, unless States submit alternative methods that are
formally approved as part of the SIP.
Model VOC RACT Rules
Model Federal VOC RACT rules are available to guide States
in developing rules for controlling VOC emissions from source
categories covered by CTG documents. A State may obtain a copy
of the model RACT rules from its EPA Regional Office. (See
reference 5.) These model rules will serve as the basis for
FIP's for areas failing to completely address deficiencies in
their existing RACT rules. Most of the previously released CTG
documents do not contain compliance provisions. However, the
model RACT rules include provisions for compliance certification,
monitoring, recordkeeping, and reporting, as well as the test
methods and procedures that enable a determination of compliance
status.
2.2 Mobile Source Regulations
In addition to stationary source controls, ozone
nonattainment areas must adopt rules to reduce emissions from
mobile sources. As with stationary source rules, effective State
mobile source control measures should follow the general criteria
outlined in section 2.0 of this document, which are the basis of
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any enforceable control program. Specific mobile source
provisions must be included in SIP's for particular non3,-*--1-ainment
area classifications. The measures that are required d^. 2r by
nonattainment area classification, and are outlined .In th-
General Preamble. (See reference 6.) It should be noted that
the RVP and reformulated gasoline programs are both Federal
programs that will go into effect without State action. There is
no statutory requirement that States adopt their own version of
these programs under State law. The following discussion
presents the various State and Federal mobile source programs and
refers the reader to the appropriate program development
guidance.
Inspection and Maintenance fl/M) Programs
The EPA is required to establish minimum performance
standards for I/M programs. Final regulations were published on
November 5, 1992 in the Federal Register. (See reference 7.)
Marginal ozone nonattainment areas with current or previously
required I/M programs are required to submit SIP revisions
necessary to meet EPA's existing basic I/M program standards,
which will be specified in 40 CFR Part 51, Subpart S. Moderate
ozone nonattainment areas must implement a basic I/M program
regardless of whether an I/M program was previously required.
For areas classified as serious and above with a 1980 population
of 200,000 or more, an enhanced I/M program must be implemented.
This enhanced I/M plan must meet higher performance standards
than the basic I/M program. These standards will also be
described^in 40 CFR Part 51. In addition, guidance on the costs
and benefits of enhanced I/M programs has been released by EPA in
draft form. (See reference 8.)
Stage II Vapor Recovery Control Programs
Owners or operators of gasoline dispensing systems that are
subject to Stage II controls are required to install gasoline
dispensing pump vapor control devices.2 These systems are
designed to control VOC releases, including releases of benzene
and other toxics, during the refueling process of motor vehicles.
The Act mandates that all areas classified as moderate and above
for ozone nonattainment implement a Stage II program as a control
measure. Two documents are available to guide States in
developing and implementing acceptable Stage II programs.
Technical information on Stage II programs is available in a 1991
2Although Stage II technically is a stationary source
control measure, it is included with the mobile source
regulations in this document because the Office of Mobile Sources
is responsible for Stage II enforcement activities. In addition,
EPA has recommended that the MOBILES model be used to calculate
emission factors for estimating refueling emissions.
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document entitled Technical Guidance - Stacre II Vapor Recovery
Systems for Control of Vehicle Refueling Emissions at Gasoline
Dispensing Facilities. (See reference 9.) A second document,
Enforcement Guidance for Stage II Vehicle Refueling Control
Programs (see reference 10), establishes the recommended elements
for an acceptable Stage II program. These criteria include:
Establishment of training and public education
programs.
Identification of facilities which will be subject to
Stage II requirements.
Data collection (recordkeeping) to monitor compliance.
Periodic inspections to ensure compliance.
Establishment of appropriate penalties for sources
violating the regulations.
Stage II vapor recovery programs are rated based on an in-
use effectiveness value which is the control efficiency of the
system multiplied by the RE value determined for the system. The
RE value accounts for efficiency decreases associated with
defects in the installation and/or operation and maintenance of
the system. All Stage II systems certified in California have
been shown to operate with at least 95 percent control
efficiency, a value which must 'then be multiplied by the
appropriate RE value to yield the appropriate in-use
effectiveness value. For example, using the 80 percent default
RE value for a system that is certified upon installation would
yield an in-use effectiveness value of 76 percent (i.e., 0.80 x
0.95). However, a State can use an 86 percent in-use
effectiveness value if no gasoline dispensing facilities are
exempt from the Stage II requirements, all below-ground vapor
piping systems are 100 percent properly installed, and the vapor
piping systems are inspected annually. For details concerning
these requirements, the reader should refer to the technical
guidance cited previously.
Transportation Control Measures CTCM's)
According to the Act, TCM's will likely be necessary
elements of control strategies for many nonattainment areas. A
listing of some of the possible measures to be implemented is
found in section 108(f) of the Act. These plans describe
strategies to reduce vehicle trips, induce changes in the type of
vehicles used, shift travel time, and/or improve traffic flow.
Two EPA documents comprise the guidance focusing on
identifying, evaluating, implementing, monitoring, and enforcing
TCM's: Transportation Control Measures; State Implementation
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Plan Guidance (see reference 11) , and Transportation Control
Measure Information Documents. (See reference 12.)
Transportation control measures should provide the. following so
that EPA can approve the measures in a SIP submittal:
A complete description of the measure and, if possible,
its estimated emissions reduction benefits.
Evidence that the measure was properly adopted by a
jurisdiction(s) with legal authority to execute the
measure.
Evidence that funding will be available to implement
the measure.
Evidence that all necessary approvals have been
obtained from all appropriate government offices.
Evidence that a complete schedule to plan, implement,
and enforce the measure has been adopted by the
implementing agencies.
A description of any monitoring program to evaluate the
measure's effectiveness and to allow for necessary in-
place corrections or alterations,
Reid Vapor Pressure fRVP)
The Act mandates that EPA promulgate regulations pertaining
to the handling of gasoline with an RVP in excess of 9.0 psi
during the peak ozone season. In addition, the Act further
states that EPA may not establish a standard lower than 9.0 psi
in an attainment area for ozone, unless the area had been
redesignated attainment from a former nonattainment area.
In the Phase II volatility rulemaking (see reference 13),
EPA established Federal RVP standards for 1992 and beyond; the
maximum RVP allowed under this rule is 9.0 psi. However, for
particular ozone nonattainment areas, EPA stipulates a standard
of 7.8 psi. The EPA recently revised this regulation on December
12, 1991, to conform with section 211(h) of the Act. (See
reference 14.)
The EPA document entitled Enforcement of Volatility
Regulations Questions and Answers (see reference 15), addresses
questions concerning how EPA intends to implement and enforce the
gasoline volatility regulations. Topics cover the applicable RVP
standard, regulated parties, defenses, test and sampling methods,
inspections, and notice of violations. A final section deals
with the relationship between State volatility programs and
Federal volatility standards. A State may adopt and enforce a
more stringent RVP standard only if its SIP so provides. The EPA
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may approve such a SIP revision upon a finding that the more
stringent State RVP standard is necessary to achieve the
applicable NAAQS [section 211(c)(4)]. For a thorough description
of these issues and a listing of ozone nonattainment areas and
their required RVP standards, refer to the above referenced
document.
Reformulated Gasoline Program
Section 211(k) of the Act mandates that EPA promulgate
regulations prohibiting the distribution and sale of conventional
gasoline in particular ozone nonattainment areas. The CAAA
require the sale of gasoline, that has been reformulated to be
less polluting, in the nine largest cities having designated
nonattainment areas with the highest ozone design values and any
nonattainment areas reclassified as severe. This prohibition
becomes effective January 1, 1995. Proposed provisions for the
reformulated gasoline program were published April 16, 1992 in
the Federal Register (FR). (See reference 16.) The Federal
reformulated gasoline program will be extended to additional
ozone nonattainment areas upon application of the Governor of the
State to EPA ("opt-in areas").
2.3 Economic Incentive Programs (EIP's)
Section 182(g)(4)(B) of the Act requires EPA to promulgate
rules for EIP's. The proposed rules were published February 23,
1993 at 58 FR 11110. (See reference 17.) A State with an
extreme ozone nonattainment area must submit an EIP when it fails
to submit a milestone compliance demonstration or to meet an
applicable rate-of-progress milestone. In addition, EIP's are
identified as an option for States to select upon such failures
in serious and severe ozone nonattainment areas. Discretionary
EIP's may be implemented by a State, as explicitly allowed for in
sections 110(a)(2)(A) and 172(c)(6) of the Act, for stationary,
area, and mobile sources. The purpose of this section is to
briefly discuss the forthcoming EIP rules (for mandatory EIP's)
and guidance (for discretionary EIP's) as they will address some
of the general design and implementation issues related to
approvable EIP's.
The EPA's upcoming rules and guidance are intended to ensure
that EIP's will result in real and quantifiable emissions
reductions and that such reductions will be surplus to reductions
required by, and credited to, other SIP provisions to avoid
double-counting of reductions. Additionally, the rules are
intended to ensure that such programs contain adequate and
appropriate compliance requirements to ensure that programs are
enforceable and that reductions are permanent within the time
frame specified in the program. The rules are not intended to
limit the flexibility and innovation of such programs.
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The creditability of emissions reductions obtained under
EIP' s toward the 15 percent VOC emissions reduction reqc -' rements
is discussed in the EPA document entitled Guidance on thu
Relationship Between the 15 Percent Rate-of-Procrress Plans and
OtherProvisions of the Clean Air Act. (See reference 18.)
States should keep in mind that reductions from EIP's must occur
before November 15, 1996, to be creditable toward the 15 percent
VOC emissions reduction requirements. Post-1996 VOC reductions
from EIP's will be addressed in forthcoming guidance on the post-
1996 rate-of-progress plans.
Baseline EIP Issues
Many types of EIP's require an emissions level as a starting
point for the program. This baseline level is required to
administer the program and measure the program's level of
compliance with its stated emissions reduction goal. The total
emissions level used as a starting point in an EIP is referred to
as the EIP baseline. For instance, a marketable allowance
program with an emissions cap must initially allocate some level
of allowable emissions to affected sources. After the program
begins, affected sources may adjust their individual emissions
cap by buying or selling emissions allowances from other sources.
All affected sources must periodically demonstrate that they are
in compliance with their emissions cap, as adjusted by trading.
The EPA is currently considering allowing the States
considerable flexibility in determining any baseline used as a
part of an EIP. Under certain circumstances, a State may choose
to establish an EIP baseline different than 1990 actual
emissions. In such cases, an EIP baseline may be established as
a function of actual emissions, allowable emissions, a
combination of actual and allowable emissions, or some other
basis. A State may want to establish the EIP baseline based on a
consideration of equity, economic conditions, or political
viability. However, it should be noted that the State must use
the 1990 actual base year inventory as the baseline for the
State's rate-of-progress plan. This issue is discussed in the
EPA document entitled Guidance on the Adjusted Base Year
Emissions Inventory and the 1996 Target for the 15 Percent Rate-
of-Progress Plans. (See reference 19.)
Quantification
Economic incentive programs require the development and use
of accurate, reliable, and replicable methods to quantify
emissions, 'including baseline emissions. Such methods should
address:
The general conceptual approach to quantification.
The averaging time of the data to be used.
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The means by which shutdowns; operational downtime;
and batch, seasonal, and cyclical operations are to
be accounted.
Appropriate sources of data.
The adequacy of the quality of the data.
The selected approach to emissions quantification should be
the most effective for a particular source type. Potential
approaches include direct measurement of emissions, either
continuously or periodically; equations which are a function of
process or control system parameters, ambient conditions, and
throughput or production rates; mass balance calculations which
are a function of inventory, usage, or disposal records; or any
combination of such approaches. It is expected that the
forthcoming rulemaking and guidance will not require the use of
any particular quantification approach, but will establish
criteria for selecting quantification approaches for different
general types of sources. This will help provide reasonable
certainty and consistency among programs with regard to emissions
quantification.
Loner-Term Averaging
The EPA requires that typical summer weekday emissions be
used in constructing the rate-of-progress plan and attainment
demonstrations. States wishing to incorporate long-term
averaging (i.e., longer than 24-hours) to quantify emissions in
their EIP will be required to ensure that the EIP:
Is consistent with the rate-of-progress plan and
attainment demonstrations.
Is accompanied by a demonstration that the
aggregate effect in terms of daily emissions and
ambient pollutant concentrations is equivalent to
that which would be obtained with a 24-hour
averaging time.
Contains additional constraints to ensure
equivalency with all applicable RACT requirements.
The EPA anticipates the need for additional guidance on
criteria for equivalency demonstrations, outlining the type of
data that a State would need to demonstrate statistical
associations between short- and long-term averaging times.
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Criteria for Monitoring. Recordkeeping,.and Reporting
Economic incentive programs are inherently morn , l;-:i:ible and
less prescriptive than traditional technology or perlormance
standards and, therefore, depend more heavily on monitoring,
recordkeeping, and reporting to ensure compliance and provide for
adequate enforcement. Because a wide range of monitoring methods
are available to show compliance for different sources, EPA
expects to leave the selection of the most appropriate approach
to the State in designing a program. However, EPA expects to
provide criteria on the selection of appropriate monitoring
methods, as well as recordkeeping and reporting requirements for
each affected source category.
The above discussion of EPA's current position regarding
EIP's is not official policy, but dpes reflect EPA's current
approach towards developing the EIP rules. The final EIP rules,
when promulgated, may differ from the above discussion.
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3.0 RULE EFFECTIVENESS
Rule effectiveness (RE) reflects the ability of a regulatory
program to achieve all the emissions reductions that could have
been achieved by full compliance with the applicable regulations
at all sources at all times. The appropriate method for
determining and using RE depends upon the purpose of the
determination: control program compliance, SIP inventories, SIP
improvement creditability, and SIP progress. Many specific RE
applications may be generically referred to as RE. The following
common uses fall under the generic umbrella RE.
Identifying and addressing weaknesses in control strategies
and^regulations related to compliance and enforcement
activities is called compliance effectiveness. These
applications fall under the purview of EPA's Stationary
Source Compliance Division (SSCD).
Improving the accuracy or representativeness of emission
estimates across a nonattainment area is called inventory
rule effectiveness. When used in a base year SIP (the usual
application), it is also called base year inventory RE.
When used for projections beyond the base year to develop
rate-of-progress plans and demonstrate attainment, it is
called projection year inventory RE.
Rule effectiveness improvements are measures taken to
improve rule compliance and affect emission reductions as
part of a rate-of-progress emission reduction program.
Measuring, defining, and refining the control strategy
process to achieve the required emission reductions
designated in the CAA is more accurately called SIP
effectiveness.
This section provides background on all four elements of RE;
however, the discussion focuses on the determination of
compliance effectiveness. The EPA is developing detailed
guidance on the above applications of RE in a forthcoming
document entitled, Rule Effectiveness: Integration of Inventory.
Compliance, and Assessment Applications. This document will be
released in the summer of 1993.
3.1 Compliance Effectiveness
Compliance effectiveness is a determination made to evaluate
the compliance (or noncompliance) of a particular source category
in a single geographic area using the SSCD Protocol Study
approach. The SSCD study methodology is detailed in a December
21, 1992_EPA memorandum. (See reference 20.) The study results
help to identify specific implementation problems which need to
be addressed by the State and EPA compliance and enforcement
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staff in order to achieve greater rule effectiveness in the
future.
Stationary Source Compliance Division CSSCD) Study
The SSCD Study procedure consists of two phases. The first
phase involves field inspection of a.representative number of
sources, whereby all applicable rules and policies are identified
and a determination of compliance status is made. The second
phase involves an office evaluation of the specific components of
rule implementation. The RE and compliance effectiveness
calculations are based on a comparison of actual emissions to the
allowable emissions for sources included in the study. Emissions
must be documented and the calculations must be based on
emissions testing, sampling, and usage data. The SIP
effectiveness calculations are based on a comparison of baseline,
current and projected emissions as determined in the base year
inventory, the current emissions inventory and projections of
uncontrolled growth and emissions after control by the
regulation.
Starting in 1989, RE studies were performed for single point
source categories according to the SSCD study protocol. The most
prominent implementation problems revealed in the studies
involved:
Inspection frequency.
Compliance determinations.
Inspection thoroughness.
Regulation exemptions.
Variances.
Permit loopholes.
Reporting and recordkeeping discrepancies.
Procedures to identify unregistered (or unknown)
sources that are subject to regulation.
While the SSCD study provides a good indication of the
compliance of a certain source category, it cannot be used to
determine compliance status per se. In other words, it cannot be
used as an enforcement tool, subjecting sources with an RE value
below a certain limit to fines or sanctions. Section 4 of this
document discusses EPA's provisions for determining source
compliance.
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3.2 Inventory Rule Effectiveness
Base year inventory RE is an adjustment to estimated
emissions data to account for emission underestimates due to
compliance failures and the inability of most inventory
techniques to include these failures in an emission estimate.
The RE adjustment is a category-specific, emission adjustment
applied to both point and area sources operating under emission
control rules. By definition, all source categories for which a
regulation exists should have an RE value between zero and 100
percent. Inherent in past emissions inventories was the
assumption that regulatory programs are 100 percent effective.
However, EPA has determined that 100 percent RE is uncommon.
Therefore, actual emissions reported in the SIP were
underestimated because RE was overestimated. Guidance is
available on the estimation and application RE values to the base
year emissions inventory. (See reference 21.)
Rule effectiveness must also be factored into the projected
inventories that support the SIP rate-of-progress plans. New
control measures cannot be assumed to be 100 percent effective;
the emissions estimates based on the emission control strategies
must account for the same effects of noncompliance as did the
base year inventory.
3.3 Rule Effectiveness Improvements
A rule effectiveness improvement is an improvement in the
implementation of a rule for a regulatory program. It refers to
a comparison of the implementation of the rules before the
improvement to the implementation of the rules after the
improvement. Rule effectiveness, improvements must reflect actual
emissions reductions. An RE improvement can; take several forms,
ranging from more frequent and in depth training of inspectors to
larger fines for sources that do not comply with a given rule.
The purpose of an RE improvement is to provide States with
additional measures to achieve actual emission reductions for
their SIP's.
Achieving creditable emissions reductions through RE
improvements is discussed in the EPA document entitled Guidance
for Growth Factors. Projections and Control Strategies for the 15
Percent Rate-of-Progress Plan. (See reference 22.) More
detailed information will be provided in the forthcoming document
entitled, "Rule Effectiveness: Integration of Inventory,
Compliance, and Assessment Applications."
3.4 SIP Effectiveness
SIP effectiveness is defined as the ability of the
attainment plan to achieve the planned emissions reductions. It
is estimated by comparing actual emissions reductions to the
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projected emissions reductions. By contrast, RE estimates the
degree to which an existing rule is working. High SIP
effectiveness may be due to over compliance, unrelated source
process changes, or overestimated growth. Low SIP effectiveness
may be caused by inadequate rules; poor compliance, emission
violations, variances, and enforcement problems; and unrealistic
baseline emissions, or underestimated growth. SIP effectiveness
evaluations can be used .in conjunction with compliance program
effectiveness to determine where implementation, emission
projections and/or rule development resulted in emission
shortfalls. Evaluating SIP effectiveness during implementation
of measures contained in the 15 percent rate-of-progress plan (or
attainment plan) may provide the State information to enable
revision of the SIP as necessary to achieve the emissions
reductions originally contemplated.
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4.0 DETERMINING COMPLIANCE WITH EPA REGULATIONS
The degree of compliance with established VOC regulations is
a significant factor in determining whether the emissions
reductions required under the rate-of-progress plan will be
achieved. Data collected and reported under monitoring,
recordkeeping, and reporting requirements will assist in
certifying the emissions reductions. This section discusses
existing monitoring, recordkeeping, and reporting provisions and
briefly describes the forthcoming enhanced monitoring (EM)3 and
compliance certification (CC) regulations.
4.1 Current Regulations Related to Compliance
Certain sources are already required under new source
performance standards to conduct monitoring and submit reports
detailing compliance and performance test methods. These
standards and the specific sources to which they apply are
described in 40 CFR Part 60. (See reference 23.) General source
surveillance provisions are outlined in 40 CFR Part 51, Subpart K
.(see reference 24), including the emissions monitoring,
reporting, and recordkeeping requirements of SIP's. Continuous
emissions monitoring is required for a small number of specific
source types under this regulation. In addition, some CTG
documents provide recommended monitoring and recordkeeping
provisions for the applicable source category. The forthcoming
EM and CC regulations described below are being developed to
complement and expand upon the above mentioned rules, targeting
the most significant sources of air pollution.
4.2 Enhanced Monitoring and Compliance Certification Regulations
Enhanced monitoring refers to monitoring by a source to
certify continuous compliance with emissions limitations and
standards. "Enhanced" means modified, if necessary, to meet the
specifications outlined by the forthcoming EM regulations as
required by the CAAA. When promulgated, the EM regulations
combined with the CC requirements of Part 70 will mandate which
sources must certify compliance, how they must certify
compliance, and how often they must certify compliance. In
accordance with section 114(a) of the Act, this certification is
anticipated to apply (.to pollutants for which the source has been
defined as major, occur no less than annually, and be based on
information collected by an enhanced monitoring protocol. The
necessary components that must be contained in a compliance
certification include:
3Enhanced monitoring in this context refers to specific
monitoring requirements for stationary sources and should not be
confused with enhanced air quality monitoring.
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Identification of the applicable requirement that is
the basis of the certification.
The method used for determining the compliance status
of the source.
The compliance status.
Whether compliance is continuous or intermittent.
It is expected that the EM regulations will be implemented
primarily through the Title V operating permit program. The
objective of the operating permit program is to implement, and to
ensure compliance with, the stationary source requirements of the
Act. Monitoring, recordkeeping, and reporting are some of the
required elements of permits issued for a regulated source. The
forthcoming EM regulations will further clarify these
requirements as they relate to the Title V operating permit
program.
An enhanced monitoring protocol may include all sampling,
measurement, analysis, recording, recordkeeping, and reporting
devices or procedures; and all testing, calibration, operation
and maintenance, data reduction, calculation, quality assurance,
and corrective action procedures. An enhanced monitoring
protocol provides a reasonable level of assurance that any period
of noncompliance will be detected.
Under the EM rules, the source owner or operator will
propose an enhanced monitoring protocol based on the selection
criteria outlined in the rules. If an adequate monitoring system
is not in place for an existing source, the permit application
must describe plans to establish an approvable protocol.
Permitting authorities will determine whether or not the proposed
enhanced monitoring protocol meets the enhanced monitoring
criteria. New sources will be required to adopt EM requirements
in preconstruction permits.
The EPA will not specify a particular type of monitoring
protocol for each source category. However, certain criteria
will be included in the EM regulations to ensure that a
monitoring protocol is sufficiently reliable. It is important to
note that certain sources are already required under other
established regulations to employ an approvable enhanced
monitoring protocol. (See reference 24.)
In certain cases, recordkeeping may serve as part of the
enhanced monitoring protocol to determine compliance (e.g., where
compliant coatings are used to meet a VOC standard at an
uncontrolled source). Alternatively, sources may select process
or control system parameter monitoring protocols provided they
can be correlated to the emissions limit. Permits for sources
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using process or control monitoring protocols must specify an
operating parameter standard that will be maintained. For
example, the permit might stipulate a minimum operating
temperature for an incinerator. Another option for sources, when
choosing a monitoring protocol, is a continuous emissions
monitoring system that employs a direct emissions monitoring
technique. Continuous emissions monitoring systems designed to
monitor VOC emissions are available and may be used to certify
compliance.
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REFERENCES
1. 57 FR 32250. "State Operating Permit Program; Final Rules."
July 21, 1992.
2. "Volatile Organic Compounds Rules for Reasonably Available
Control Technology," Memorandum, from G.T. Helms, U.S.
Environmental Protection Agency, Ozone/CO Programs Branch,
Research Triangle Park, NC, to Regional Division Directors.
June 24, 1992.
3. Guidance for Growth Factors. Projections, and Control
Strategies for the 15 Percent Rate-of-Progress Plans.
EPA-452/R-93-002, U.S. Environmental Protection Agency,
OAQPS, Research Triangle Park, NC. March 1993.
4- Issues Relating to VOC Regulation Cutpoints. Deficiencies.
and Deviations. U.S. Environmental Protection Agency,
Office of Air Quality Planning and Standards, Research
Triangle Park, NC. May 1988.
5. Reference 2.
6. 57 FR 13498. "General Preamble, Implementation of Title I,
Clean Air Act Amendments of 1990." April 16, 1992.
7. 57 FR 52950. "Inspection and Maintenance Program
Requirements." November 5, 1992.
8- I/M Costs. Benefits. Impacts and Analysis. Draft. U.S.
Environmental Protection Agency, Office of Mobile Sources,
Ann Arbor,, MI. February 1992.
9- Technical Guidance - Stage II Vapor Recovery Systems for
Control of Vehicle Refueling Emissions at Gasoline
Dispensing Facilities. EPA-450/3-91-022a. U.S.
Environmental Protection Agency, Office of Air Quality
Planning and Standards, Research Triangle Park, NC.
November 1991.
10 Enforcement Guidance for Stage II Vehicle Refueling Control
Programs. U.S. Environmental Protection Agency, Office of
Mobile Sources, Ann Arbor, MI. October 1991.
11 Transportation Control Measures: State Implementation Plan
Guidance. U.S. Environmental Protection Agency, Office of
Air Quality Planning and Standards, Research Triangle Park,
NC. September 1990.
12« Transportation Control Measure Information Documents. U.S.
Environmental Protection Agency, Office of Mobile Sources,
Ann Arbor, MI. March 1992.
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13. 55 FR 23666. "Volatility Regulations for Gasoline and
Alcohol Blends Sold in Calendar Years 1992 .and Ba^ord."
June ll, 1990.
14. 56 FR 64704. "Regulation of Fuels and Fuel Additives:
Standards for Gasoline Volatility." December 12, 1991.
15. Enforcement of Volatility Regulations Questions and
Answers. U.S. Environmental Protection Agency, Office of
Mobile Sources, Field Operations and Support Division, Ann
Arbor, MI. May 1992.
16. 57 FR 13416. "Regulation of Fuels and Fuel Additives;
Standards for Reformulated and Conventional Gasoline."
April 16, 1992.
17. 58 FR 11110. "Economic Incentive Program Rules." February
23, 1993.
18. Guidance on the Relationship Between the 15 Percent Rate-of-
Proaress Plans and Other Provisions of the Clean Air Act,
EPA-452/R-93-007, U.S. Environmental Protection Agency,
OAQPS, Research Triangle Park, NC. May 1993.
19. Guidance on the Adjusted Base Year Emissions Inventory and
the 1996 Target for the 15 Percent Rate-of-Progress Plan.
EPA-452/R-92-005, U.S. Environmental Protection Agency,
OAQPS, Research Triangle Park, NC. October 1992.
20. "Revised Rule Effectiveness National Protocol," Memorandum
from John B. Rasnic, U.S. Environmental Protection Agency,
Stationary Source Control Division, Washington, DC, to EPA
Regional Office Division Directors. December 21, 1992.
21. Guidelines for Estimating and Applying Rule Effectiveness
for Ozone/CO State Implementation Plan Base Year
Inventories. EPA-452/R-92-010. U.S. Environmental
Protection Agency, office of Air Quality Planning and
Standards, Ozone and Carbon Monoxide Programs Branch,
Research Triangle Park, NC. November 1992.
22. Reference 3.
23. 40 CFR Part 60. Standards of Performance for New Stationary
Sources.
24. 40 CFR Part 51. Requirements for Preparation. Adoption, and
Submittal of Implementation Plans.
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APPENDIX A: DEFINITION OF TERMS
This appendix provides the specific definitions of EPA terms
as they are used in this guidance. Different EPA programs
sometimes use different definitions of the same term (e.g., major
source). This appendix notes where conflicts occur in the
definition of a term used in this guidance. These definitions
are presented for the purposes of this guidance document only;
the reader is advised to refer to specific regulations, policies,
and sections of the Act to obtain complete definitions for the
program or title of interest.
Attainment Demonstration Moderate and above ozone nonattainment
areas must demonstrate that the reductions specified in the
revised SIP will result in modeled air quality for the
nonattainment area that achieves attainment by the applicable
attainment date. This requirement can be met through the
application of an EPA-approved model and EPA-approyed" modeling
techniques described in the current version of the Guidance on
Air Quality Models.4 which is currently under revision. Two
models are suggested: the UAM or the Empirical Kinetic Modeling
Approach (EKMA). The EPA requires the submittal .of attainment
demonstrations employing UAM for serious and above areas and
multi-State moderate areas as part of the SIP revision due by
November 15, 1994. Attainment demonstrations based on EKMA for
moderate nonattainment areas within a single state (intrastate
moderate areas) must be submitted as part of the SIP revision due
by November 15, 1993, unless the State chooses to use UAM, in
which case the demonstration must be submitted as part of the SIP
revision due by November 15, 1994. The use of EKMA is described
in Guideline for Use of Citv-Specific EKMA in Preparing Ozone
SIP's.5 as well as, the aforementioned guideline that is under
revision. This document, and the appropriate Regional Office,
should be consulted before an analysis is conducted with this
modeling approach. The use of UAM is described in Guideline for
Regulatory Application of the Urban Airshed Model.6
4Guidance on Air Quality Models (Revised), EPA-450/2-78-
027R, July 1986 (currently under revision).
Guideline for Use of Citv-Specific EKMA in Preparing Ozone
SIP's, EPA-450/4-80-027, U.S. Environmental Protection Agency.
1980.
Guideline for Regulatory Application of the Urban Airshed
Model. EPA-450/4-91-013, U.S. Environmental Protection Agency,
Office of Air Quality Planning and Standards, Research Triangle
Park, NC.
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Attainment Determination The EPA must determine within 6 months
after the applicable attainment date whether an area has attained
the NAAQS for ozone. The attainment dates are as follows:
« Marginal areas November 15, 1993.
Moderate areas November 15, 1996.
Serious areas November 15, 1999.
Severe areas November 15, 2005 (severe areas
with a 1986-1988 ozone design value
of 0.190 up to, but not including
0.280 parts per million have until
November 15, 2007).
Extreme areas November 15, 2010.
In making the attainment determination, EPA will use the most
recently available, quality-assured air quality data covering the
3-year period preceding the attainment date. For ozone, the
average number of exceedances per year after adjustment for
missing data are used to determine whether the area has attained.
Basic Inspection and Maintenance d/M) Programs requiring the
inspection of vehicles including, but .not limited to, measurement
of^tailpipe emissions, and mandating that .vehicles with tailpipe
emissions higher than the program outpoints be repaired to pass a
tailpipe emissions retest. Basic I/M programs must be at least
as stringent as the requirements set out in section 182(a)(2)(B).
Compliance Certification A demonstration of compliance through
the use of an enhanced monitoring protocol, adhering to the
provisions outlined in section 114(a) of the Act.
Compliance Certification Report A report submitted by a
stationary source to the permitting authority at least annually,
demonstrating compliance with the applicable requirements of the
CAAA.
Continuous Emissions Monitoring System The equipment used to
sample, analyze, and provide a permanent record of emissions on a
continuous basis.
Control Technique Guideline (CTG) Documents prepared by EPA to
meet the requirements of section 108 of the Act which recommend
RACT for particular categories of stationary sources. These
include 29 CTG's published prior to 1990 and 13 new CTG's
mandated by section 183 of the Act. These documents provide
information relating to the cost of installation and operation,
the emissions reduction benefits, energy requirements, and the
environmental effects of reasonably available emissions reduction
techniques applicable to a particular category of existing
sources. Each CTG category document recommends RACT controls
based on the "presumptive norm" for a particular source category.
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Enhanced Inspection and Maintenance A program including, at a
minimum, computerized emissions analyzers, on-road testing,
denial of waivers for warranted vehicles or repairs related to
tampering, a $450 cost waiver requirement for emissions-related
repairs not covered by warranty, and inspection of the emissions
control diagnostic system (when required by EPA). In addition,
enforcement through registration denial, annual inspections, and
centralized testing are required, unless less stringent measures
can be proven fully effective by the State (or, in the case of
enforcement, more effective).
Enhanced Monitoring The monitoring of emissions limitations and
standards by a source to certify compliance. "Enhanced" refers
to modified, if necessary, to meet the requirements described
below for an enhanced monitoring protocol.
Enhanced Monitoring Protocol An enhanced monitoring protocol may
include all sampling, measurement, analysis, recording,
recordkeeping and reporting devices or procedures; and all
testing, calibration, operation and maintenance, data reduction,
calculation, quality assurance, and corrective action procedures.
Maior Stationary Source The Act has multiple definitions for
major stationary sources depending upon the nonattainment
classification and the pollutant. Section 302 of the Act defines
a major stationary source as one that directly emits, or has the
potential to emit, 100 tpy or more of any air pollutant. As
exceptions to this rule, major stationary source emissions
thresholds, as defined in Part D of Title I of the Act, are
listed in Table A-l for both VOC and NOX sources.
Reasonably Available Control Technology CRAdM The lowest
emissions, limit that a particular source is capable of achieving
by the application of control technology that is reasonably
available, considering technological and economic feasibility.
RACT "Catch-uDs" The application of RACT for all applicable
sources as listed in section 182(b)(2), regardless of what was
previously required. Each moderate and above ozone nonattainment
area (as well as attainment areas within the ozone transport
region) are subject to the RACT "catch-up" requirement of section
182(b)(2). The new law requires any of the above areas that had
not previously been required to adopt RACT consistent with all of
the CTG's to "catch-up" arid apply RACT to all sources covered by
a preenactment or post-enactment CTG document. Many of these
areas were not previously required to apply RACT to sources
covered by Group III CTG's (CTG's published after September
1982). In addition, areas previously considered rural
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TABLE A-l. MAJOR SOURCE THRESHOLDS FOR OZONE
NONATTAINMENT AREA CLASSIFICATIONS
Ozone Nonattainment
Extreme
Severe
Serious
Moderate
Moderate ,
Marginal
Marginal ,
All Other
an Ozone
Area
in an Ozone Transport Region
in an Ozone Transport Region
Nonattainment Areas, outside of
Transport Region7
VOC
(tpy)6
10
25
50
100
50
100
50
100
NOX
(tpy)6
10
25
50
100
100
100
100 .
100
All Other Nonattainment Areas, in an Ozone
Transport Region7
Attainment, in an Ozone Transport Region
100
50
100
100
fitpy = tons per year
7The other nonattainment areas are submarginal, transitional, and
incomplete/no data.
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nonattainment, which had to apply RACT only to certain major
sources in certain CTG categories under prior policy, will have
to revise their SIP's to apply RACT to all sources, including
nonmajor sources, that are covered by any CTG. The RACT "catch-
up" provision also requires these nonattainment areas to adopt
RACT rules for all major sources not covered by a CTG.
Additional information on the RACT "catch-up" program will be
provided in forthcoming guidance regarding the interaction of
RACT rules with emissions inventories.
RACT "Fix-ups" Corrections States are required to make under
section 182(a) (2) (1) to their current RACT rules to make up for
deficiencies (e.g., improper exemptions) in pre-amendment plans.
Under RACT "fix-ups," States are required to have RACT rules that
comply with section 172(b) of the pre-1990 Act, as interpreted by
EPA's pre-amendment guidance. Since the RACT "fix-up" provisions
refer to RACT as required by pre-amended section 172(b), only
areas subject to pre-amended section 172(b) need to meet the RACT
"fix-up" requirement. Therefore, for nonattainment areas that
will be expanded to contain regions that were designated
attainment prior to enactment, the RACT corrections are only for
the original nonattainment area. The RACT "fix-up" provision
essentially codifies EPA's SIP calls, issued in May 1988 and
November 1989 [as announced in the Federal Register on September
7, 1988 (53 PR 34500) and July 30, 1990 (55 FR 30973)]. The RACT
fix-ups were due on May 15, 1991. Between May 24 and June 24,
1991, EPA's Regional offices mailed letters to several Governors
and air agency officials concerning the progress of the States in
meeting RACT "fix-up" requirements and listing the outstanding
deficiencies that still had not been corrected. Additional
information on the RACT "fix-up" program will be provided in
forthcoming guidance regarding the interaction of RACT rules with
emissions inventories.
Rate-of-Progress Plan The portion of the SIP revision due by
November 15, 1993, that describes how moderate and above ozone
nonattainment areas plan to achieve the 15 percent VOC emissions
reduction. All moderate intrastate areas that choose to utilize
the EKMA in their attainment demonstration, are also required to
include their attainment demonstration in this SIP revision.
Reformulated Gasoline A blend of gasoline that is certified as
meeting all the requirements applicable to reformulated gasoline.
These requirements have been proposed as 40 CFR Part 80,
Subpart D, and include:
At least 2.0 percent oxygen by weight.
No more than 1.0 percent benzene by volume.
No heavy metals, absent a waiver by EPA.
No increase in NO_ emissions from baseline vehicles.
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Required reductions in emissions of ozone forming
VOC s .
Required reductions in toxics emissions.
Compliance with the emissions requirements is determined by
comparing emissions of baseline vehicles (representative model
year 1990 motor vehicles) using a baseline gasoline [specified in
section 211 (k) of the Act] with emissions of baseline vehicles
using the reformulated gasoline. The EPA's proposed regulations
provide for the use of credits to meet the above requirements
under specified circumstances.
Reid Vapor Pressure (RVP) A maximum gasoline volatility level
established to reduce summertime gasoline volatility. Depending
on the area, gasoline RVP may not exceed 9.0 psi or 7.8 psi
between May 1 and September 15, beginning in 1992. Regulations
established by EPA are published in 40 CFR Part 80.
Rule Effectiveness (RE) For stationary sources, a measure of the
extent to which a regulatory program achieves emissions
reductions. An RE of 100 percent reflects a regulatory program
achieving all the emissions reductions that could be achieved by
full compliance with the applicable regulations at all sources at
all times. However, regulations typically are not 100 percent
effective due to limitations of control techniques or
shortcomings in the implementation and enforcement process. The
EPA allows the use of several different methods for determining
RE including an 80 percent default value, results from EPA
questionnaires, and results from an SSCD study.
Stage II Gasoline dispensing devices that control VOC vapor
releases during the refueling of motor vehicles. This process
takes the vapors that would otherwise be emitted directly into
the atmosphere during refueling, and redirects them back into the
fuel storage tanks.
Transportation Control Measure fTCM^ Any program that
encompasses elements of transportation system management and/ or
transportation demand management. Transportation system
management strategies generally refer to the use of low capital
intensive transportation improvements to increase the efficiency
of transportation facilities and services. Transportation demand
management generally refers to policies, programs, and actions
that are directed towards increasing the use of high occupancy
vehicles (transit, carpooling, and vanpooling) and the use of
bicycling and walking. Section 108 (f) of the Act lists the
following programs as examples of TCM's:
Accelerated retirement of vehicles.
Activity centers.
Area-wide ridesharing.
Bicycling alternatives to motor vehicle travel.
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Employer-based transportation management programs.
Limitations on extended vehicle idling.
Control of extreme low-temperature cold starts.
High occupancy vehicle lanes.
Park and ride and fringe parking.
Parking management programs.
Minimization of congestion, during special events.
Traffic flow improvements.
Transit improvements.
Trip-reduction ordinances.
Vehicle use limitations/restrictions.
Work schedule changes.
Volatile Organic Compound fVOC) Any compound of carbon,
excluding carbon monoxide, carbon dioxide, carbonic acid,
metallic carbides or carbonates, and ammonium carbonate, which
participates in atmospheric photochemical reactions. This
includes any organic compound other than those EPA has determined
to have negligible photochemical reactivity.8
Federal Register 3945, February 3, 1992
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APPENDIX B:
CHECKLIST FOR DETERMINING THE ACCEPTABILITY OF STATE RULES
1. Does the rule clearly cite the State's correct authority for
rulemaking?
YES NO
2. Does the rule include any uncorrected deficiencies as
specified in a SIP-call?
YES NO
3. Does the rule clearly define which sources are subject to
the rule?
YES NO
4. Does the rule document the State's authority to install,
maintain, and use emissions monitoring and control devices?
YES NO
5. Are all applicable requirements identified in the permit:
Emissions limits? YES NO
Averaging times? YES NO
Compliance schedule? YES NO
Monitoring? YES NO
Recordkeeping? YES NO
Reporting? YES NO
Operation and maintenance? YES NO
Test requirements?9 YES NO
6. Is the required test method explicitly stated in the rule?
YES NO
9For examples of approved test methods, see "Test Methods or
Procedures for Group I, II, and III CTG's" in: Issues Relating to
VOC Regulations. Cutpoints, Deficiencies, and Deviationsr EPA,
Ozone/Carbon Monoxide Program Branch, Air Quality Management
Division, Office of Air Quality Management, May 25, 1988.
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7. Is the averaging time in the compliance test method
explicitly stated in the rule?
YES NO
8. Is the averaging time used in the rule consistent with
protecting the ambient standard (i.e., equal to or shorter
than the time associated with the standard)?
YES ' NO
9. If bubbling or averaging is allowed, is there an explicit
description in the rule of how averaging, bubbling or
equivalency is to be determined?
YES NO
10. Do requests for extended averaging times for VOC sources
include the criteria outlined in John O'Connor's January 20,
1984 memo titled "Averaging Times for Compliance with VOC
Emission Limits - SIP Revision Policy?"
YES NO
11. Is the compliance date no later than the approved date of
attainment?
YES NO
12. Does the State require the source to keep records sufficient
to enable a determination of compliance status?
YES NO
13. Are the units of compliance (e.g., pounds of VOC/gal of
coating minus water and exempt solvents) clearly stated in
the rule?
YES NO
14. If a compliance calculation is required to determine
compliance, is the formula stated in the rule?
YES NO
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15. Does the rule affirmatively require records to be kept and
reports made? Categories of records are;
Monitoring provisions for
add-on control YES NO
Quantity of each coating used YES NO
Solids and solvents content of
each coating used YES NO
Allowable and actual emissions YES NO
Transfer efficiencies YES NO
Hours of operation of each line YES NO
16. Is it clear in what units and on what time basis the
records/reports must be kept/reported?
YES NO
17. Does the frequency of recordkeeping coincide with
emissions/production averaging time?
YES NO
18. Are the allowable exemptions clearly defined and
distinguished from what constitutes a violation?
YES NO
19. Is the calculation procedure for exemption clearly specified
in the rule?
YES NO
20. Does the rule include malfunction provisions specifying what
exceedance may be excused?
YES NO
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