&EFA
            United States
            Environmental Protection
            Agency
            Office of Air Quality
            Planning and Standards
            Research Triangle Park NC 27711
EPA-450/2-81-002
March 1981
            Air
Processing
Procedures
For SIP Revisions
(And 111 (d) Plans)

-------
                         EPA-450/2-81-002
Processing Procedures
   For SIP Revisions
  (And 111(d) Plans)
  U.S. ENVIRONMENTAL PROTECTION AGENCY
   Office of Air Quality Planning and Standards
     Research Triangle Park, NC 27711

           March 1981

-------
This guideline is being issued by the Office of Air Quality Planning
and Standards (OAQPS) to provide information to EPA Regional
Offices, State and local air pollution control agencies, and the public
on EPA preparation and processing of revisions to State Implementa-
tion Plans.  The guideline will be available , as supplies permit, from
the Library Services Office  (MD 35), U.S. Environmental Protection
Agency, Research Triangle Park, North Carolina 27711, or for a nomi-
nal fee, from the National Technical Information Service,  5285 Port
Royal Road,  Springfield, Virginia 22161.
                    Publication No. EPA-450/2-81-002
                                      ii

-------
                             ACKNOWLEDGEMENT
     This guideline was primarily prepared by Ted Creekmore and
Joseph Sableski of the Control  Programs Development Division,  Office
of Air Quality Planning and Standards, Environmental  Protection
Agency.  Other EPA Headquarters'  Offices and EPA Regional  Offices
contributed many valuable comments and suggestions during  preparation
of the guideline.
                                      m

-------
                       PREFACE
      is our intention to make this guideline a dynamic record of SIP
        -srttWKa
revised as EPA makes major changes in SIP

-------
                            TABLE OF CONTENTS


                                                                  Page

Ac know!edgement	

Preface	

List of Figures	   vii

List of Abbreviations	   V1'ii
1 .0  INTRODUCTION
     1.1  Purpose
     1.2  Overview
2.0  FEDERAL REGISTER PACKAGES ...................................  4
     2.1  Content ................................................  J
          2.1.1  Proposed Rulemaking .............................  4
          2.1.2  Final Rulemaking ................................  5
          2.1.3  Relevant Information for SIP Review .............  5
          2.1.4  SIP Revisions Originated by the Regional
                 Office ..........................................  8
     2.2  Rn-Manrp fnr Preparation of Federal Register Actions...  9
     2.3  Rationale for Approval/Disapproval of State
          Submitted SIP Revisions ................................  10
     2.4  Procedural Problems - When SIP Revisions are not
          Approvable .............................................  ]?
     2.5  Incorporation by Reference .............................  13

3.0  NORMAL/SPECIAL CLASSIFICATION OF PLAN REVISIONS .............  16
     3.1  General ................................................  16

4.0  HEADQUARTERS REVIEW AND COORDINATION ........................  "19
     4.1  Office of the Administrator ............................  19
          4.1.1  Office of General Counsel .......................   19
          4.1.2  Office of Regional Liaison ......................  19
     4.2  Office of Air, Noise, and Radiation ....................  20
          4.2.1  Office of Air Quality Planning and
                 Standards .......................................  20
          4.2.2  Office of Transportation  and Land Use
                 Policy ..........................................  20
          4.2.3  Office of Mobile Source Air  Pollution
                 Control .........................................  20

-------
     4.3   Office  of Enforcement	   21
          4.3.1   Office of General  Enforcement	   21
          4.3.2   Office of Mobile Source,  Noise  and
                 Radiation Enforcement	   21
     4.4   Office  of Planning  and  Management	   21
          4.4.1   Office of Planning and  Evaluation	   21
          4.4.2   Office of Administration	   22
     4.5   Assistance to Regional  Offices by Headquarters
          Staff  Offices	   22

5.0  PROCESSING  OF NORMAL SIP REVISIONS	   24
     5.1   Proposed Rulemaking	   24
     5.2   Handling Public Comments	   26
     5.3   Final  Rulemaking	   26
     5.4   Procedure for Headquarters to  Change a Normal
          Action to a Special Action Issue	   27

6.0  PROCESSING OF SPECIAL ACTION SIP REVISIONS	   28
     6.1   Proposed Rulemaking	   28
     6.2   Handling Public Comments	   29
     6.3  Final  Rulemaking Action	   29
     6.4  Non-Concurrence	   30


APPENDIX A  Plans  for  111(d) Implementation	   A-l

APPENDIX B  Special Processing Requirements	   B-1

APPENDIX C  Address of Headquarters Offices which
            Review or  Process SIPs	   L" '

-------
                             LIST OF FIGURES
                                                                  Pa^e
FIGURE 1


FIGURE 2


FIGURE 3


FIGURE 4


FIGURE 5
Organization Chart for Headquarters Review
and Coordination	
Federal Register Components - Final Rulemaking,
Normal Action
Federal Register Components - Final Rulemaking,
Special Action	•
Procedures for Normal SIP Revisions (and lll(d)
Plans)	

Procedures for Special Action SIP Revisions (and
lll(d) Plans)	
7


31


32

-------
                          LIST OF ABBREVIATIONS
  OGC
  ORL
     AQNRD
             Administrator
             Office of General  Counsel
             Air Quality,  Noise,  and  Radiation  Division
             Office of Regional  Liaison
OANR
  OTLUP
  OAQPS
     CPDD
  OMSAPC
     ECTD
             Office of Air,  Noise,  and Radiation
             Office of Transportation and Land  Use  Policy
             Office of Air Quality  Planning and Standards
             Control  Programs Development Division
             Office of Mobile Source Air Pollution  Control
             Emission Control Technology Division
OE
  OGE
     DSSE
  OMSNRE
     FOSD
             Office of Enforcement
             Office of General  Enforcement
             Division of Stationary Source Enforcement
             Office of Mobile Source,  Noise and Radiation Enforcement
             Field Operations and Support Division
0PM
  OPE

  OA
SRD
     PIRU
Office of Planning and Management
Office of Planning and Evaluation
Standards and Regulations Division
Office of Administration
Public Information Reference Unit
AA
RO
RA
OFR
FRO
             Assistant Administrator
             Regional Office
             Regional Administrator
             Office of Federal Register
             Federal Register Officer
                                      vm

-------An error occurred while trying to OCR this image.

-------
        PROCESSING  PROCEDURES  FOR  SIP  REVISIONS  (AND  lll(d)  PLANS)

                            1.0   INTRODUCTION
 1.1   Purpose
      This  guideline was  originally  issued  in June 1973.  Subsequent
 revisions  were made in April  and  October 1975, and September 1976.  The
 major revisions  to previous guidelines involved publication of State
 submitted  revisions to SIPs as proposed rulemaking for public comment,
 and  the use of the normal and special action categories in processing
 SIP  revisions.
      This  document supersedes OAQPS Guideline No. 1.2-005A (Revised
 9/76)  entitled Revisions to_ State Implementation Plans - Procedures for
 Approval/Pisapproval Actions which was distributed on October 12, 1976.
      Major new provisions in this action are as follows:
      a.  At present, ORL only distributes copies for the Regions of
 Part  D special action plans to Headquarters offices located in Washington, D.C.
 In the future ORL has agreed to distribute all  special actions to Headquarters
 offices located  in Washington, D.C.
      b.  Procedures for processing m(d)  plans are now covered by this
 guideline.  These procedures are generally the  same as those for processing
 SIP revisions.  For a discussion of lll(d)  plans see Appendix A - Plans
 for 111(d) Implementation.
     c.  Section 307(a)  of the Clean Air Act Amendments of 1977 specifies
administrative procedures which require that a  docket be established for
each EPA originated SIP  rulemaking action  at the proposal  stage.   The
docket must contain all  data,  information,  and  documents on which the
proposed rule relies as  of the date  of the  publication of the proposed

-------
rule.   This requirement does not apply to State-submitted SIP revision
plans.  This guideline includes a brief discussion of docket requirements
for Regional Office-originated SIP revisions (see Section 2.1.4).
     d.  New procedures for incorporation by reference of State-
submitted SIP materials are discussed in Section 2.5 - I notation by_
Reference^
      e.  Exceptions to the  general processing guidance are discussed  in
Appendix B.  Future exceptions  will  be  incorporated  into Appendix B
through  supplemental  issuances  of  that  Appendix.
      f.  The guideline has  a  new cover  because  the OAQPS  Guideline
 Series has been discontinued.   All  future guidelines will  have  EPA
 numbers  only.   This  action  also changes the title from Revision to
 SIPs - Procedures for ^^^^^1^^ ^1^-  to Prpcessina Procedures.
 for SI£ ReyjJLionjL land TjUdl Plans!.  We feel  that the new title is
 more descriptive.
 1 .2  Overview
      These procedures apply to m(d) plans and to all SIP-related
 actions  that  involve a  change or modification  in the SIPs  (compliance
 schedules, control  strategy, emergency  episode, resources,  etc.).
       The Regional  Office is  responsible for direct  interface  with  the
  State in matters involving the  development and submittal  of SIP revisions.
  This includes responsibility for seeing that  all  material  germane  to
  revisions have been received from the State and forwarded for review,
  evaluation, recommendations and action.  Thus, any materials received

-------
 from a State which will have a bearing on EPA rulemaking should be
 forwarded immediately to involved Headquarters'  offices.
      EPA uses a classification system to determine how SIPs are processed.
 Normal  actions require minimal  Headquarters'  review.   Special  actions
 require Headquarters'  concurrence.   The ORL  in Washington will  coordinate
 processing  of special  action SIP  revisions.
      States,  EPA Regional Offices or Headquarters  may  initiate  SIP
 revisions.  This guideline  covers principally State-initiated actions.
 Procedures  for  SIP  processing are shown  in Figures 4 and  5  on pages 31
 and  32.
     An  issue of major concern to the reviewing offices  is  the completeness
 of the materials they receive for review.  Five offices receive copies
 of the entire rulemaking package; OGC, CPDD,  SRD, PIRU, and OFR.  OTLUP,
 DSSE, FOSD, and  ECTD receive only that portion of the plan which pertains
 to their program area.   The Regions should be certain that offices
 receiving portions of a plan, such as transportation control measures,
or I/M plans,  receive all the information relevant  to that portion of
the plan.

-------
                     2.0  FEDERAL REGISTER PACKAGES
2.1  Content
2.1.1  Proposed Rulemaking - federal Register: actions submitted by the
States have two stages:  A proposed rulemaking stage in which public
comment is solicited on the proposed action; and a final rulemaking
stage  in which EPA promulgates the action.  All proposed rulemaking
packages should include three components:  the transmittal memorandum
(original), proposed regulatory  portion  (original  and 5 copies), and
attachments (1 copy).
      The transmittal memorandum  should:
           a.   Designate the proposal  as  a special  action,  or a  normal
      action in the subject line,
           b.   Detail  any information needed to explain  the package, and
      for special  actions, explain why the SIP revision  is so classified.
           c.   Include the name and telephone number of a person in the
      Region to be contacted if questions arise, and
           d.  For special actions only,  list the  reviewing offices
       receiving copies  of  the package.
       The  regulatory portion composed of  the  preamble and  regulations
  should  state  that certain specific material  has  been received  from a
  State as  a proposed amendment to the SIP,  summarize  the  content of the
  proposal, and explain that the  proposal  is  available for public comment.
  To the extent warranted by the  complexity of the action, the workload of
  the Regional  Office,  and other  relevant considerations,  a statement
  should be put in the preamble indicating whether EPA thinks the revision
  is approvable.
       The attachments  include a  copy of  the State submittal, and any
  other appropriate technical documentation.  For  special  actions,  a
   summary  of the  State  hearing should be  included.

-------
 2.1.2  Final Rulemaking - The final rulemaking package may contain as
 many as five components.   Figures 2 and 3 list in sequence the possible
 components of the final rulemaking packages for a normal  and special
 action SIP revision.   The transmittal  memorandum should cover the same
 four items as discussed above for the  proposal.   The action  memorandum
 should specify (a)  the date the proposal  was  published in the Federal
 Register,  (b) the normal  versus special  action determination,  (c)  the
 initiator  (i.e.,  a  State  or EPA),  and  (d)  significant aspects  of  the
 revision.   The attachments  should  include  any  revisions  to the State
 submittal  made since  Federal  proposal.   Finally,  the  Regional  Offices
 should include a  copy of  the  State  submittal for  incorporation by  reference.
 Sections 5  and 6  of this  guideline  discuss  the preparation of  final
 rulemaking  packages.
     An alternative to  this structure  is to combine the items  in the
 transmittal  and action  memoranda into one action memorandum as  some
 Regions do.   This is  especially appropriate when it is a normal action
 of a routine  nature.
 2.1.3  Relevant Information for SIP Review - In processing SIPs, it is
 important that review offices receive all relevant materials at the
 beginning of  the 14-day comment period.  If Headquarters offices do not
 receive all relevant material, the 14 day period will not start.
     If the plan revision is controversial, the Regions should send a
copy (along with any other pertinent information) to appropriate Headquarters
offices immediately after receipt from  the State.  This will  allow
Headquarters more time to become familiar with the action, and may
prevent review problems later.

-------
             FIGURE  2.   FEDERAL  REGISTER  PACKAGE  COMPONENTS  -

                        FINAL  RULEMAKING,  NORMAL  ACTIONa'b
                                                STATE  SUBMITTAL
                                                (For  incorporation
                                                by  reference)
                                    ATTACHMENTS
                                    (Rationale and
                                    supplementary materials)
                        REGULATORY PORTION
                        (Includes Preamble and
                        Regulatory Section)
            ACTION MEMO
            From RA to the
            Administrator
TRANSMITTAL MEMORANDUM
From RA to Federal
Register Officer
a.   The ROs send the following to the EPA Federal Register Officer for use
     in Federal Register^ publications and for PIRU:

     1.  Transmittal memorandum - Original
     2.  Action memorandum - Original and 1 copy
     3   Regulatory  portion - Original and 5 copies
     4.  Attachments -  1 copy (includes any revisions to State submittal
         since  proposal)
     5.  State  submittal - 1 copy (for incorporation by reference, see
         Section  2.5)

 b.   The ROs  should  also send copies  (except a(5)) as follows:

     1.  CPDD,  SRD,  OGC each receive  a copy of  the entire  package, and
     2.  ECTD,  OTLUP,  DSSE, FOSD  receive  copies as appropriate where  I/M,
         TCMs,  stationary  source, or  mobile source issues  are  involved.

-------
                FIGURE 3.  FEDERAL REGISTER PACKAGE COMPONENTS -

                           FINAL RULEMAKING, SPECIAL ACTIONa"d
                                                  STATE SUBMITTAL
                                                  (For incorporation
                                                  by reference)
                                      ATTACHMENTS
                                      (Rationale and
                                      supplementary materials)
                          REGULATORY  PORTION
                          (Includes Preamble  and
                          Regulatory  Section)
             ACTION MEMO
             From RA to the
             Administrator
 TRANSMITTAL MEMORANDUM
 From RA to ORL with
 Review Offices listed
c.
d.
      The ROs send the following to ORL  for eventual  transfer  to  the  EPA
      Federal  Register Officer (the FRO  sends  one  of  these  copies to  PIRU)
      after the 14-day concurrence  period:
      1.
      2.
      3.
      4.
    Transmittal memorandum  - Original
    Action memorandum - Original and 1 copy
    Regulatory portion - Original and 5 copies
    Attachments - 1 copy (Includes any revisions to State submittal
    since proposal.)
    State submittal - 1 copy (for incorporation by reference)
     If all Washington review offices are involved (SRD, OGC, OTLUP, DSSE

     be                  1 C°P1'6S °f ^ ^ PaCkag6 (eXCSpt a(5)) must'
The ROs send separate copies of the package (except a(5)) to CPDD
and as appropriate to ECTD.

Part D plans must be sent via overnight mail.   The ROs will  judge
the urgency of other actions and mail  accordingly.

-------
2.1.4  SIP Revisions Originated by the Regional  Office - Rulemaking  for
Regional Office-originated SIP revisions includes the same components
discussed in Sections 2.1.1 and 2.1.2.  However, these actions propose
regulations and/or procedures which EPA desires to promulgate, rather
than summarizing a SIP revision proposed by the State for which EPA is
soliciting comments.  Consequently, the rulemaking must follow definite
procedures established by law.
     Section 307(d)(6) of the 1977 Amendments to the Act specify that
EPA-originated rulemaking actions must state their basis and purpose.
The statement of basis and purpose must include:
     a.  The factual data on which the rule is  based;
     b.  The methodology used in obtaining the  data and in analyzing the
data; and
     c.  The major  legal  interpretations and policy considerations
underlying the rule.
     Section 307(d)  also  requires  that  both the Regions and Headquarters
prepare a  docket  for the  rulemaking.  The  preamble must include number,
location of  the docket, and  the  times the  docket will  be  open  to public
inspection.   Information  on  dockets may be obtained  from  OGC's Central
Docket  Section  in Washington,  D.C.  (Phone  755-0245).
      In addition  to general  requirements discussed  above, the proposed
 rulemaking preamble must  notify the public of  EPA's intention to hold
 public  hearings.   The final  rulemaking  preamble must either include a
 response to each  significant comment submitted as a written or oral
 presentation during the comment period; or,  to avoid lengthy preambles,
 responses may be placed in the docket.   If responses are placed in the
 docket, the preamble must so state.  Appropriate technical support
 information such as air quality and  emissions data and modeling results
 must also be included in the docket.
                                      8

-------
      The 1977 Amendments to the Act provide that the promulgated rule
 may not be based (in part or whole) on any information which has not
 been placed in the docket as of the date of promulgation.
 2.2  Preparation of Federal Register Actions
      Headquarters periodically provides detailed guidance  for preparation
 of specific regulatory packages such as approval/disapproval  of plans.
 Such guidance is issue-specific and has not been included  in  this
 guideline.   General  guidance,  such  as the OAQPS  "Air Programs Policy and
 Guidance Notebook"  (May 1980),  is also available.   Questions  should  be
 directed to specific Headquarters offices.   The  detail  of  each preamble
 will  vary with  each  situation  depending on  the complexity  of  the action,
 EPA resources,  etc.   For  example, EPA may propose without  taking a
 position on approvability of the action if  time  constraints dictate;
 however,  it is  preferable to discuss  approvability  whenever possible.
 Some  general  points  for preparing Federal Register  actions follow:
      1.   The  proposal  preambles must  provide adequate  information so
 that  the  public  can  comment intelligently and have  a meaningful opportunity
 to  affect the decisions which the Agency makes.  The preamble  should
 state our position,  finding, and basis  for action.  This applies as much
 where EPA expects to approve, as where  EPA expects  to disapprove a plan.
     2.  Regional Offices should consider designing proposals to encourage
 States to correct any deficiencies in their submittals; and to allow EPA
 to approve most corrected submittals without additional notice and
 comment.  EPA may do this by suggesting ways that the State could cure
 the problem, and inviting comment on whether EPA  should approve the
submittal if the State revises  it in any of the suggested ways.  The
suggested cures should be precise enough that EPA could approve a revised
submittal without further proposal and public comment.

-------
      3.   The  approval/disapproval actions  provide an excellent opportunity
 to make  certain  "housekeeping changes."  For example, the terms "photochemical
 oxidants"  and "oxidants" should be changed to  "ozone."  Headquarters
 will  suggest  other changes at appropriate  times.
      A copy of the "Federal Register Handbook  of Document Drafting,"
 June  1980, should be obtained by all personnel involved in the preparation
 of Federal Register notices.  The handbook may be obtained through the
 Office of  the Federal Register, National Archives and Records Service,
 Washington, D.C. 20408 (FTS 523-5266).
 2-3   Rationale for Approval/Disapproval of State Submitted SIP Revisions
      Some  approval/disapproval actions result  in lawsuits.  Also,  Headquarters
 staff needs certain information to permit a continued overview of  SIP
 activities.   Where EPA's actions cannot be explained fully in the  Federal
 Register preamble, the Regional  Offices must prepare a "Rationale  for
Approval/Disapproval" to explain the background and basis for the  recommended
action.  This  is particularly true when the SIP revision alters an
emission limitation and consequently alters a control  strategy.  For
this situation, the following type of information should be included in
rationale documents:
                                    10

-------
       a.  Background of the Revision.
       This should include a brief summary of the reasons for the revision,
  the extent of State/Regional  Office interaction on the revision, any
  significant issues raised by the public, and any anticipated adverse
  reaction to the recommended action.
       b.   Adequacy of Control  Strategy Demonstration.
       This should  summarize  the  type  of control  strategy demonstration
  conducted,  including  the  model  used,  if any.   It  should identify any
  inadequacies  in the State submission,  and explain  how  those  inadequacies
  were  resolved.
       c.   Technical Aspects of the Demonstration.
      This should  include  a summary of the significant  input parameters
 to the model including air quality data, any assumptions used in the
 demonstration, and any unusual features of the demonstration (such  as
 those accounting for complex terrain, stack  height, emissions growth,
 etc.).
      d.   Projected Impact  of the Revision.
      This should  include the trends  in air quality and  emissions  for  the
 area,  and any  impact on the  compliance status  of affected  sources,
 including the  impact on potential growth (i.e., maintenance)  in the
 area.
     This  information should normally  not exceed ten pages in length,
 and can be provided as a separate document (generally appropriate for
 revisions  initiated by the State) or as a summary in the Technical
Support Document (generally appropriate for revisions initiated by the
Regional  Office).   This information should have been considered by the
                                    11

-------
Regional Office during the review process and should be readily available.
Generally, a rationale should be prepared for final  rulemaking when a
State-submitted revision to a SIP is involved, and one or more rationales
prepared, as appropriate, for the proposal and final rulemaking when an
EPA-originated revision to a SIP is involved.
     The "Rationale" document does not substitute for the comprehensive
internal file which the Regional Office should retain on each State-
submitted SIP revision.  Internal files should include any pertinent
notes,  drafts, records of meetings and other conversations, memoranda,
etc., which provide documentation of the decision making activities
leading to the final  rulemaking action.  Such files are riot normally
reviewed by Headquarters staff, but they are necessary to permit accurate
responses  to  inquiries  by other organizations and the  public, and  to
provide adequate  support  in  any subsequent  litigation.
2.4   Procedural Problems  - When SIP Revisions Not Approvable
      If the State submittal  contains major  deficiencies,  the  Regional
Office  should negotiate with the  State to correct  these  deficiencies.
Major deficiencies include procedural  deficiencies  in the submission of
 the revision  (e.g., improper public hearing was  held)  or situations
where the adoption of the action  by the State will  result in  a deficiency
 in the SIP (e.g., air quality standards will be  violated).
      In such cases, the Regional  Offices should  notify the State by
 letter of the deficiencies as expeditiously as possible after receipt of
 plans.  If the deficiencies are policy related or technical rather than
 administrative and affect the adequacy of a particular control strategy,
 the  Regional Office  should  coordinate the response to the State with the
 necessary Headquarters offices.  The  notification must explain why the
                                     12

-------
submission is unapprovable and what, if any, corrective action is necessary.
It may be appropriate to recommend that the State withdraw all or part
of a submission.  If the negotiations are successful and the major
deficiencies are corrected, the Regional Office should proceed with the
rulemaking action.   If the negotiations are unsuccessful (the State will
not revise or withdraw the submission), the deficiencies must be disapproved
in 40 CFR 52, and corrective regulations proposed if necessary.   Normally,
if a SIP revision is disapproved, the present plan remains in effect.
However, if the revision has been submitted to correct SIP inadequacies
and is disapproved, corrective regulations may be necessary.
2.5  Incorporation  by Reference
     The original SIPs approved in 1972 were incorporated by reference
by the Office of Federal Register (OFR).  Since then, the OFR has ruled
that all approved regulatory and nonregulatory revisions of the SIPs
have not been properly incorporated by reference.  Under the direction
of CPDD, a contractor has gathered post-1972 SIP regulatory and nonregulatory
revisions approved  thru July 31, 1980 and is in the process of submitting
them to OFR.   An August 21, 1980 memorandum from CPDD (originated by the
Control Programs Operation Branch - 629-5226) explains how new SIP
actions can be properly incorporated by reference.
                                     13

-------
     EPA's Federal  Register Liaison Office is preparing  detailed guidance
to supplement CPDD's August 21,  1980 memorandum explaining how to incorporate
new SIPs and SIP revisions.  In  the interim, the following procedures
apply to all final  EPA approvals of State-submitted SIP  material which
must be incorporated by reference:
     1.  In the preamble to EPA's notice of final action -
          a.  The following address must be added to the "address"
          section:  The Office of the Federal Register,  1100 L Street,
          N.W., Room 8401, Washington, D.C. 20460.  (This will  indicate
          where the State  submittal may be  found for public inspection.)
          b.  The following boiler  plate must  be added  immediately
          following the  signature  of  the Administrator:   "NOTE  -  Incorporation
           by reference of  the State Implementation  Plan for the State  of
                            was  approved by  the Director of the  Federal
           Register  on  July 1, 1980."   (The  July 1,  1980 date  should  be
           used  in  every  case.)
      2.  The final  action  package forwarded to EPA's  Federal  Register
 Officer (for normal actions)  or to ORL (for special actions)  must contain
 one additional  copy of the complete State submittal which EPA is approving
 (including both regulatory and  nonregulatory material).  This extra copy
 must be accompanied by a  cover memo for transmittal to OFR as shown in
 Item #3 of  this section.  The memo should  identify the State submittal
 using  the  same wording which appears in the "Identification of Plan"
 section  of  the final  action notice found in the regulatory section  of
  the notice  containing the amendments to Title 40 of the  CFR.   The State
  submittal  should  be  in  good condition  so that copies of  it will  be
  readable.
                                     H

-------
     3.  Example memo for submission of State SIP revision to OFR:
SUBJECT:  Submission of the Revision to the State Implementation
          Plan for the State of 	for Incorporation
          by Reference
   FROM:  EPA Federal Register Officer
     TO:  Office of the Federal Register
     Please add this document to the 	 Implementation
Plan file and tab it in the appropriate sequence.
     Identification of the Document:  (Example - Ohio Nonattainment
Plan for Ozone).
     Not all final SIP actions require incorporation by reference.  As a
rough guide, check to see if the regulatory portion of the Federal
Register notice contains an amendment to the "Identification of Plan"
portion of 40 CFR.  If it does, incorporation by reference will  be
necessary.
     Finally, a reminder that each Regional Office must file and make
available to the  public all  approved State SIP submittals for the States
in its jurisdiction.   This action is also needed to satisfy the  public
availability requirement of the incorporation by reference regulations.
                                   15

-------
                  3.0  CLASSIFICATION OF PLAN REVISIONS
3.1   General
     All SIP revisions fall  into two categories:   normal  or special
action.  For normal plan revisions, Headquarters  may comment but has no
concurrence role.  For special  action plan revisions, Headquarters has
concurrence/non-concurrence responsibility at the proposal  and final
rulemaking stages.
     The special action category is generally reserved for revisions
which have national policy or multi-regional implications.   National
policy implications are inherent in revisions which address unresolved
policy issues, which might compromise ongoing litigation, or which raise
new conceptual issues.  For example, at the present time, national
policy implications are inherent in any revision addressing issues such
as Part D Nonattainment plans, S02 relaxation, visibility, and approval
of State plans to  prevent significant deterioration.  Eventually, however,
these  issues will  be resolved.  After resolution through promulgation of
regulations, or  through other appropriate mechanisms, and after sufficient
experience with  interpretation and implementation of the promulgated
regulations, the great majority of revisions dealing with these subjects
will be considered as normal.  After that time, special actions dealing
with these subjects would be required only  if the revision  involved a
departure from  the generally agreed upon  policy.
                                    16

-------
     The magnitude of a plan revision and the environmental, social, or
economic impact of that revision are generally not relevant in determining
whether a revision needs special action, although special attention
should be given by the Regional Office to revisions which do have major
environmental, social, or economic impacts to insure that national
policy issues are not involved.  To automatically require Headquarters
concurrence on major plan revisions solely due to their magnitude (such
as revisions to SIPs which are "substantially inadequate" for attainment)
would result in duplication of Regional Office efforts, and an appropriate
Headquarters review could not be accomplished in the 14-day time period
permitted by the existing procedures.  For example, a SIP revision might
result in major environmental, social, and economic impact.  However, if
regulations and guidance for development and implementation of the plan
have been distributed to the Regional Offices, and the review was conducted
consistent with that guidance, the action should be classified normal.
     Thus, criteria for classification of normal  and special  action plan
revisions may be summarized as follows:
     a.  Normal Action - Issues which do not have national  or multi-
regional  implementations,  and for which policy has been established.
For these purposes, policy has been established when the Regional Offices
have received guidance from Headquarters in the form of regulations and
guidelines which have been approved by appropriate EPA offices as representing
Agency policy.   Some examples of normal issues are:
                                   17

-------
     (1)  Non-regulatory change to a SIP,
     (2)  Revisions to State-specified sampling or stack testing methods,
     (3)  Changes in control  strategies in the SIP to replace the example
region approach,
     b.  Special Action - Issues which have national  or multi-regional
implications and for which policy has not been established.
     Regional Offices may exercise discretion in classifying a revision
for special action to get Headquarters policy review, even though a
certain revision might usually be classified as normal.  Appendix B,
"Special Processing Requirements," contains a list of issues generally
classified as requiring special action.  It is our intention to periodically
update  Appendix B as EPA revises  its review policy.
                                     18

-------
                  4.0  HEADQUARTERS  REVIEW AND COORDINATION

      Several offices within EPA review and/or coordinate SIP actions.
 Figure 1 (page viii) presents a skeleton organization chart of these
 groups.  As discussed in the overview, it is important that each review
 group receive a  complete SIP revision which includes all  pertinent
 information.  The Regional Offices should also be sure that reviewing
 offices receiving only portions of a State submission, i.e., OTLUP,
 ECTD, etc., receive all  pertinent information.   All  additional  information
 or later revisions should also be promptly sent to the review offices.
 The function of each group with regard to  SIP  actions is  summarized
 below.   Appendix  C includes the address  of each office.
 4.1   Office of  the Administrator
      4.1.1   Office of General  Counsel  (OGC)  - The Air Quality, Noise,
 and  Radiation Division (AQNRD)  of OGC  provides  legal  advice  and assistance
 on all Clean Air  Act  matters.   AQNRD receives copies  of all  proposed and
 final rulemaking  packages  involving SIP actions.   For  special action
 packages, AQNRD may recommend appropriate non-concurrence actions to OGC
 when warranted.
     4.1.2  Office of Regional Liaison (ORL) - ORL is the staff office
 of the Administrator which coordinates the processing of proposed and
 final rulemaking  packages for special action issues.   ORL  receives
 appropriate copies of the proposed and final rulemaking packages  for all
 special  action issues.  ORL's role is to coordinate the review process,
and does not include review responsibility.
                                   19

-------
4.2  Office of Air. Noise, and Radiation (QANR)
     4.2.1  Office of Air Quality Planning and Standards (OAQPS).
            Research Triangle Park. North Carolina - The Control  Programs
Development Division (CPDD) of OAQPS maintains an up-to-date SIP file.
CPDD and other elements of OAQPS provide technical support and assistance
to the Regional Offices on the development, evaluation, arid promulgation
of SIPs,  including all revisions thereto.  The Regional Offices must
send CPDD  copies  of all proposed and final packages involving SIPs.  For ,
special action  issues, CPDD may recommend appropriate non-concurrence
action to  OANR  when warranted.
     4.2.2 Office of Transportation and  Land  Use Policy  (OTLUP),
            Washington. D.C.  - OTLUP is a  staff  office  of OANR which
provides  technical support and assistance  to  the Regional  Offices  in  the
development,  evaluation,  and  promulgation of  transportation and land  use
related  SIP actions.  The Regional  Offices  send  OTLUP  that portion of
 the proposed  and final  rulemaking  packages  which includes transportation
 and land use elements.   For  special action packages,  OTLUP may  recommend
 appropriate non-concurrence  action to  OANR when  warranted.
      4.2.3  Office of Mobile Source Air Pollution Control (OMSAPC),
             Washington, D.C. - The Emission Control Technology Division
 (ECTD) of OMSAPC  in Ann Arbor, Michigan, provides technical support to
 the Regional Offices for  portions of the SIP related to  inspection/maintenance.
 The Regional Offices send ECTD that portion of  the proposed and final
 rulemaking packages which include  inspection/maintenance  provisions.
 For special  action packages, ECTD may recommend appropriate non-
 concurrence  action to OANR when warranted.
                                     20

-------
4.3  Office of Enforcement (OE)
     4.3.1  Office of General Enforcement (OGE). Washington. D.C. -
     a.  The Division of Stationary Source Enforcement (DSSE) of OGE
provides technical support and assistance to the Regional Offices for
the development, evaluation and promulgation of compliance schedules
which are consistent with previously approved control strategy.  DSSE
also provides support on the enforcement aspects of SIP revisions
involving regulations for the control of stationary sources.  The Regional
Offices send DSSE copies of all compliance schedule approval/disapproval
actions.  DSSE also receives that portion of proposed and final rulemaking
packages which include regulations for the control of stationary sources
(this would include all lll(d) plans).  For special action issues, DSSE
may recommend appropriate non-concurrence action to OE when warranted.
     4.3.2  Office of Mobile Source Noise and Radiation Enforcement
            (OMSNRE), Washington. D.C. - The Field and Support Division
(FOSD)  (formerly part of MSED - Mobile Source Enforcement Division) of
OMSNRE  provides technical support with regard to enforcement of regulations
to control emissions from mobile sources.  The Regional Office sends
FOSD that portion of proposed and final rulemaking packages involving
transportation control measures, inspection/maintenance, vapor recovery
at service stations, and other regulations affecting mobile sources.
For special action packages, FOSD may recommend appropriate non-concurrence
action  to OE when warranted.
4.4  Office of Planning and Management (0PM)
     4.4.1  Office of Planning and Evaluation (OPE), Washington, D.C. -
     The Standards and Regulatory Division (SRD) of 0PM contains two
components which coordinate SIP actions as follows:
                                    21

-------
     a.  SRD's Policy Analysis Staff conducts evaluations of proposed
regulations pursuant to its reponsibility for procedural  management and
substantive evaluation of the developmental process for agency standards,
regulations and guidelines.  SRD receives copies of all proposed and
final rulemaking packages.  For special action packages, SRD may recommend
appropriate non-concurrence action to 0PM when warranted.
     b.  The Federal Register Officer is located in SRD's Communications
Branch and serves as a liaison between EPA and the Office of the Federal
Register.  All  rulemaking  actions are routed  through SRD as shown  in
Figures  4  and  5.
     4.4.2 Office  of  Administration  (OA), Washington. D.C_._ - The  Management
and Organization Division (MOD)  of  OA contains  the Public  Information
 Reference  Unit (PIRU)  which serves  as a  focal point in making EPA  actions
 available  to  the public.   Copies of all  proposed and final  rulemaking
 actions, along with related attachments  are  forwarded to PIRU by the EPA
 Federal  Register Officer.
 4.5  Assistance to Regional Offices by Headquarters Staff Offices
      Upon request of a Regional Office, EPA  staff offices will  continue
 to provide advance comments on any State SIP revision or draft Federal
 Register  notices prior to  signature  by the Regional Administrator.
 Where national  policy issues do not  exist but several Regions are developing
  individual regulations for similar  sources,  appropriate Headquarters
  offices (CPDD, OTLUP, DSSE,  etc.)  will monitor  development of  these
  regulations  and inform  the Regional  Offices of  other Regions working  on
  similar regulations.   Such regulations  might relate to, for  example,
  nonattainment plans, transportation control measures, or PSD.   Any
  additional  assistance requested will be provided commensurate  with
                                     22

-------
availability of resources.  Such solicitation of comments will not,
however, abrogate the authority and responsibility of the Regional
Administrator, nor will receipt of comments from Headquarters staff
offices require the Regional Administrator to act in accordance with the
comments or relieve the Regional Administrator from the requirement to
obtain concurrence at the Assistant Administrator or General  Counsel
level on special  action SIP revisions.
                                    23

-------
                 5.0  PROCESSING OF NORMAL SIP REVISIONS

5.1   Rroposed Rulemakinc^
     SIP revisions classified as normal  will  be processed as depicted in
Figure 4 on page 33.  If substantive or procedural  problems occur with
a State-submitted SIP revision (submittal contains major deficiencies),
the Regional Office should negotiate with the State as discussed in
Section 2.4.  The proposed rulemaking package must be signed by the
Regional Administrator.
     The preamble to the proposal should adequately describe the content
of the proposed revision, and identify major issues so that interested
parties can determine the scope and impact of the proposal; then, if
further detail is desired, the plan can  be reviewed at the  identified
locations.  The preamble should also contain a statement as to whether
EPA thinks  the revision is approvable as discussed in Section 2.0.   It
is important  to prepare the  proposal as  soon as possible after receipt
of the State  submission to. facilitate timely action.
      For EPA-originated actions,  the docket must be established  as
discussed  in  Section 2.1.4.   Also,  when  necessary, the  technical  support
document must be  prepared and available  at proposal time.
      The Regional Office must mail  the  proposed rulemaking  package  to
 the  Federal  Register Officer through the Office of Planning and  Management,
 Standards  and Regulations Division (OPM-SRD),  Attention:   Federal  Register
 Officer,  EPA (PM-223),  Waterside Mall,  401 M  Street,  SW,  Washington, DC
 20460.   The package must include the original  proposal  (double  spaced
 with pages numbered at the  bottom) and  five  copies.
                                    24

-------
     The Federal  Register Officer will  send the necessary copies to the
Federal Register, PIRU, and the Office of Management and Budget.
     Additional copies of the entire ruletnaking package must be fowarded
by the Regional Office to the following at the addresses shown in Appendix
C:
     a.  CPDD, SRD, and OGC (OGC does not want the rationale),
     b.  DSSE, FOSD, ECTD, OTLUP as appropriate, and
     c.  Cognizant State and local air pollution control agencies (preamble
and regulation only).
     Once the proposed rulemaking package has been received by 0PM
(Federal Register Officer), it will be forwarded directly to the Federal
Register without further review or delay.  It is expected that these
actions will appear in the Federal Register in 5 to 10 working days
after receipt by 0PM.  If you have any questions on the status of a
particular package, call the Federal Register Officer at 287-0778.
5.2  Handling Public Comments
     A copy of all comments must be forwarded to the Public Information
Reference Unit (specify page and date of Federal Register referred to;
e.g., XX FR XXXXX, X/X/XX) at the previously mentioned address.  The
Regional Office will take substantive comments into proper consideration
as to how they impact on approval/disapproval and proposal actions.  In
preparing the final rulemaking Federal Register package, public comments
must be discussed  in the preamble, along with EPA's response to such
comments.   If no comments were received, it must be so noted.
                                   25

-------
     For EPA-originated SIP revisions,  public  comments must  also  be
included in the docket (see Section 2.1.4).
5.3  Final  Rulemaking
     Final  rulemaking for normal  SIP actions are to be  processed  as
shown in Figure 4.  Final rulemaking action must be for the  Administrator's
signature.   There will be no concurrence prior to submission of the
Federal Renter package to the Administrator although Headquarters  may
comment on the SIP action during the public comment period.   Thus, as
discussed  in Section  5.2, the Regional Office will consider substantive
comments on the proposed rulemaking action  and discuss these in  the
action  memorandum and preamble of  the  final rulemaking action along with
EPA's  response to such comments.   As discussed  in  Section 2.0, the final
Federal Register  package must  include  the  transmittal memo  (original),
action memo  (original and  1  copy), the regulatory  portion (original  and
 5 copies), and the  rationale for approval/disapproval  (1  copy).   Also,
 provision  must be made for incorporation by reference  of the  State-
 submitted  SIP revisions as discussed in Section 2.5.
      The Regional Administrator forwards the final rulemaking package
 through the Federal  Register Officer to the Administrator for signature
 with copies to OGC,  CPDD, and SRD.  The Regional Administrator also
  sends  additional copies to FOSD,  DSSE, OTLUP, and ECTD as appropriate.
  5.4   Procedure for  Headquarters to Change  a  Normal Action to a
       Special  Action Issue
       If a staff  office believes that  a  proposed rulemaking action classified
  as normal by a Regional Office  should be  a special action  rulemaking,
                                     26

-------
that office may recommend that the appropriate Assistant Administrator
(or the General Counsel) consult with the Regional Administrator on the
need for special action on the rulemaking.  A memorandum from the Assistant
Administrator should be forwarded to the Regional Administrator (cc ORL)
prior to the end of the comment period on the proposed rulemaking.  The
Regional Administrator and involved AAs are to reach agreement as to
whether the rulemaking action will  be treated as a normal  or special
action SIP revision at the final  rulemaking stage, and the action is to
be processed accordingly.
                                  27

-------
             6.0  PROCESSING  OF  SPECIAL ACTION SIP REVISIONS

     Rulemaking for SIP revisions classified as special  action  are to be
processed as depicted in Figure  5.   If substantive or procedural  problems
occur with State-submitted SIP revisions, the Regional  Office is  to
negotiate with the State as discussed in Section 2.4.
     Certain actions, covered in Appendix B, have been designated as
special actions by Headquarters.
6.1  Proposed Rulemaking Action
     The proposed rulemaking must be signed by the Regional Administrator
and forwarded,  in the appropriate number of copies,  to ORL (attention:
Director, ORL  (A-101),  Environmental Protection Agency, 401 M St., S.W.,
Washington,  D.C.  20460).  ORL  forwards  copies to  the Washington  review
offices:  OGC,  SRD,  OTLUP, DSSE, and FOSD as  is indicated  by the  transmittal
memo.   In addition,  the RAs  send copies  to  CPDD and  ECTD  (for  I/M plans).
All  Part  D  actions must be sent via  overnight mail.  For  other actions,
the  RAs must determine  their urgency and mail  accordingly.
      At the end of  the  14-day period,  if no non-concurrences have been
 received  from an Assistant Administrator or the  General  Counsel,  concurrence
will  be assumed.  ORL will  notify  the Regional Administrator and  forward
 the package to OPM/SRD for transmittal to  the Federal  Register.
                                     28

-------
 6.2  Handling Public Comments
      The public comments received by the Regional Office are to be
 discussed in the preamble of the final  rulemaking package.  If no comments
 are received, it must be so noted.   The Regional  Office will forward one
 copy of all  public comments to PIRU and will  supply copies of the comments
 to other Headquarters offices upon  request.
      For EPA originated actions, public comments  are to be submitted
 directly to  the docket at the following address:   Central  Docket  Section,
 EPA,  West Tower Lobby, Gallery I, 401 M St.,  S.W.,  Washington,  D.C.  20460.
 6.3  Final Rulemaking Action
      As  for  the proposal,  the Regional  Administrator sends copies  of the
 final  rulemaking to  CPDD and ECTD (for  I/M plans) and the  appropriate
 number of copies to  ORL.   ORL forwards,  as indicated by the transmittal
 memo,  copies  to  the  Washington  review offices:  OGC,  SRD,  OTLUP, DSSE,
 and FOSD.  Again,  all  Part  D actions should be sent  via overnight  mail.
 During this  time ORL will  notify the appropriate  staff  offices of  the
 time  limits of  the review  period by telephone.  At the  end  of that time,
 if  no  non-concurrences  have  been received from an Assistant Administrator
 or  the General Counsel,  ORL  will notify  the Regional Administrator and
 forward the package  through  SRD  to the Administrator for signature.
     The  purpose of  the  Headquarters staff review is to focus on issues
with national policy  implications, the potential  for Regional inconsistencies,
or  issues that may result in litigation.  This does not preclude Headquarters
from commenting on other areas, but the fundamental  purpose of their
review should be to address the broad areas  delineated  in the previous
                                   29

-------
sentence.  When,  as a result of comments by Headquarters staff the
Regional  Office  revises a package, Headquarters should then complete
its review of the revised package as expeditiously as practicable;
normally within two days after receiving the revised package.
6.4  Non-Concurrence
     If a non-concurrence is warranted at the proposal or final rulemaking
stage, the Assistant Administrator or General Counsel will forward it to
the Regional Administrator with a copy to ORL.  ORL will provide appropriate
staff offices with copies of the non-concurrence.  The Regional Administrator
will initiate actions as appropriate to resolve the  issue.  Upon resolution,
ORL will  inform the other appropriate offices.  If the non-concurrence
is resolved  by revising  the original Federal Register  package, the
revised  package will  be  resubmitted through  the concurrence  procedure.
This procedure can  be expedited  by  resolving changes  via  telephone and
agreeing on  a  shorter concurrence  time  for  the  subsequent revision.  The
Regional  Office  then  forwards  the  revision  to ORL.   ORL  circulates the
package  to appropriate  reviewers who must respond within an  agreed upon
 period.
      If  an agreement cannot be reached, the Regional Office will  prepare
 the package with the non-concurrence  memorandum tabbed and  transmit  the
 package to the Administrator through  ORL, with copies to appropriate
 review offices.
                                      30

-------
    FIGURE 4.  PROCEDURES FOR NORMAL SIP REVISIONS (AND lll(d) PLANS)a"d
 RO receives or
 prepares revision
 RA signs PRMC
 PRM to OPM/SRD
 PRM published in
 FEDERAL  REGISTER
 RO  evaluates  comments
 and prepares  FRM
FRM to OPM/SRD
                                  If State Revision contains major
                                  deficiency, RO negotiates with State
                                  for acceptable changes
                                  Copies of PRM to CPDD, OGC,C SRD,
                                 Aand to DSSE,  OTLUP,  FOSD,  and ECTD
                                  as appropriate
                                 Copies of FRM to CPDD, OGC, SRD,
                                 and to DSSE, OTLUP, FOSD, and ECTD
                                 !_as appropriate
                                  FRM to AX  for Administrator's signature
                                     FRM published in FEDERAL REGISTER
a.  lll(d) plans are discussed in Appendices A and B to this guideline.

b.  The Proposed Rulemaking Package (PRM) includes the transmittal
    memorandum, the action memorandum; original  and one copy;  preamble
    and regulatory portion: original  and 5 copies; and 1  copy  of any
    attachments.  OPM/SRD will forward one of these copies  to  PIRU.

    OGC does not want copies of support documents.

    The Final  Rulemaking Package (FRM) includes  the same  components
    as the PRM.   Prior to promulgation,  OPM/SRD  will  forward one of
    these copies to PIRU.   One copy of material  to be incorporated by
    reference  (see Section 2.5)  must  be  included.
c.
d.
                                    31

-------
                FIGURE 5.   PROCEDURES FOR SPECIAL ACTION    .
                           SIP REVISION (AND lll(d) PLANS)3'0'1"
RO receives or
prepares revision
                           If State Revision contains  major deficiency,
                           RO negotiates with State for acceptable changes)
RA signs PRML
PRM published  in
FEDERAL  REGISTER
       I
 RO  evaluates  comments
 and prepares  FRM
                                RA sends copies of PRM to ORL. CPDD and ECTD
                                ~~    "
                                   non-concurrence to ORL within 14 days
                                ORL forwards to OPM/SRD after 14 days or
                                after resolution of non-concurrence issue
                           RA sends copies of FRM to ORL, CPDD and
                           ECTD
                                    non-concurrence to  RA  within  14  days|
                                 ORL forwards to AX after 14 days  or
                                 after resolution of non-concurrence
                                |FRM signed by Administrator]
                                 [FRM published in FEDERAL REGISTER
 a.
  c.
lll(d) plans are discussed in Appendices A and B to this guideline.
Appendix B also discusses actions which are generally classified
special.

The Proposed Rulemaking Package (PRM) includes the transmittal
and action memoranda, preamble and regulatory portion, and
attachments.  If all review offices receive copies, ORL needs the
original and 5 copies of the total package for circulation to SRD,
OGC,  DSSE, OTLUP, and FOSD.  ORL also needs another 4 copies of
only  the preamble and regulatory portion for transfer to the
Federal Register officer after the 14-day concurrence period, and
a  copy of  the preamble, regulatory portion, and attachments for
transfer to PIRU.   The RO  sends CPDD and ECTD their copnes
separately.  Part D plans  must be sent  via overnight mail.  The
ROs will judge  the  urgency of other actions and mail them accordingly.

The Final  Rulemaking Package  (FRM) includes the same components  as  the
?m    The  same  number of  copies are needed except  1  copy of material
to be incorporated  -by reference must be included  (see  Section  2.5).
                                     32

-------
                                 APPENDIX A
                       PLANS FOR lll(d)  IMPLEMENTATION

       Section  lll(d)  of the Clean Air Act  requires  EPA  to establish
  procedures  under which States  submit plans to control  certain existing
  sources  of  certain pollutants.  On November 17, 1975 (40 FR 53340), EPA
  implemented section  lll(d)  by  promulgating Subpart B of 40 CFR Part 60,
  establishing  procedures and requirements for adoption and submittal of
  State plans for  control of  "designated pollutants" from "designated
  facilities."  Designated pollutants are pollutants which are not included
  on a list published under section 108(a) of the Act (National  Ambient
 Air Quality Standards) or section 112(b)(l)(A)  (Hazardous Air  Pollutants),
 but for which standards of performance  for new  sources  have  been  established
 under section  lll(b).  A designated facility  is  an  existing  facility
 which emits  a  designated pollutant  and  which would  be subject  to  a
 standard  of  performance for that pollutant  if the existing facility were
 new.
      Subpart B of 40  CFR Part 60 provides that EPA will publish a guideline
 document  for development of  State emission standards for existing sources
 after  promulgation of  any standard of performance for a designated
 pollutant.  The document will specify emission guidelines and times for
 compliance and will include other pertinent information, such as  discussion
 of the pollutant's effects on public health and  welfare  and  a description
of control techniques and their effectiveness  and costs.  The emission
guideline will  reflect the degree of emission  reduction  attainable with
                                   A-l

-------
the best adequately demonstrated systems of emission reduction,  considering
costs, as applied to existing facilities.
     On April 6, 1977, CPDD distributed Guideline No.  1.2-072,  Requirements
and Procedures for Implementing Section lll(d) to the ROs.   This guideline
summarizes the requirements for the applicable EPA requirements  in 40
CFR Part 60.  It includes a checklist to be used in reviewing State-
submitted plans which can be used in plan development.
     Approval/disapproval of lll(d) plans are made in 40 CFR 62, which
is modeled on Part 52, the approval/disapproval vehicle for SIP  actions.
If the State submits a negative declaration (they have no subject sources),
this information is to be noted in the appropriate Section  of Part 62.
     EPA will process section lll(d) plans in the same manner as SIP
revisions as shown in Figures 4 and 5.  All negative declarations will
be classified as normal actions.  Section lll(d) plans also need to be
incorporated by reference.
                                   A-2

-------
                               APPENDIX B
                     SPECIAL PROCESSING REQUIREMENTS
                              FEBRUARY 1981

     This appendix includes a list of actions generally classified
special and a discussion of the Region V Pilot program to reduce SIP
processing time.  In classifying actions not listed here, Regions should
use the criteria in Section 3 to determine if the action should  be
normal  or special.
1.0  ACTIONS GENERALLY CLASSIFIED SPECIAL
     1.1   PSD plans.
     1.2   Nonattainment plans required  to  meet  section  172 of
          the Act  (including  I/M  plans).
     1.3   Relaxation of S02 regulations.
     1.4   Visibility plans.
     1.5   Plans  affecting copper,  lead, and zinc smelters.
     1.6   Lead SIPs - only the following should be classified special
          action:
          - A SIP for which a substantial part is proposed for disapproval,
         e.g., a major portion  of the control strategy, and
         - States requesting  an extension beyond the October 1982
         attainment date.
    1.7  Stack height  regulations.
    1.8  Bubble  proposals.
    1.9  Where regulatory actions may involve inconsistent
         application of the requirements of  the Act.
                              B-l

-------
    2.0  Steel Industry - Those actions which have a significant
         impact upon the industry or upon a specific permittee
         or facility or for which EPA's position will receive
         exceptional public scrutiny should be classified special.
         Notification of receipt from a State of such a plan
         must  be given to DSSE.  With the agreement of all
         reviewing offices a period shorter than 14 days may
         be established.  Questions on classification of steel
         industry actions should be directed to DSSE, Washington,
         D.C., 755-2564.
    2.1  Section lll(d)  Plans  -  Initial section lll(d) plans
         will  be classified  special.  EPA feels that  the  initial
         plans need  a  "special"  classification  until  we obtain
         more expertise  in  preparing  lll(d) plans.   Negative
         declarations  are  normal actions.   Questions  on
         classifications of lll(d)  actions  should  be directed
          to Control  Programs Development  Division,  Control
          Programs  Operations Branch,  FTS  629-5226.
2.0  REGION V PILOT SIP REVIEW PROGRAM
     An effort is underway to reduce Headquarters'  review of some SIP
     packages and expedite these actions.   OAQPS has agreed with Region
     V on a pilot SIP review program to reduce processing time for all
     Part D SIP revision packages that were initially proposed as special
     action but did not generate significant public comments.  For six
     months beginning in February 1981, these final Part D actions from
     Region V will be processed as normal actions.  At the end of this
     period EPA will evaluate  the results of the pilot program and
     revise SIP processing procedures accordingly.
                                    B-2

-------
                                APPENDIX  C


                      ADDRESS  OF HEADQUARTERS  OFFICES


                       WHICH REVIEW OR  PROCESS  SIPS




     The first seven  Headquarters Offices shown below are all located at

401 M Street, S.W., Washington, D.C.  20460.


1.   U.S. EPA, Office of General Counsel, Air, Noise, and Radiation
     Division (A-133) .


2.   U.S. EPA, Office of Regional Liaison (A-101).


3.   U.S. EPA, Office of Transportation and  Land Use Policy (ANR-445).


4.   U.S. EPA, Division of Stationary Source Enforcement (EN-341).


5.   U.S. EPA, Field Operations and  Support  Division (EN~53r).


     r^'r^' ?tandards and Regulatory Division (PM-223).   (Also for
     EPA Federal  Register Officer, use  this  address.)


     Ref'erenJe UnT^lS)*?  °r9am'Zatl'on Division> Pub1^  Information



                              S  Deve1°pment  Division  ^search
6'
                                   C-l

-------
TECHNICAL REPORT DATA
(Please read Instructions on the reverse before completing)
1. REPORT NO. 2.
EPA-450/2-81-002
4. TITLE AND SUBTITLE
Processing Procedures for SIP Revisions (ar
lll(d) Plans)
7. AUTHORlS)
9. PERFORMING ORGANIZATION NAME AND ADDRESS
U.S. Environmental Protection Agency
Office of Air, Noise, and Radiation
Office of Air Quality Planning and Standarc
Research Triangle Park, N.C. 27711
12. SPONSORING AGENCY NAME AND ADDRESS
Plans Guidelines Section
Control Programs Development Division
3. RECIPIENT'S ACCESSION NO.

lu 6. PERFORMING ORGANIZATION CODE
8. PERFORMING ORGANIZATION REPORT NO.
10. PROGRAM ELEMENT NO.
11. CONTRACT/GRANT NO.
Is
13. TYPE OF REPORT AND PERIOD COVERED
EPA/OAQPS Guideline
14. SPONSORING AGENCY CODE
200/04
15 SUPPLEMENTARY NOTES
This is a revision to the guideline published in September 1976.
16 ABSTRACT
The guideline summarizes State Implementat
procedures used by EPA's Regional Offices c
and promulgate SIP provisions. The guide! •
how SIPs are classified as "normal" or "sp<
are processed according to these classifies
description of the role of various EPA Heac
review, and a brief discussion of the compc
action.
ion Plans (SIPs) processing
ind Headquarters to propose
ine contains a discussion of I
jcial" action, and how SIPs I
itions. It also contains a T
^quarters offices in SIP
Dnents of a Federal Register

17 KEY WORDS AND DOCUMENT ANALYSIS
a. DESCRIPTORS
SIP Processing
Rulemaking
EPA Review Offices
Classification of Rulemaking
18 DISTRIBUTION STATEMENT
Release unlimited
b. IDENTIFIERS/OPEN ENDED TERMS C. COS AT I field/Group
Proposed Rulemaking 13B
Final Rulemaking
Normal Action
Special Action
Incorporation by Reference
19 SECURITY CLASS (This Repurt) 21 . NO. OF PAGES \
None 45 1
20 SECURITV CLASS (This page) 22. PRICE
None 1
                                                                                                                          »
                                                                                                                          »
EPA Form 2220-1  (Rev. 4-77)    PREVIOUS  EDITION is OBSOLETE

-------