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Section 309 STIP-2 Project

Model TIP Template forSection 309 of the Regional Haze Rule

(64 Federal Register 35714 – July 1, 1999)

FINAL

October, 2004

WRAP Air Manager’s Committeewww.wrapair.org

http://www.wrapair.org/

Model TIP Author:

Rosanne SanchezNew Mexico Environment Department

Model SIP Author:

Brian FinneranOregon Department of Environmental Quality

TIP Working Group:

EPA Members:

Monica Morales, Region 8Laurie Ostrand, Region 8

Laurel Dygowski, Region 8Wienke Tax, Region 9

Doug McDaniel, Region 9

WRAP Staff:

Bob Gruenig, National Tribal Environmental CouncilBill Grantham, National Tribal Environmental Council

Acknowledgements:

Tom Moore, TSD authorWRAP Technical Coordinator

Lily Wong, EPA Region 9Thomas Webb, EPA Region 9Steve Body, EPA Region 10

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Section 309 TIP TemplateTable of Contents

Title Page

I. EXECUTIVE SUMMARY.......................................................................................................1

A. Overview of the Section 309 STIP-2 Project....................................................................1

B. Relation to the Model SIP..................................................................................................3

C. Relation to the Regional Technical Support Document.................................................3

II. BACKGROUND ON THE REGIONAL HAZE RULE.......................................................4

A. Introduction........................................................................................................................4

B. 1977 Clean Air Act.............................................................................................................5

C. Grand Canyon Visibility Transport Commission...........................................................5

D. Western Regional Air Partnership...................................................................................6

III.SECTION 309 TIP REQUIREMENTS AND TEMPLATE LANGUAGE........................8

A. Projection of Visibility Improvement.............................................................................101. Regulatory Language...................................................................................................102. General Discussion of Rule Requirement....................................................................103. Template Language......................................................................................................104. Applicable WRAP Reports and Documents................................................................12

B. Clean Air Corridors.........................................................................................................131. Regulatory Language...................................................................................................132. General Discussion of Rule Requirement....................................................................133. Template Language......................................................................................................154. Applicable WRAP Reports and Documents................................................................18

C. Stationary Sources............................................................................................................191. Regulatory Language...................................................................................................192. General Discussion of Rule Requirement....................................................................203. Template Language......................................................................................................234. Applicable WRAP Reports and Documents................................................................54

D. Mobile Sources..................................................................................................................561. Regulatory Language...................................................................................................562. General Discussion of Rule Requirement....................................................................563. Template Language......................................................................................................574. Applicable WRAP Reports and Documents................................................................58

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E. Fire Programs...................................................................................................................591. Regulatory Language...................................................................................................592. General Discussion of Rule Requirement....................................................................593. Template Language......................................................................................................614. Applicable WRAP Reports and Documents................................................................64

F. Paved and Unpaved Road Dust.......................................................................................661. Regulatory Language...................................................................................................662. General Discussion of Rule Requirement....................................................................663. Template Language......................................................................................................664. Applicable WRAP Reports and Documents................................................................67

G. Pollution Prevention........................................................................................................681. Regulatory Language...................................................................................................682. General Discussion of Rule Requirement....................................................................683. Template Language......................................................................................................694. Applicable WRAP Reports and Documents................................................................71

H. Additional Recommendations.........................................................................................731. Regulatory Language...................................................................................................732. General Discussion of Rule Requirement....................................................................733. Template Language......................................................................................................744. Applicable WRAP Reports and Documents................................................................74

I. Periodic Implementation Plan Revisions.........................................................................751. Regulatory Language...................................................................................................752. General Discussion of Rule Requirement....................................................................763. Template Language......................................................................................................774. Applicable WRAP Reports and Documents................................................................78

J. Tribal Planning and Coordination with States and Tribes...........................................791. Regulatory Language...................................................................................................792. General Discussion of Rule Requirement....................................................................793. Template Language......................................................................................................794. Applicable WRAP Reports and Documents................................................................80

K. Geographic Enhancements..............................................................................................821. Regulatory Language...................................................................................................822. General Discussion of Rule Requirement....................................................................823. Template Language......................................................................................................824. Applicable WRAP Reports and Documents................................................................84

L. Reasonable Progress for Additional Class I Areas........................................................851. Regulatory Language...................................................................................................852. General Discussion of Rule Requirement....................................................................853. Template Language......................................................................................................864. Applicable WRAP Reports and Documents................................................................87

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IV. APPENDICES........................................................................................................................88

Master List of TIP Appendices (A through T)....................................................................88

Appendix M. Complete Citation of Stationary Source Requirements in Section 309(f) and 309(h).......................................................................................................93

Appendix N: General Definitions in the Regional Haze Rule.........................................105

Appendix O: Western Backstop SO2 Trading Program - Model Rule. (See Section C, Stationary Sources.).....................................................................................109

Appendix P: EPA Completeness Criteria for the Regional Haze SIP...........................154

Appendix Q: Tribal Emissions Inventory Software Solution (TEISS)..........................157

Appendix R: List of Eligible Tribes..................................................................................158

Appendix S: Fact Sheet. EPA’s Interim Air Quality Policy on Wildland and Prescribed Fires...........................................................................................163

Appendix T: Interim Air Quality Policy on Wildland and Prescribed Fires................170

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I. EXECUTIVE SUMMARY

A. Overview of the Section 309 STIP-2 Project

The STIP-2 Project was established to provide a model for preparing Section 309 Tribal and State Implementation Plans of the Regional Haze Rule (40 CFR 51.309). The Project addresses both tribal and state needs separately by having two templates. The template for tribes is referred to as the “Model TIP” and is included in this document. The template for states is referred to as the “Model SIP” and is the basis for the TIP template. Both templates include general language and other elements that are necessary in obtaining U.S. Environmental Protection Agency (EPA) approval of regional haze implementation plans. The templates are intended to be “working” documents that will allow tribes and states to easily insert additional but appropriate language in their plans. The templates also list each of the 309 regulatory requirements, provide a general description of each requirement, and summarize the pertinent Western Regional Air Partnership (WRAP) policies and technical support documentation while discerning where this documentation should be inserted in an implementation plan.

As a result of recommendations developed by the Grand Canyon Transport Visibility Commission (GCVTC) in 1996, nine western states within the transport region (Arizona, California, Colorado, Idaho, Nevada, New Mexico, Oregon, Utah, and Wyoming) have the option to follow Section 51.308 or Section 51.309 of the Regional Haze Rule (RHR). For those states choosing to follow Section 51.309, they must have submitted to the EPA by December 31, 2003, a State Implementation Plan (SIP) for protecting 16 federal Class I areas on the Colorado Plateau.1 Indian tribes within the same transport region have the option of submitting a Tribal Implementation Plan (TIP), but are not held to the same deadlines or other requirements for which states must comply. 2

Adoption of a regional haze TIP is optional for tribes. Tribes may adopt TIPs that include all of the Section 308 or 309 provisions of the RHR (as required of states in their SIPs), or a combination of both, and only those provisions that they believe applicable, and that both the EPA and tribe find to be reasonably severable for their specific circumstance. This flexibility is provided for under the Tribal Authority Rule3 (TAR), which allows the EPA to treat tribes in the same manner as states for purposes of implementing air quality programs under the Clean Air Act (CAA). The TAR allows tribes to implement programs as they are developed, rather than in accordance with statutory deadlines. This independence means that regional haze (RH)

1 The 16 federal Class I areas are as follows:Arches National Park, Black Canyon of the Gunnison Wilderness, Bryce Canyon National Park, Canyonlands National Park, Capital Reef National Park, Flat Tops Wilderness, Grand Canyon National Park, Maroon Bells Wilderness, Mesa Verde National Park, Mt. Baldy Wilderness, Petrified Forest National Park, San Pedro Parks Wilderness, Sycamore Canyon Wilderness, Weminuche Wilderness, West Elk Wilderness, Zion National Park.

2 There are currently 185 federally recognized tribes within the transport region, according to the Federal Register (68 FR 68180, Friday, December 5, 2003). See Appendix R for a list of tribes.

3 The Tribal Authority Rule may be found at 40 CFR Part 49.1-49.11.

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strategies selected by tribes are not dependent upon the strategies selected by the state or states in which the tribe is located. A tribe may request a Federal Implementation Plan (FIP) and the EPA will determine in consultation with the tribe if FIP provisions are necessary or appropriate to protect air quality.

Preparation of the 309 TIP and SIP will be a major undertaking by tribes and states due to the large amount of technical support documentation that will be needed. Section 309 of the RHR contains specific requirements, such as emissions inventories, for clean air corridors, stationary and mobile sources, fire, and paved and unpaved road dust. Recognizing that tribes and states have limited resources to effectively organize this information under a TIP or SIP, the Air Managers Committee of the WRAP saw a need for a model TIP and SIP that could be used for preparing 309 Implementation Plans. The Model SIP was patterned after the SIP/TIP Template developed by the Western States Air Resources Council (WESTAR) Regional Haze SIP Development Working Group in 2001.

The Model TIP contained in this document includes 12 chapters based on each requirement in Section 309. Each chapter contains four sections:

(1) the actual rule language; (2) a description of the rule requirement and how a tribe will meet the requirement, using

WRAP work products; (3) the template language that a tribe can use in its regional haze TIP; and (4) a summary of all WRAP reports and documents prepared to help a tribe meet the applicable rule requirement.

At the end of the Model TIP is the Appendices section, which includes the following:

A master list of all appendices referenced in the Model TIP template language, and a summary of what information is needed for each appendix;

The complete regulatory text for stationary source 309 requirements, not included in Chapter C;

A list of general RHR definitions that tribes should include in their TIPs;

A model rule that tribes and states can adopt for the market trading program in Chapter C;

EPA’s completeness criteria for SIPs and TIPs, from 40 CFR, Appendix V to Part 51;

A description of the Tribal Emissions Inventory Software Solution (TEISS);

A list of 185 federally recognized tribes located in the transport region;

An EPA Fact Sheet on Wildland and Prescribed Fires; and

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EPA’s Air Quality Policy on Wildland and Prescribed Fires

The 309 Model TIP was developed by Rosanne Sanchez with the New Mexico Environment Department. The Model SIP was developed by Brian Finneran with the Oregon Department of Environmental Quality. Assistance for both efforts is being provided by Tom Moore (WRAP Technical Coordinator) who assembled the Technical Support Document (TSD) for the WRAP. A working group of EPA representatives and the National Tribal Environmental Council (NTEC) staff members helped review this Model TIP.

B. Relation to the Model SIP

The Model SIP was intended to help states meet Section 309 requirements by the December 31, 2003 SIP submission deadline. The Model TIP closely resembles the Model SIP, but includes a separate guidance document for tribes that will aid in their decision of whether or not to develop and implement the 309 TIP on their own. There are three questions a tribe must ask.

1. Does the tribe need an implementation plan to address regional haze?2. If the tribe needs an implementation plan, is a TIP or FIP more appropriate?3. If a TIP is more appropriate, what steps must the tribe follow in order to

implement a TIP?

C. Relation to the Regional Technical Support Document

The regional TSD summarizes key information from WRAP technical forums and committees related to Section 309 of the RHR. This technical information is to be used by states and tribes for preparing SIPs and TIPs. Underlying the key information presented in the chapters of the TSD are the contractor reports prepared for the WRAP and technical memoranda. The analytical work described in the TSD evaluates the visibility improvement associated with regional strategies and programs, but does not describe specific state or tribal control strategies and regulatory programs. By recognizing this, we hope that any future data gathered may be more representative of tribes as they continue to advance in developing their skills and knowledge with respect to air quality. The Model TIP and SIP, and the TSD, are to be used jointly by tribes and states in preparing regional haze implementation plans. Throughout the Model TIP there are important references to TSD technical information needed to address each RHR requirement. The TSD is available at www.wrapair.org, or on CD-ROM.

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II. BACKGROUND ON THE REGIONAL HAZE RULE

A. Introduction

Regional haze is air pollution that is transported long distances and reduces visibility throughout the country. Over the years this haze has reduced the visual range from 145 kilometers (90 miles) to 24-50 kilometers (15-31 miles) in the East, and from 225 kilometers (140 miles) to 56-145 kilometers (35-90 miles) in the West. The pollutants that create this haze are sulfates, nitrates, organic carbon, elemental carbon, and soil dust. Human-caused haze sources include industry, motor vehicles, agricultural and forestry burning, and windblown dust from roads and farming practices.

In 1999, the EPA issued regulations to address RH in 156 national parks and wilderness areas across the country (64 FR 35714). The goal of the RHR is to eliminate human-caused visibility impairment in national parks and wilderness areas across the country. It contains strategies to improve visibility over the next 60 years, and requires states to adopt implementation plans.

The EPA’s RHR provides two paths to address regional haze. One is Section 308, and requires states to develop long-term strategies out to the year 2064. These strategies must be shown to make “reasonable progress” by improving visibility in Class I areas4 inside the state and in neighboring jurisdictions. The other is Section 309, and is an option for nine states5 and the 185 tribes located within those states to adopt RH strategies for the period from 2003 to 2018. These strategies are based on recommendations from the GCVTC for protecting the 16 Class I areas on the Colorado Plateau area. Adopting these strategies constitutes reasonable progress until 2018. These same strategies can also be used by the nine western states and tribes to protect the other Class I areas within their own jurisdiction.6 Tribes may adopt either a 308 or 309 RH TIP anytime prior to 2018 after which time they can only adopt a 308 RH TIP. In addition to these two options, tribes may also choose to adopt Section 308 in conjunction with Section 309.

Best Available Retrofit Technology (BART) is one of the main provisions in the RHR. It applies to certain industrial sources built between 1962 and 1977. Section 308 requires states to identify BART-eligible sources, estimate the expected visibility improvements, and determine BART for each eligible source. Section 309 provides an alternative method of satisfying the 308 BART requirement by setting voluntary SO2 emission reductions for BART sources, with a backup market trading program if the SO2 reduction milestones are not met. This alternative to BART in Section 309 is referred to as the Annex (40 CFR Part 51, Revisions to Regional Haze Rule to Incorporate Sulfur Dioxide Milestones and Backstop Emissions Trading Program for Nine Western States and Eligible Indian Tribes Within that Geographic Area). SO2 reductions in the

4 Class I Areas are those national parks exceeding 6000 acres, national wilderness areas and national memorial parks exceeding 5000 acres, and all international parks which were in existence on August 1977.

5 Arizona, California, Colorado, Idaho, Nevada, New Mexico, Oregon, Utah, and Wyoming.

6 Currently no tribe has a mandatory Class I Area under their jurisdiction.

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Annex have been demonstrated to be “better than BART” because, in part, the Annex addresses all stationary sources that emit 100 tons/year of SO2 and because more SO2 emission reductions are expected from the Annex than from BART. The early development stages of the RHR are described in the following sections: 1977 Clean Air Act, Grand Canyon Visibility Transport Commission, and Western Regional Air Partnership.

B. 1977 Clean Air Act

In 1977, Congress amended the CAA to include provisions to protect the scenic vistas of the nation’s national parks and wilderness areas. In these amendments, Congress declared as a national visibility goal:

The prevention of any future, and the remedying of any existing impairment of visibility in mandatory class I federal areas which impairment results from man-made air pollution.

To address this goal, the EPA developed regulations to reduce the impact of large industrial sources on nearby Class I areas. It was recognized at the time that RH, which comes from a wide variety of sources that may be far from a Class I area, was also a part of the visibility problem. However, monitoring networks and visibility models were not yet developed to the degree necessary to understand the causes of RH.

C. Grand Canyon Visibility Transport Commission

Amendments to the CAA in 1990 created the GCVTC. The Commission was given the charge to assess the currently available scientific information pertaining to adverse impacts on visibility from potential growth in the region, identify clean air corridors, and recommend long-range strategies for addressing RH. The GCVTC completed significant technical analyses and developed recommendations to improve visibility in the 16 mandatory federal Class I areas on the Colorado Plateau. The Commission found that visibility impairment on the Colorado Plateau was caused by a wide variety of sources and pollutants. A comprehensive strategy was needed to address all of the causes of RH. The GCVTC submitted these recommendations to the EPA in a report dated June 1996 for consideration in rule development. These recommendations were summarized as follows.

Air Pollution Prevention. Air pollution prevention and reduction of per capita pollution was a high priority for the Commission. The Commission recommended policies based on energy conservation, increased energy efficiency and promotion of the use of renewable resources for energy production.

Clean Air Corridors. Clean air corridors are key sources of clear air at Class I areas, and the Commission recommended careful tracking of emissions growth that may affect air quality in these corridors.

Stationary Sources. For stationary sources, the Commission recommended closely monitoring the impacts of current requirements under the Clean Air Act and ongoing source attribution studies. Regional targets for SO2 emissions from stationary sources should be set, starting in 2000. If these targets are

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exceeded, this will trigger a regulatory program, probably including a regional cap and market-based trading.

Areas In And Near Parks. The Commission's research and modeling showed that a host of identified sources adjacent to parks and wilderness areas, including large urban areas, have significant visibility impacts. However, the Commission lacked sufficient data regarding the visibility impacts of emissions from some areas in and near parks and wilderness areas. In general, the models used by the Commission were not readily applicable to such areas. Pending further studies of these areas, the Commission recommended that local, state, tribal, federal, and private parties cooperatively develop strategies, expand data collection, and improve modeling for reducing or preventing visibility impairment in areas within and adjacent to parks and wilderness areas.

Mobile Sources. The Commission recognized that mobile source emissions are projected to decrease through about 2005 due to improved control technologies. The Commission recommended capping emissions at the lowest level achieved and establishing a regional emissions budget, and also endorsed national strategies aimed at further reducing tailpipe emissions, including the so-called 49-state low emission vehicle, or 49-state LEV.

Road Dust. The Commission's technical assessment indicated that road dust is a large contributor to visibility impairment on the Colorado Plateau. As such, it requires urgent attention. However, due to considerable skepticism regarding the modeled contribution of road dust to visibility impairment, the Commission recommended further study in order to resolve the uncertainties regarding both near-field and distant effects of road dust, prior to taking remedial action. Since this emissions source is potentially such a significant contributor, the Commission felt that it deserved high priority attention and, if warranted, additional emissions management actions.

Emissions from Mexico. Mexican sources are also shown to be significant contributors, particularly of SO2 emissions. However, data gaps and jurisdictional issues made this a difficult issue for the Commission to address directly. The Commission recommendations called for continued bi-national collaboration to work on this problem, as well as additional efforts to complete emissions inventories and increase monitoring capacities. These matters should receive high priority for regional and national action.

Fire. The Commission recognized that fire plays a significant role in visibility on the Plateau. In fact, land managers propose aggressive prescribed fire programs aimed at correcting the buildup of biomass due to decades of fire suppression. Therefore, prescribed fire and wildfire levels are projected to increase significantly during the studied period. The Commission recommended the implementation of programs to minimize emissions and visibility impacts from prescribed fire, as well as to educate the public.

Future Regional Coordinating Entity. Finally, the Commission believed there was a need for an entity like the Commission to oversee, promote, and support many of the recommendations in their report. To support that entity, the Commission developed a set of recommendations addressing the future administrative, technical and funding needs of the Commission or a new regional entity. The Commission strongly urged the EPA and Congress to provide funding for these vital functions and give them a priority reflective of the national importance of the Class I areas on the Colorado Plateau.

D. Western Regional Air Partnership

The Western Regional Air Partnership (WRAP) was established in 1997 as the successor

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organization to the GCVTC. The WRAP is charged with coordinating and overseeing the implementation of the Commission recommendations, as well as developing the technical and policy work that states and tribes in the West will need to implement the RHR. The WRAP is designed as a partner-stakeholder-based organization. States, tribes, federal agencies, environmental groups, industry representatives and other interested parties work in a cooperative process to develop recommendations that meet the visibility goals of the GCVTC in the most effective way. Since 2000, much of the work being conducted by the committees and forums of the WRAP have focused on the RHR and identifying what information will be needed for Section 309 SIPs and TIPs.

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III. SECTION 309 TIP REQUIREMENTS AND TEMPLATE LANGUAGE

The following document is to be used by tribes for their 309 Regional Haze TIPs. Modifications have been made to the SIP template so that it may apply to tribes, however, in some areas, the language may not be applicable. If a tribe has questions about any part of this template, it should seek out direct guidance from its regional EPA office.

Note: A tribe may request a Federal Implementation Plan (FIP) and the EPA will determine in consultation with the tribe if FIP provisions are necessary or appropriate to protect air quality.

The template begins with Section A Projection of Visibility Improvement.

Part 1 Regulatory Language is what can be found in the Regional Haze Rule.

Part 2 General Discussion of Rule Requirement gives background information in a simplified form of the regulatory language for the author.

Part 3. Template Language and Part 4. WRAP Applicable Reports and Documents are to be used for the implementation plan. The template language is to be used by filling in the blanks. The supporting documents in Part 4 offer further explanation of what support they actually offer and is a reference for Part 3.

If a tribe adopts all or part of the section 309 programs, that adoption constitutes an agreement to meet the requirements of those program elements including all applicable deadlines (e.g., SIP/TIP revisions and progress reports) with respect to the program elements adopted. These commitments or deadlines should be worked out up front and clearly identified in the program submittal and the EPA approval.

Prior to completing the TIP, a tribe should write its own executive summary and introduction, as it deems appropriate. No tribe is required to adopt any section of the 309 rule but is encouraged to pursue those sections that currently apply to its specific situation and are reasonably severable. It is recommended that the appropriate portions of the technical support documents be included in the TIP submittal as a CD-ROM.

Although tribes are being supplied with some of the technical support documents needed for their TIPs, additional work in the form of emissions inventories will be required for the following sections: Clean Air Corridors, Stationary Sources, Mobile Sources, Fire, and Paved and Unpaved Road Dust. This requirement will allow tribes, along with the WRAP, to track increases or decreases of emissions in these areas by using a tracking system being developed by the WRAP. Currently, the data that has been supplied to support the TSD is primarily county or regionally-based, with only a handful of tribal sources included. Tribes wanting to participate in any of the five sections mentioned above, might use the Tribal Emissions Inventory Software Solution (TEISS) for completing their inventories, which is now available (See Appendix Q). Once this data has been obtained, the WRAP will use it to compare with the county data and make the necessary adjustments to the current data so that it is more representative of the area. Tribes will then have a more accurate depiction of emissions under their jurisdiction.

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Currently the WRAP has and will continue to offer assistance regarding the technical work needed; however, if the WRAP was unable to supply this support, tribes as well as states would be expected to continue this type of work. It is not clear how the EPA might view this since most tribes do not have the resources to conduct monitoring or modeling. In discussing a TIP with the EPA, a tribe will need to ask what it may be committing to in particular sections that require tracking of emissions. The tribe should also let the EPA regional office know if they are going to deviate substantially from the TIP template.

This template is meant to offer the most comprehensive language required for adopting a TIP, however a tribe may choose to write it differently if it so chooses. Since the completion of the SIP and TIP templates, other modifications to supporting documents may have been made. We have attempted to include the latest supporting documents in the model TIP but a tribe should verify if these documents are current when seeking approval of its own TIP.

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A. Projection of Visibility Improvement

1. Regulatory Language

51.309(d)(2) Projection of visibility improvement. For each of the 16 mandatory Class I areas located within the Transport Region State, the plan must include a projection of the improvement in visibility conditions (expressed in deciviews, and in any additional ambient visibility metrics deemed appropriate by the State) expected through the year 2018 for the most and least impaired days, based on implementation of all measures as required in the Commission report and the provisions of this section. The projection must be made in consultation with other Transport Region States with sources which may be reasonably anticipated to contribute to visibility impairment in the relevant Class I area. The projection may be based on a satisfactory regional analysis.

2. General Discussion of Rule Requirement


The requirement for projection of visibility improvement is discussed on page 35751 of the Preamble to the RHR. This projection of visibility improvement is only for the 16 Class I areas on the Colorado Plateau. Tribes will need to list each of the 16 Class I areas and show the visibility improvement for each one. This requirement applies to all transport region tribes; the projection of visibility improvement needs to show the improvement in visibility from 1996 (the baseline year) to 2018, for the 20% best and worst days. Coordination will be needed between transport region tribes and states to ensure the same projections of visibility improvement are reflected in the TIPs and SIPs. The projections should be described in deciviews. The technical analysis of visibility improvement can be found in the TSD, summarized below in Section 4. This analysis is based on the application of all section 309 control strategies. Tribes do not need to show their individual contribution to the 16 Class I areas in their TIP, just the regional contribution.

3. Template Language

A. Projection of visibility improvement.

(a) Applicable Class I areas. This projection of visibility improvement covers the 16 Class I areas on the Colorado Plateau, as defined in 40 CFR 51.309(b)(1).

(b) Projected visibility improvement. Pursuant to 40 CFR 51.309(d)(2), Tables 2.2.2.1 and 2.2.2.2, below indicate the projected visibility improvement in deciviews for each of the 16 Class I areas. This projection was made for the 20% worst days and 20% best days, and is expressed in deciviews (dV). The technical work was conducted by the WRAP, which evaluated the visibility improvements resulting from the application of the regional haze control strategies and programs described in Chapter 2 of the WRAP’s TSD. See Appendix A of this implementation plan for the complete description of the control strategies and technical analyses.

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*Table 2.2.2.1 Projected Visibility Improvement at the 16 Colorado Plateau Class I Areas on the Average 20% Worst Visibility Days, for the 2018 Base Case, Scenario 1, and Scenario 2.

Modeling Results (deciviews)

Colorado PlateauClass I Area State

2018 Base Case(20% Worst Days’

Visibility for all controls “on the books” as of

2002)

2018 Scenario 1(20% Worst Days’

Visibility for all §309 Control Strategies (SO2

Annex Milestones and Pollution Prevention)

with Base Smoke Management)

2018 Scenario 2(20% Worst Days’


Annex Milestones and Pollution Prevention) with Optimal Smoke

Management) Grand Canyon National Park AZ 11.62 11.56 11.51Mount Baldy Wilderness AZ 12.22 12.02 11.96

Petrified Forest National Park AZ 11.99 11.82 11.74

Sycamore Canyon Wilderness AZ 11.63 11.51 11.48

Black Canyon of the Gunnison National Park Wilderness

CO 10.90 10.76 10.60

Flat Tops Wilderness CO 11.04 10.91 10.73Maroon Bells Wilderness CO 11.15 11.00 10.84

Mesa Verde National Park CO 12.24 12.03 11.84

Weminuche Wilderness CO 11.19 10.99 10.84

West Elk Wilderness CO 11.08 10.89 10.72San Pedro Parks

Wilderness NM 12.33 12.12 11.71

Arches National Park UT 12.41 12.29 12.15Bryce Canyon National Park UT 12.26 12.24 11.95

Canyonlands National Park UT 12.41 12.31 12.18

Capital Reef National Park UT 12.51 12.49 12.36

Zion National Park UT 12.13 12.09 12.03

*This table may be found on page 130 in the WRAP’s TSD and has been altered with the approval of the WRAP for clarity.

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**Table 2.2.2.2 Projected Visibility Improvement at the 16 Colorado Plateau Class I Areas on the Average 20% Best Visibility Days, for the 2018 Base Case, Scenario 1, and Scenario 2.

Modeling Results (deciviews)

Colorado PlateauClass I Area State

2018 Base Case(20% Best Days’

Visibility for all controls “on the books” as of

2002)

2018 Scenario 1(20% Best Days’


Annex Milestones and Pollution Prevention)

with Base Smoke Management)

2018 Scenario 2(20% Best Days’


Annex Milestones and Pollution Prevention) with Optimal Smoke

Management)Grand Canyon National Park AZ 4.76 4.72 4.64Mount Baldy Wilderness AZ 5.49 5.46 5.36

Petrified Forest National Park AZ 5.18 5.14 5.10

Sycamore Canyon Wilderness AZ 4.85 4.82 4.75

Black Canyon of the Gunnison National Park Wilderness

CO 3.89 3.83 3.75

Flat Tops Wilderness CO 3.96 3.90 3.81Maroon Bells Wilderness CO 3.90 3.85 3.80

Mesa Verde National Park CO 4.40 4.38 4.33

Weminuche Wilderness CO 3.89 3.83 3.74

West Elk Wilderness CO 3.97 3.92 3.82San Pedro Parks

Wilderness NM 5.59 5.51 5.36

Arches National Park UT 4.85 4.72 4.61Bryce Canyon National Park UT 3.91 3.92 3.89

Canyonlands National Park UT 4.87 4.76 4.67

Capital Reef National Park UT 4.85 4.85 4.75

Zion National Park UT 3.81 3.79 3.75

**This table may be found on page 131 in the WRAP’s TSD and has been altered with the approval of the WRAP for clarity.

4. Applicable WRAP Reports and Documents

Chapter 2 of the TSD describes the control strategies and programs modeled for improvement of visibility by 2018.

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B. Clean Air Corridors


51.309(d)(3) Treatment of Clean Air Corridors. The plan must describe and provide for implementation of comprehensive emission tracking strategies for clean-air corridors to ensure that the visibility does not degrade on the least-impaired days at any of the 16 Class I areas. The strategy must include:

(i) An identification of clean-air corridors. The EPA will evaluate the State’s identification of such corridors based upon the reports of the Commission’s Meteorology Subcommittee and any future updates by a successor organization;

(ii) Within areas that are clean-air corridors, an identification of patterns of growth or specific sites of growth that could cause, or are causing, significant emissions increases that could have, or are having, visibility impairment at one or more of the 16 Class I areas.

(iii) In areas outside of clean-air corridors, an identification of significant emissions growth that could begin, or is beginning, to impair the quality of air in the corridor and thereby lead to visibility degradation for the least impaired days in one or more of the 16 Class I areas.

(iv) If impairment of air quality in Clean Air Corridors is identified pursuant to paragraphs (d)(3)(ii) and (iii) of this section, an analysis of the effects of increased emissions, including provisions for the identification of the need for additional emission reductions measures, and implementation of the additional measures where necessary.

(v) A determination of whether other Clean Air Corridors exist for any of the 16 Class I areas. For any such Clean Air Corridors, an identification of the necessary measures to protect against future degradation of air quality in any of the 16 Class I areas.



The requirements for the Clean Air Corridors (CACs) are discussed on page 35751 of the Preamble to the RHR. The CACs are geographic areas located within transport region states and tribes that contribute to good visibility in the 16 Class I areas on the Colorado Plateau. The GCVTC Meteorological Subcommittee studied these areas, and the Commission recommended that emissions there be tracked in order to protect the good visibility (least-impaired) days in the 16 Class I areas. If the tracking shows increases in emissions, then tribes are required to assess whether this increase could impact the clean air days, and implement emission reduction measures to protect the clean days if necessary. Tribes wanting to adopt the clean air corridor section will need to perform an emissions inventory of their lands and supply this information to the WRAP. By using the Emissions Data Management System (EDMS), the WRAP will produce a report for each five year TIP revision. It is recommended that a tribe work with the state agency to ensure that emissions are not being double counted.

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The CAC as described in the Grand Canyon Commission Report covered a large portion of the West (nearly all of Nevada, and large portions of Oregon, Idaho, and Utah), which encompasses several Indian nations. Coordination among tribes, states and the EPA is desired, and all consultation efforts to integrate emission inventories and develop consistent policies should be reported. It was recommended in the SIP template that states include a description of tribal lands located within their CAC.

The CAC requirements can be summarized as follows:

1. Adopt a comprehensive emissions tracking program for tracking all visibility impairing pollutants within the CAC.

2. Identify the boundary of the CAC.

3. Within the CAC, identify overall emissions growth or specific areas of emissions growth that could be significant enough to result in visibility impairment at one or more of the 16 Class I areas.

4. Outside the CAC, identify significant emissions growth that could impact air quality inside the corridor, and thereby lead to visibility impairment in any of the 16 Class I areas.

5. If the above emission growth assessments inside and outside the CAC show visibility impairment in the CAC, conduct an analysis of the potential impact in the 16 Class I areas, and determine if additional emission control measures are needed, and how these measures would be implemented.

6. Indicate if any other CACs exist, and if others are found, identify necessary measures to protect against future degradation of visibility in the 16 Class I areas.

7. Perform an emissions inventory.

All transport region7 tribes not just those within the CAC, need to address the above CAC requirements, but only if it adopts the CAC into its plan. Most requirements apply to all the tribes, but there are some differences based on whether a tribe is within the CAC or not. For the comprehensive emissions tracking program, all tribes who participate will need to describe the system that has been developed for this purpose by the WRAP. Tribes within the CAC will need to indicate that emissions in their portion of the CAC will be tracked. Those participating tribes will need to show the boundary of the CAC and describe the assessments of emissions growth inside and outside, using the WRAP Policy Paper on Clean Air Corridors and the technical analyses in the TSD. Both the policy paper and technical analysis are summarized in Section 4 below. Tribes that are within the CAC will also need to describe, by county, the portion of the CAC in their jurisdiction. Tribes outside the CAC will need to indicate that no CAC exists within their boundaries. Finally, all tribes will need to summarize the finding in the WRAP CAC paper that indicates no “other CACs” exist.

7 Transport region tribes include those tribes that are located within the states of Arizona, California, Colorado, Idaho, Nevada, New Mexico, Oregon, Utah and Wyoming.

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B. Treatment of Clean Air Corridors

See Appendix B of this implementation plan for further details that summarize the WRAP Policy Paper on Clean Air Corridors and supports parts b, c, d, and f below.

(a) Comprehensive emissions tracking program. Pursuant to 40 CFR 51.309(d)(3), a comprehensive emissions tracking system has been established to track emissions within portions of Oregon, Idaho, Nevada and Utah, that have been identified as part of the Clean Air Corridor, as specified in (b) below, to ensure that visibility is not degraded on the least-impaired days in any of the 16 Class I areas on the Colorado Plateau. This comprehensive emissions tracking system was developed by the WRAP to assist states and tribes in meeting this requirement. [For tribes located within the CAC in Oregon, Idaho, Nevada and Utah] The [name of tribe] will provide the WRAP with emissions data, from within the tribe’s jurisdiction that reside in the CAC every three years in conjunction with a timetable being followed by section 309 states. [For all transport region tribes] Appendix L-1 of this implementation plan describes the comprehensive emissions tracking system, and the process by which the WRAP will summarize emission trends using the most recent data in order to identify any significant emissions growth that could lead to visibility degradation in the 16 Class I areas. Included in this summary will be an assessment of whether any significant emissions growth has occurred within the Clean Air Corridor, in accordance with (c) below.

(b) Identification of Clean Air Corridors. Pursuant to 40 CFR 51.309(d)(3)(i), the [name of tribe] has identified a Clean Air Corridor, as indicated in the map provided below. This Clean Air Corridor was identified using studies conducted by the Meteorological Subcommittee of the Grand Canyon Visibility Transport Commission, and then updated by the WRAP based on an assessment described in the WRAP Policy Paper on Clean Air Corridors, and related technical analysis conducted by the WRAP. [following applies to tribes located within the CAC in Oregon, Idaho, Nevada and Utah only] As the map below indicates, part of the Clean Air Corridor lies within the [name of] tribe’s jurisdiction, and includes the following county(ies): [list here]. The comprehensive emissions tracking system described above in (a) shall track emissions within these counties including those lands under tribal jurisdiction.

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(c) Patterns of growth within the Clean Air Corridor. Pursuant to 40 CFR 51.309(d)(3)(ii), the [name of tribe] has determined, based on the WRAP Policy Paper on Clean Air Corridors and technical analysis conducted by the WRAP, that inside the Clean Air Corridor identified in (b) there is no significant emissions growth occurring at this time that is causing visibility impairment in the 16 Class I areas on the Colorado Plateau. Future emissions growth will be tracked in accordance with the comprehensive emissions tracking system in (a) above. The WRAP will summarize emission trends using the most recent data within the corridor and make an assessment of whether any significant emissions growth has occurred within the corridor.

(d) Patterns of growth outside the Clean Air Corridor. Pursuant to 40 CFR 51.309(d)(3)(iii), the [name of tribe] has determined, based on the WRAP Policy Paper on Clean Air Corridors and technical analysis conducted by the WRAP, that outside the Clean Air Corridor identified in (b) there is no emissions growth occurring at this time that is impairing air quality within the Clean Air Corridor sufficient to cause any visibility impairment in any of the 16 Class I areas on the Colorado Plateau. As part of the WRAP’s summary of emission trends using the most recent data within the corridor, an assessment will be made of emission and monitoring data trends outside the Clean Air Corridor, in order to determine if significant emissions growth is occurring outside the corridor that could be impairing air quality within the corridor, and resulting in visibility impairment in the 16 Class I areas. See Appendix B for additional details on this assessment process.

(e) Actions if impairment inside or outside the Clean Air Corridor occurs. The [name of tribe], in coordination with other transport region states and tribes, will review the WRAP’s summary of emission trends using the most recent data within the Clear Air Corridor and whether any significant emissions growth was identified within the corridor in accordance with (c) above, or was identified outside the corridor, in accordance with (d) above. If significant emissions growth was identified, the [name of tribe] in coordination with other transport region states and tribes, will conduct or seek WRAP assistance in conducting an analysis of the effects of this emissions growth in terms of possible impact on air quality within the corridor and possible degradation of the least-impaired days in any of the 16 Class I areas on the Colorado Plateau. Pursuant to 40 CFR 51.309(d)(3)(iv), if this analysis finds that this growth is causing visibility impairment in the 16 Class I areas, the [name of tribe] in coordination with other transport states and tribes will evaluate the need for additional emission reduction measures, and identify an implementation schedule for such measures, if needed. The implementation of any additional emission measures shall be coordinated with all appropriate transport region states and tribes, on a mutually agreed upon timetable, and reported to the EPA in accordance with the periodic progress reports required under 40 CFR 51.309(d)(10)(i).

(f) Other Clean Air Corridors. Pursuant to 40 CFR 51.309(d)(3)(v), the [name of tribe] has concluded that no other Clean Air Corridors can be identified at this time. This finding is based on the review of work conducted by the Meteorological Subcommittee of the Grand Canyon Visibility Transport Commission on Clean Air Corridors, as described in the WRAP Policy Paper on Clean Air Corridors. Although no formal update on this finding is required, the [name of tribe] recognizes that future modeling or monitoring data, with the help of the WRAP, may indicate other possible Clean Air Corridors exist. If the WRAP is unable to help with this, the tribe will be responsible for carrying out duties such as these. However it may seek help from

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other agencies or the EPA. The [name of tribe] will notify EPA if there is evidence to support such a finding in the future, and take appropriate action pursuant to this requirement.


See Chapter 3 of the TSD Development Plan for the technical work conducted in support of the WRAP Policy Paper on Clean Air Corridors.

The WRAP Policy Paper on Clean Air Corridors addresses all requirements related to identifying the boundary of the CAC, projections of emissions growth inside and outside the boundary, and if other corridors exist. This paper was based on the work of the GCVTC Meteorological Subcommittee, and updated with 1996 inventories used by the WRAP. The paper found that there is only one CAC, and concludes that patterns of growth in and adjacent to the corridor are not causing significant emissions increases, and consequently no adverse visibility impact on any of the 16 Class I areas on the Colorado Plateau. The paper found that only 4% emissions growth was likely to occur, as compared to the GCVTC work that indicated it would take at least a 25% increase to result in perceptible visibility impact (0.7 deciview). Because no impairment of air quality in the corridor was identified, no further visibility analysis or additional emission reduction measures are needed now, but will be re-evaluated in 2008. The WRAP policy paper calls for a tracking system for emissions in and adjacent to the corridor and a report every five years comparing emissions with the 1996 baseline.

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C. Stationary Sources


51.309(d)(4) Implementation of stationary source reductions. The first implementation plan submission must include:

NOTE: The following are revisions to 51.309(d)(4) approved by EPA (see 67 FR 33764, 33784 (June 5, 2003)).

(i) Sulfur dioxide milestones consistent with paragraph (h)(1) of this section.

(ii) Monitoring and reporting of sulfur dioxide emissions. The plan submission must include provisions requiring the annual monitoring and reporting of actual stationary source sulfur dioxide emissions within the State. The monitoring and reporting data must be sufficient to determine whether a 13 percent reduction in actual emissions has occurred between the years 1990 and 2000, and for determining annually whether the milestone for each year between 2003 and 2018 is exceeded, consistent with paragraph (h) (2) of this section. The plan submission must provide for reporting of these data by the State to the Administrator and to the regional planning organization consistent with paragraph (h)(2) of this section.

(iii) Criteria and Procedures for a Market Trading Program. The plan must include the criteria and procedures for activating a market trading program consistent with paragraphs (h)(3) and (h)(4) of this section. The plan must also provide for implementation plan assessments of the program in the years 2008, 2013, and 2018.

(iv) Provisions for market trading program compliance reporting consistent with paragraph (h)(4) of this section.

(v) Provisions for stationary source NOX and PM. The plan submission must include a report which assesses emissions control strategies for stationary source NOX and PM, and the degree of visibility improvement that would result from such strategies. In the report, the State must evaluate and discuss the need to establish emission milestones for NOX and PM to avoid any net increase in these pollutants from stationary sources within the transport region, and to support potential future development and implementation of a multipollutant and possibly multisource market-based program. The plan submission must provide for an implementation plan revision, containing any necessary long-term strategies and BART requirements for stationary source PM and NOX (including enforceable limitations, compliance schedules, and other measures) by no later than December 31, 2008.

NOTE: The following is a portion of new rule section 51.309(h) (see Appendix M for the complete citation of this new rule) recently approved by EPA.

51.309(h) Emissions Reduction Program for Major Industrial Sources of Sulfur Dioxide. The first implementation plan submission must include a stationary source emissions reductions program for major industrial sources of sulfur dioxide that meets the following requirements:

(1) Regional sulfur dioxide milestones. The plan must include the milestones in Table 1, and provide for the adjustments in paragraphs 51.309(h)(1)(i) through (iv) of this section. Table 1 follows: (NOTE: see Section 3. Template Language to view Table 1).

(i) Adjustment for States and Tribes Which Choose Not to Participate in the Program, and for Tribes that choose to opt into the program after the 2003 deadline.

(ii) Adjustment for Future Operation of Copper Smelters.

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(iii) Adjustments for changes in emission monitoring or calculation methods. (iv) Adjustments for changes in flow rate measurement methods for affected sources under 40

CFR 72.1. (v) Adjustments due to enforcement actions arising from settlements. (vi) Adjustments due to enforcement actions arising from administrative or judicial orders. (vii) Adjustments for enforcement actions.(viii) Documentation of adjustments for enforcement actions.(ix) Adjustment based upon program audits.(x) Adjustment for individual sources opting into the program.

(2) Requirements for monitoring, record keeping and reporting of actual annual emissions of sulfur dioxide. (i) Sources included in the program. (ii) Documentation of emissions calculation methods. (iii) Record keeping. (iv) Completion and submission of emissions reports. (v) Exceptions reports. (vi) Reporting of emissions for the Mohave Generating Station for the years 2003 through 2006. (vii) Special provision for the year 2013.

(3) Annual comparison of emissions to the milestone. (i) The implementation plan must provide for a comparison each year of annual SO2 emissions

for the region against the appropriate milestone. (ii) The implementation plan must provide for the State or Tribe to make available to the public a

draft report comparing annual emissions to the milestone by December 31 of each year. (iii) The implementation plan must provide for the State or Tribe to submit to the administrator a

final determination of annual emissions by March 31 of the following year.(iv) A State or Tribe may delegate its responsibilities to prepare draft reports and reports under

paragraphs (h)(3)(i) through (iii) of this section to a regional planning organization designated by each State or Tribe submitting an approvable plan under this section.

(v) Special considerations for year 2012 report.(vi) Independent review.

(4) Market trading program. (i) Allowances. (ii) Compliance with allowances. (iii) Emissions quantification protocols. (iv) Monitoring and Recordkeeping. (v) Tracking system. (vi) Authorized account representative. (vii) Annual report. (viii) Allowance transfers. (ix) Emissions banking. (x) Penalties. (xi) Provisions for periodic evaluation of the trading program.

(5) Other provisions.(i) Permitting of affected sources. (ii) Integration with other programs.


If a tribe adopts all or part of the section 309 programs, that adoption constitutes an agreement to meet the requirements of those program elements including all applicable deadlines (e.g., SIP/TIP revisions and progress reports) with respect to the program elements adopted. These

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commitments or deadlines should be worked out up front and clearly identified in the program submittal and the EPA approval.

The requirements for stationary sources are discussed on pages 35751-35752 in the Preamble to the RHR (64 FR 35714, July 1, 1999). Section 309 originally contained two sets of requirements for controlling emissions from stationary sources. A third set of requirements has been approved (40 CFR 51.309(h)). Section 309(f) required submitting an Annex to the GCVTC’s report that contained SO2 emission reduction milestones showing steady and continuous emissions reductions between 2003-2018 greater than would be achieved by applying BART (see Appendix M for the complete rule citation). The Annex was submitted to EPA in September 2000 and approved June 5, 2003. Section 309(d)(4) required tracking emissions to ensure the SO2 milestones in the Annex were met, and implementing a backstop market trading program if the milestones were not met. A new Section 309(h) reflects the elements of the submitted Annex, and contains requirements related to adjusting the SO2 milestones, determining annual compliance with the milestones, and key trading program elements. A description of the requirements in Section 309(h) are discussed starting on page 33766 of the Preamble in Revisions to the Regional Haze Rule, 67 FR 33764, June 5, 2003. This proposed rulemaking also contains some minor revisions to Section 309(d)(4) and 309(f).

The following summarizes Section 309(d)(4) and the new Section 309(h), and how the two are related:

Section 309 (d)(4) Section 309 (h)(i) requires SO2 milestones in the SIP (1) contains the actual SO2 milestones for each

year from 2003 to 2018, and includes provisions for making adjustments to these milestones if necessary

(ii) requires monitoring and reporting of actual stationary source SO2 emissions in order to ensure the SO2 milestones are met. The data must be sufficient to verify a 13 percent decrease in actual SO2 emissions between 1990 and 2000. The SIP must commit to reporting to the WRAP as well as to the EPA

(2) specifies that monitoring and reporting starts in 2003, and applies to all sources with actual SO2 emissions over 100 tons per year. Section 309(h)(2) also contains provisions how to document emission calculations, record keeping, and other reporting requirements.

(iii) requires the SIP contain criteria and procedures for activating the trading program within 5 years if an annual milestone is exceeded, and provide assessments in 2008, 2013, and 2018

(3) describes the mechanism for comparing emissions to the milestones using annual emission reports, and that a regional planning organization like the WRAP can assist in performing this function. It also includes requirements for public and independent review.

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(iv) requires the SIP contain reporting provisions related to determining compliance with the market trading program, and references the reporting process identified in Section 309(h)(3).

(4) identifies all the elements that need to be included in the market trading program (allowances, compliance with allowances, protocols for quantifying emissions, monitoring and record keeping, a tracking system, an authorized account representative, an annual report, allowance transfers, banking, penalties, and periodic program review).

(v) requires submittal of a report to EPA that evaluates NOx and PM emission control strategies, the degree of visibility improvement that would result from such strategies, and whether milestones are needed to avoid any net increase in these pollutants. If NOx and PM strategies are determined to be needed, then the 2003 SIP must include a commitment by the State that SIP revisions will be made in 2008 to include long-term strategies and BART requirements for stationary sources of PM and NOx.

(5) identifies other provisions for the trading program (permitting of affected sources and integration into other programs).

To assist tribes in meeting the requirements above, the WESTAR Model Rule/MOU Working Group has developed two documents, which are to be used by states and tribes for incorporating into the implementation plan all elements related to the SO2 milestones and the Market Trading Program. These two documents are the SO2 Milestones and Backstop Trading Program Model SIP/TIP, and the Western Backstop SO2 Model Rule. These documents are described below, and in Section 4. Applicable WRAP Reports and Documents.

The SO2 Milestones and Backstop Trading Program Model SIP/TIP describes the overall program, and contains a commitment by the state/tribe to implement all parts of the program as outlined in the plan. This document contains the regional SO2milestones, the SO2 emissions tracking requirements, and if the Western Backstop SO2 Trading Program is triggered, describes how the state/tribe will determine allocations and manage the Emissions and Allowance Tracking System that is needed to implement the program.

The regulatory language in the Model SIP/TIP is listed below in Section 3 Template Language.

The Western Backstop SO2 Trading Program Model Rule contains the requirements that will apply to major industrial sources of sulfur dioxide as a backstop regulatory program if the SO2 milestones are exceeded. The rule may never be implemented if the goal to meet the regional SO2 milestones through voluntary means is achieved. If the rule is implemented, it establishes the procedures and compliance requirements for sources in the Trading Program. This rule may be adopted by a tribe in conjunction with the 309 TIP.

The entire Model Rule is provided in Appendix O. The distinction between the SIP/TIP language and the model rule language in terms of the market trading program is that the first covers both pre-trigger and post-trigger phases of the program, while the second covers only the post-trigger requirements for stationary sources.

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States and tribes will need to require major industrial sources of SO2 to submit annual emissions in the pre-trigger phase of the program to measure compliance with the regional SO2 milestones. If the backstop program is triggered then these requirements will eventually be replaced by more rigorous monitoring requirements in the Model Rule.

For tribes that adopt this section 309 program after the backstop trading program has been triggered, then those eligible sources within the tribe’s jurisdiction would have to meet the monitoring requirements in the Model Rule.

To assist tribes in meeting requirement 309(d)(4)(v) above, the WRAP Market Trading Forum has prepared a report assessing possible NOx and PM emission control strategies and the resulting visibility improvement that could result from such strategies. This is also described below in Section 4.

The 309 states have agreed in principle to propose to the WRAP Board of Directors, the creation of a standing committee, (the 309 Coordinating Committee), to facilitate communication and information exchange, and to provide a mechanism to develop the agreements and understandings of how the independent states and tribes will work together to implement the requirements of §309, including the milestone and backup market trading program.

Note of Special Interest: At the time that the RH TIP Template was developed, the EPA was reviewing State 309 SIPs. The EPA had not yet determined if states deviated from the Model SIP/TIP and Model Rule for the backstop trading program. Depending on the final outcome, it is unknown whether these changes would need to be incorporated into this template. Because of this, the tribe should check with their Regional EPA Office to determine if any changes were made to the backstop trading program that are different than what was included here.


C. Emission Reductions for Stationary Sources.

Note: the Model Rule working group prepared this version of the Model SIP/TIP. The formatting is not consistent with the rest of the template, but can be altered to fit your formatting needs. In addition background information from this group has been left in for your information only and should not be included as part of your TIP.

[The following document is a model implementation plan to implement regional SO2 milestones and a backstop trading program in accordance with section 309 of the regional haze rule. The regional haze rule establishes the mandatory requirements that must be met by a state implementation plan and establishes provisions that potentially may be used in a tribal implementation plan. This model implementation plan was developed through the broad stakeholder process of the WRAP as a template to facilitate consistent, multi-jurisdictional implementation of section 309. The template does not establish the only acceptable way to implement section 309, but it does have the benefit of extensive review and discussion by the many stakeholders involved in the WRAP process, including EPA review and comment. A state

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or tribe that develops alternate language will need to demonstrate to the other participating states and tribes and EPA that their plan and accompanying rules will respect the sovereignty of other participating states and tribes; satisfies the regional haze rule; be enforceable; be consistent with the emissions and allowance tracking provisions and trading provisions in implementation plans developed by other participating states and tribes; and be administratively practicable.]

SO2 Milestones and Backstop Trading ProgramModel SIP/TIP

August 13, 2003 (final draft)

Background

The SO2 Milestones and Backstop Trading Program was developed to implement the emissions reduction program for major industrial sources of sulfur dioxide described in 40 CFR 51.309(h). The program is implemented through the following documents:

SO2 Milestones and Backstop Trading Program Model SIP/TIP [change to citation for state/tribe’s implementation plan] describes the overall program, and contains [state or tribe]’s commitment to implement all parts of the program as outlined in the plan. The plan establishes the regional milestones, SO2 emissions tracking requirements, and if the Western Backstop SO2 Trading Program (“WEB Trading Program”) is triggered, the plan also describes how [state or tribe] shall determine allocations and manage the Emissions and Allowance Tracking System that is needed to implement the program.

Western Backstop SO2 Trading Program Model Rule [change to citation for state/tribe’s individual “WEB rule”] contains the requirements that shall apply to major industrial sources of sulfur dioxide as a backstop regulatory program if the SO2

milestones are exceeded. The rule may never be implemented if the goal to meet the regional SO2 milestones through voluntary means is achieved. If the rule is implemented, it establishes the procedures and compliance requirements for sources in the Trading Program.

[State’s or tribe’s existing emissions inventory or equivalent rule] requires major industrial sources of SO2 to submit an annual emissions inventory in the pre-trigger phase of the program to measure compliance with the regional SO2 milestones. If the backstop program is triggered then these requirements will eventually be replaced by more rigorous monitoring requirements in [state/tribe’s “WEB rule”].

Note: References to the state/tribe’s WEB rule throughout this model SIP/TIP text refer to the individual rule that each participating state and tribe will adopt that is based on the WRAP’s WEB SO2 Trading Program Model Rule.

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Definitions

Note: For the states or tribes that do not include a separate definition section in their Implementation Plans, the definitions below must be incorporated into the body of the [state or tribal] Implementation Plan.

The definitions in this part apply only to this Implementation Plan:

Account Certificate of Representation means for a WEB Source the completed and signed submission required to designate an Account Representative for a WEB source who is authorized to represent the owners and operators of the WEB source with regard to matters under the WEB Trading Program and for a general account, the individual who is authorized to represent the persons having an ownership interest with respect to allowances in the general account with regard to matters concerning the general account.

Account Representative means the individual who is authorized through an Account Certificate of Representation to represent owners and operators of the WEB source with regard to matters under the WEB Trading Program (including, for example, to transfer and otherwise manage allowances and certify all submissions to the Emissions and Allowance Tracking System and the emissions tracking database for the purposes of the Rule) or, for a general account, who is authorized through an Account Certificate of Representation to represent the persons having an ownership interest in allowances in the general account with regard to matters concerning the general account.

Act means the Clean Air Act, as amended, 42 U.S.C. 7401, et seq.

Actual Emissions means total annual sulfur dioxide emissions determined in accordance with Section I of the WEB Trading Program Rule, or determined in accordance with [refer to state or tribal inventory rule or equivalent] for sources that are not subject to Section I of the WEB Trading Program Rule.

Allocate means to assign allowances to a WEB source through Section C1 of this Implementation Plan.

Allowance means the limited authorization under the WEB Trading Program to emit one ton of SO2 during a specified control period or any control period thereafter subject to the terms and conditions for use of unused allowances as established by the Rule.

Allowance limitation means the tonnage of SO2 emissions authorized by the allowances available for compliance deduction for a WEB source for a control period under Section L1 of the Rule on the allowance transfer deadline for that control period.

Emissions and Allowance Tracking System means the system developed by [state or tribe] where allowances under the WEB Trading Program are recorded, held, transferred and deducted.

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Emissions and Allowance Tracking System account means an account in the Emissions and Allowance Tracking System established for purposes of recording, holding, transferring, and deducting allowances.

Compliance account means an account established in the Emissions and Allowance Tracking System under Section H1 of the Rule for the purpose of recording allowances that a WEB source might hold to demonstrate compliance with its allowance limitation.

Control period means the period beginning January 1 of each year and ending on December 31 of the same year, inclusive.

Emissions tracking database means the central database where SO2 emissions for WEB sources as recorded and reported in accordance with the Rule are tracked to determine compliance with allowance limitations.

Emission unit means any part of a stationary source that emits or would have the potential to emit any pollutant submitted to regulations under the Clean Air Act.

EPA Administrator means the Administrator of the United States Environmental Protection Agency or the Administrator’s duly authorized representative.

Existing source means a stationary source that commenced operation before the Program Trigger Date.

Floor allocation means the amount of allowances set by the [state or tribe] in accordance with this Plan that represents the minimum necessary for a source to operate under stringent control assumptions. General account means an account established in the Emissions and Allowance Tracking System under Section H for the purpose of recording allowances held by a person that are not to be used to show compliance with an allowance limitation.

Milestone means the maximum level of stationary source regional sulfur dioxide emissions for each year from 2003 to 2018, established according to the procedures in Section A of the Implementation Plan.

New WEB Source means a WEB source that commenced operation on or after the Program Trigger Date.

New Source Set-aside means a pool of allowances that are available for allocation to new WEB sources and modified WEB sources that have increased capacity in accordance with the provisions of Section C1.3 of the Implementation Plan.

Potential to emit means the maximum capacity of a stationary source to emit any air pollutant under its physical and operational design. Any physical or operational limitation on the capacity of a source to emit an air pollutant, including air pollution control equipment and restrictions on

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hours of operation or on the type or amount of material combusted, stored or processed, shall be treated as part of its design if the limitation is enforceable by the EPA Administrator.

Program Trigger Date means the date that [state or tribe] determines that the WEB Trading Program has been triggered in accordance with the provisions of Section A2 of the Implementation Plan.

Reducible allocation means the amount of allowances set by [state or tribe] in accordance with Section C1.1(b)(9) of this Plan that represents, for each source, emissions in excess of the floor allocation that shall be reduced over time as the regional milestone is decreased.

Renewable Energy Resource means a resource that generates electricity by non-nuclear and non-fossil technologies that results in low or no air emissions. The term includes electricity generated by wind energy technologies; solar photovoltaic and solar thermal technologies; geothermal technologies; technologies based on landfill gas and biomass sources, and new low-impact hydropower that meets the Low-Impact Hydropower Institute criteria. Biomass includes agricultural, food and wood wastes. For the purposes of this Plan, a renewable energy resource does not include pumped storage or biomass from municipal solid waste, black liquor, or treated wood.

Retired source means a WEB source that has received a retired source exemption as provided in Section D3 of the WEB Trading Program Rule. Any retired source resuming operations under D3(d) of the WEB Trading Program Rule, must submit its exemption as part of its registration materials.

Stationary source means any building, structure, facility or installation that emits or may emit any air pollutant subject to regulation under the Clean Air Act.

Ton means 2000 pounds and, for any control period, any fraction of a ton equaling 1000 pounds or more shall be treated as one ton and any fraction of a ton equaling less than 1000 pounds shall be treated as zero tons.

Tracking System Administrator means the person designated by [state or tribe] as the administrator of the WEB Emissions and Allowance Tracking System and the emission tracking database.

Tribal Set-Aside means a 20,000-ton SO2 WEB allowance allocated to tribes on an annual basis. The tribes will decide how to distribute the allowances in the set-aside among tribes in the region. The set-side is intended to ensure equitable treatment for tribal economies and to prevent barriers to economic development.

Trigger refers to the activation of the WEB Trading Program for SO2 in accordance with Section A of the Implementation Plan.

WEB source means a stationary source that meets the applicability requirements of Section D of the Model Rule.

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Western Backstop SO2 Trading Program (“WEB Trading Program”) refers to the Rule that shall be triggered as a backstop in accordance the provisions in Section A of this Implementation Plan to ensure that regional SO2 emissions are reduced.

Western Regional Air Partnership (WRAP) means the collaborative effort of tribal governments, state governments, and federal agencies to promote and monitor implementation of recommendations from the Grand Canyon Visibility Transport Commission authorized under Section 169B(f) of the Act, and to address other common Western regional air quality issues.

Part A—Milestones and Determination of Program Trigger

A1 Regional SO2 Milestones

A1.1 Base Milestone Values

The regional sulfur dioxide base milestones for the years 2003 through 2018 are provided in Table 1. The base milestones shall be adjusted annually as described in paragraphs A1.2 and A1.3 of [state or tribal] Implementation Plan.

TABLE 1. Base Sulfur Dioxide Emissions Milestones (excludes Smelter Set-aside)Column 1 Column 2 Column 3For the year the base regional sulfur

dioxide milestone isand the annual SO2 emissions for these years will determine whether emissions are greater than or less than the milestone

2003 682,000 tons SO2 20032004 682,000 tons SO2 Average of 2003 and 20042005 682,000 tons SO2 Average of 2003, 2004 and 20052006 682,000 tons SO2 Average of 2004, 2005 and 20062007 682,000 tons SO2 Average of 2005, 2006 and 20072008 680,333 tons SO2 Average of 2006, 2007 and 20082009 678,667 tons SO2 Average of 2007, 2008 and 20092010 677,000 tons SO2 Average of 2008, 2009 and 20102011 677,000 tons SO2 Average of 2009, 2010 and 20112012 677,000 tons SO2 Average of 2010, 2011 and 20122013 659,667 tons SO2 Average of 2011, 2012 and 20132014 642,333 tons SO2 Average of 2012, 2013 and 20142015 625,000 tons SO2 Average of 2013, 2014 and 20152016 625,000 tons SO2 Average of 2014, 2015 and 20162017 625,000 tons SO2 Average of 2015, 2016 and 20172018 480,000 tons SO2 Year 2018 only2019 forward, until replaced by an approved SIP

480,000 tons SO2 Annual; no multiyear averaging

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A1.2 Adjustments for participation by eligible States and Tribes.

The amount provided in Table 2 below shall be subtracted from the milestone in Table 1 for each state and tribe that does not have an Implementation Plan approved by the EPA Administrator as meeting the requirements of 40 CFR 51.309 as of December 31 of the year following the milestone year. The first adjustment to the 2003 milestone shall be made no later than March 31, 2005, and shall be based on all states and tribes that do not have a federally approved Implementation Plan as of December 31, 2004.

Note: Tribes are not required to submit a TIP by 2003 and should determine the appropriate year to use for this example in their TIP.

TABLE 2a. [Years 2003-2010] Amounts of SO2 tons to be Subtracted from the Base Milestones for States and Tribes that do not have an Approved Implementation Plan under 40 CFR 51.309 (Data includes new source set aside but not smelter set aside.)*

State or Tribe 2003 2004 2005 2006 2007 2008 2009 20101. Arizona 117,372 117,372 117,372 117,372 117,372 117,941 118,511 119,0802. California 37,343 37,343 37,343 37,784 37,343 36,363 35,382 34,4023. Colorado 98,897 98,897 98,897 98,897 98,897 98,443 97,991 97,5374. Idaho 18,016 18,016 18,016 18,016 18,016 17,482 16,948 16,4145. Nevada 20,187 20,187 20,187 20,187 20,187 20,282 20,379 20,4746. New Mexico 84,624 84,624 84,624 84,624 84,624 84,143 83,663 83,1827. Oregon 26,268 26,268 26,268 26,268 26,268 26,284 26,300 26,3168. Utah 42,782 42,782 42,782 42,782 42,782 42,795 42,806 42,8199. Wyoming 155,858 155,858 155,858 155,858 155,858 155,851 155,843 155,83610. Navajo Nation 53,147 53,147 53,147 53,147 53,147 53,240 53,334 53,42711. Shoshone-Bannock Tribe of the Fort Hall Reservation

4,994 4,994 4,994 4,994 4,994 4,994 4,994 4,994

12. Ute Indian Tribe of the Uintah and Ouray Reservation

1,129 1,129 1,129 1,129 1,129 1,131 1,133 1,135

13. Wind River Reservation

1,384 1,384 1,384 1,384 1,384 1,384 1,384 1,384

TABLE 2b. [Years 2011-2018] Amounts of SO2 tons to be Subtracted from the Base Milestones for States and Tribes that do not have an Approved Implementation Plan under 40 CFR 51.309*State or Tribe 2011 2012 2013 2014 2015 2016 2017 20181. Arizona 119,080 119,080 116,053 113,025 109,998 109,998 109,998 82,3022. California 34,402 34,402 33,265 32,128 30,991 30,991 30,991 27,4913. Colorado 97,537 97,537 94,456 91,375 88,294 88,294 88,294 57,6754. Idaho 16,414 16,414 15,805 15,197 14,588 14,588 14,588 13,2275. Nevada 20,474 20,474 20,466 20,457 20,449 20,449 20,449 20,2326. New Mexico 83,182 83,182 81,682 80,182 78,682 78,682 78,682 70,0007. Oregon 26,316 26,316 24,796 23,277 21,757 21,757 21,757 8,2818. Utah 42,819 42,819 41,692 40,563 39,436 39,436 39,436 30,7469. Wyoming 155,836 155,836 151,232 146,629 142,025 142,025 142,025 97,75810. Navajo Nation 53,427 53,427 52,707 51,986 51,266 51,266 51,266 44,772

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11. Shoshone-Bannock Tribe of the Fort Hall Reservation

4,994 4,994 4,994 4,994 4,994 4,994 4,994 4,994

12. Ute Indian Tribe of the Uintah and Ouray Reservation

1,135 1,135 1,135 1,135 1,135 1,135 1,135 1,135

13. Wind River Reservation

1,384 1,384 1,384 1,384 1,384 1,384 1,384 1,384

*These numbers differ from Annex opt-in/-out tables in that the smelter set-aside is excluded and the new source set-aside is included.

A1.3 Adjustment for Future Operation of Copper Smelters in Arizona and New Mexico

If either the BHP San Manuel smelter in Arizona or the Phelps Dodge Hidalgo smelter in New Mexico resumes operation, the milestones shall be increased as described below. The adjustment shall occur only if the respective state has a State Implementation Plan approved by the EPA Administrator under 40 CFR 51.309. Once the adjustments have been made, the milestones shall not be changed due to future suspensions or changes in plant operations, except as provided below. If Arizona or New Mexico elect not to submit a SIP under 40 CFR 51.309, the emissions for the smelters in the state opting-out will be subtracted from the smelter set-aside.

(a) If one or both smelters resume operations under their existing permits, the milestone shall automatically be adjusted upward for each smelter respectively by the following amounts:

1. Phelps Dodge Corporation, Hidalgo Smelter: 22,000 tons SO2 2. BHP, San Manuel Smelter: 16,000 tons SO2

3. For the 2013 through 2018 milestones, the maximum increase shall be 30,000 tons SO2.

(b) If [Arizona or New Mexico] determines that either smelter will resume operation by operating only a portion of the plant, the milestone adjustment in (a) shall be reduced by a percentage to reflect current conditions. If the smelter resumes normal operations at a later date, the full adjustment described in (a) shall be applied.

(c) If one or both smelters resume operations after going through new source review, the milestone adjustment shall be based on the new permitted level for the source, but in no instance may the adjustment to the milestones exceed 22,000 tons SO2 per year for the Hidalgo Smelter or 16,000 tons SO2 per year for the San Manuel Smelter.

(d) If one or both smelters do not resume operation, [state or tribe] will determine, based on the calculation procedures in provision A3.4, the amount of facility specific set-aside that will be added to the milestone to account for capacity expansion at the remaining smelters. This set-aside shall only be available for use if sulfur input and emissions from the copper smelters are above the baseline levels listed in Table 3 in any particular year as a result of increased capacity. The increase to the milestone will be based on a smelter’s proportional increase above its baseline sulfur input. The set-aside shall be

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recalculated every year to reflect actual operations of the remaining copper smelters. The set-aside may not be traded.

TABLE 3. Preliminary Smelter-Specific Set Aside

Company / SmelterBaseline Sulfur input* Baseline Allocation Smelter-specific Set-

asideBHP San Manuel 417,200 tons 16,000 tons SO2 1,500 tons SO2

Asarco Hayden 235,000 tons 23,000 tons SO2 3,000 tons SO2

Phelps Dodge Chino

212,800 tons 16,000 tons SO2 3,000 tons SO2

Phelps Dodge Hidalgo


Phelps Dodge Miami


Kennecott Salt Lake

340,269 tons 1,000 tons SO2 100 tons SO2

TOTAL 1,670,769 tons 86,000 tons SO2 13,600 tons SO2

[*State needs to verify these figures. ]

A1.4 Other Milestone Adjustments

(a) All other milestone adjustments shall require a SIP/TIP revision. Section A3.3 of this plan outlines adjustments to be made to the emissions inventory to ensure a consistent comparison to the milestones. These adjustments shall be incorporated into the milestones every five years as part of the periodic Implementation Plan revisions required by 40 CFR 51.309(d)(10). [State or tribe] shall track all adjustments to the milestone pursuant to section A3.3.

(b) Within ninety days of the periodic Implementation Plan revision incorporating adjustments based on section A3.3, the [state or tribe] shall provide the date of the SIP/TIP revision reflecting the milestone adjustment to sources whose records were used as the basis for the milestone adjustment and state that the source needs to retain the record at least five years from the date of the SIP/TIP revision, or ten years from the date of establishing the record, whichever is longer.

A2 Regional Program Administration

A2.1 Pre-trigger tracking of regional SO2 emissions.

[State or tribe] shall work cooperatively with the states and tribes that are participating in the SO2

Milestones and Backstop Trading Program to ensure that an emission tracking system for the regional SO2 inventory is developed and maintained. The Western Regional Air Partnership

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(WRAP) compiled the SO2 emission inventories that were used during the development of the Annex, and the WRAP continues to refine and improve the overall tracking system for regional haze. The WRAP shall maintain the pre-trigger emissions tracking functions outlined in this plan for the foreseeable future. If the WRAP is no longer able to fulfill this function, then [state or tribe] shall ensure that other arrangements are made, either through a different regional organization or through a contractor to maintain the SO2 tracking system that is described in this plan. [State or tribe] is responsible for all regional program administration functions as described in this plan. The [state or tribe] shall perform these functions through the WRAP, as the [state or tribes]’s agent. The WRAP shall have no authority to make regulatory determinations. The WRAP has limited authority under this plan to perform tracking and accounting functions, prepare reports, and perform other administrative functions as directed by the states and tribes. [State or tribe] shall work expeditiously to correct any problems if the WRAP fails to perform any of the functions described in the SIP/TIP in a timely manner.

A2.2 Designation of the Tracking System Administrator

If the backstop trading program is triggered due to an exceedance of the SO2 milestones as outlined in Section A3 of this plan, [State or tribe] shall work cooperatively with the other participating states and tribes to designate one Tracking System Administrator (TSA). The TSA shall be designated as expeditiously as possible, but no later than six months after the program trigger date. In addition, before the TSA is designated, the [state or tribe] shall have entered into a binding contract with the TSA that shall require the TSA to perform all TSA functions described in this plan. In addition, the [state or tribe] must obtain sufficient authority to ensure the functions in the Implementation Plan are carried out by the TSA.

A2.3 Information Provided by other States and Tribes

[State or tribe] shall accept the emission inventory and permitting information provided by the other participating states and tribes in order to determine the milestone value and program trigger if such other states and tribes have provided proper documentation and followed the public notification process outlined in Sections A3.6 through A3.8 of this Implementation Plan.

A3 Determination of Program Trigger

A3.1 [State or tribe] shall submit an annual emissions report to the WRAP and all participating states and tribes by September 30 of each year. The report shall document actual sulfur dioxide emissions during the previous calendar year for all sources subject to the requirements of [refer to applicability language in emission inventory rule, or equivalent for pre-trigger tracking requirements] in [state or tribe (‘s jurisdiction)]. The first report for calendar year 2003 shall be submitted by September 30, 2004. The [state or tribe] shall prepare the supporting documentation that is included with the annual emissions report as noted in provisions A3.2 and A3.3 below.

Note: Tribes do not need to submit TIPs by 2003 and should determine the appropriate year to use for this example in their TIP.

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A3.2 The annual emissions report for [state or tribe] shall include a source emissions change report that contains the following information:

(a) identification of any new sources that were not contained in the previous calendar year’s emissions report, and an explanation of why the source is now included in the program;

(b) identification of any sources that were included in the previous year’s report and are no longer included in the program, and an explanation of why this change has occurred; and

(c) an explanation for emissions variations at any applicable source that exceeds +/- 20 percent from the previous year.

A3.3 The annual emissions report for [state or tribe] shall include a proposed emissions adjustment as described in (a) through (d) to ensure a consistent comparison to the milestones.

(a) Changes in flow rate measurement methods. Actual emission inventories for utilities that use EPA’s Reference Method 2F, 2G, or 2H to measure stack flow rate will be adjusted to be comparable with the flow rate assumptions that were used in 1999, the base year inventory for the Annex, except emissions for the year 2018 shall not be adjusted. The adjustment may be calculated using any of the following three methods.

1. Directly determine the difference in flow rate through a side-by-side comparison of data collected with the new and old flow reference methods during a RATA test.

2. Compare the annual average heat rate using Acid Rain heat input data (MMBtu) and total generation (MWHrs) as reported to the federal Energy Information Administration (EIA). Under this approach, the flow adjustment factor shall be calculated using the following ratio:

Heat input/MW for first full year of data using new flow rate methodHeat input/MW for last full year of data using old flow rate method

3. Compare the standard CFM per MW before and after the new flow reference method based on CEMs data submitted in the Acid Rain Program, as follows:

SCF/Unit of Generation for first full year of data using new flow rate methodSCF/Unit of Generation for last full year of data using old flow rate method

Note: Adjustments done under options 2 and 3 may be influenced by operational factors and not just measurement bias. [state or tribe] will need to address this when changes to the milestones are contemplated.

(b) Changes in emission monitoring or calculation methods. Actual emission inventories for sources that change the method of monitoring or calculating their emissions shall be

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adjusted to be comparable to the emission monitoring or calculation method that was used in the base year inventory for the Annex (1999 for utilities and 1998 for all other sources).

(c) Changes due to enforcement actions

1. Adjustments due to enforcement actions arising from settlements. Adjustments to the milestones shall be made as specified in Section A3.3(c)3 and 4, if:

(A) an agreement to settle an action, arising from allegations of a failure of an owner or operator of an emissions unit at a source in the program to comply with applicable regulations which were in effect during the base year, is reached between the parties to the action;(B) the alleged failure to comply with applicable regulations affects the assumptions that were used in calculating the source’s base year and forecasted sulfur dioxide emissions; and (C) the settlement includes or recommends an adjustment to the milestones.

2. Adjustments due to enforcement actions arising from administrative or judicial orders. Adjustments shall be made to the milestones as directed by any final administrative or judicial order, as specified in Section A3.3(c)3 and 4. Where the final administrative or judicial order does not include a reforecast of the source's baseline, [state or tribe] shall evaluate whether a reforecast of the source's baseline emissions is appropriate.

3. Adjustments for enforcement actions. Based on A3.3(c)3 and 4, the milestone must be decreased by an appropriate amount based on a reforecast of the source’s decreased sulfur dioxide emissions. The adjustments do not become effective until after the source has reduced its sulfur dioxide emissions as required in the settlement agreement, or administrative or judicial order. All adjustments based upon enforcement actions must be made in the form of an implementation plan revision that complies with the procedural requirements of 40 CFR 51.102 and 40 CFR 51.103.

4. Documentation of adjustments for enforcement actions. In the periodic plan revision required under 40 CFR 51.309(d)(10), [state or tribe] shall include the following documentation of any adjustment due to an enforcement action:

(A) identification of each source under [state or tribe's] jurisdiction which has reduced sulfur dioxide emissions pursuant to a settlement agreement, or an administrative or judicial order; (B) for each source identified, a statement indicating whether the milestones were adjusted in response to the enforcement action;(C) discussion of the rationale for [state or tribe's] decision to adjust or not to adjust the milestones; and (D) if extra SO2 emissions reductions (over and above those reductions needed for compliance with the applicable regulations) were part of an

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agreement to settle an action, a statement indicating whether such reductions resulted in any adjustment to the milestones or allowance allocations, and a discussion of the rationale for [state or tribe's] decision on any such adjustment.

(d) The following provision only applies to Nevada Adjustment of emissions for the Mohave Generating Station for the years 2003 through 2006. For the years 2003, 2004, 2005, and any part of the year 2006 before installation and operation of sulfur dioxide controls at the Mojave Generating Station, emissions from the Mojave Generating Station shall be calculated using a sulfur dioxide emission factor of 0.15 pounds per million Btu.

A3.4 The annual sulfur dioxide milestone and emissions report for [state or tribe] shall document any adjustments that should be made to the milestone for the previous year as described in (a) through (e).

(a) [State or tribe] shall document the submittal date of this Implementation Plan to implement the regional WEB Trading Program, and the approval date by the EPA Administrator, if applicable.

(b) This provision applies only to Arizona. Arizona shall determine the status of BHP San Manuel copper smelter during the previous year. If the smelter resumed operation during the milestone year, the report shall include:

1. the date the smelter resumed operation;2. a determination by Arizona that either,

(i) the smelter resumed production consistent with past operations,(ii) the smelter was required to go through new source review, in which case Arizona shall include the new SO2 permitted limit for BHP San Manuel in the report, or(iii) the smelter resumed operations in a substantially different manner such that emissions will be less than for past operations, in which case Arizona shall determine expected emissions from the operation.

3. proposed adjustment to the sulfur dioxide milestone to account for the operation of the BHP San Manuel smelter.

(c) This provision applies only to New Mexico. New Mexico shall determine the status of Phelps Dodge Hidalgo copper smelter during the previous year. If the smelter resumed operation in the milestone year, the report shall include:

1. the date the smelter resumed operation;2. a determination by New Mexico that either,

(i) the smelter resumed production consistent with past operations,(ii) the smelter was required to go through new source review, in which case New Mexico shall include the new permitted limit for sulfur dioxide for the Phelps Dodge Hidalgo smelter in the report, or

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(iii) the smelter resumed operations in a substantially different manner such that emissions will be less than for past operations, in which case New Mexico shall determine expected emissions from the operation; and

3. a proposed adjustment to the sulfur dioxide milestone to account for the operation of the Phelps Dodge Hidalgo smelter.

(d) This provision applies only to Arizona, New Mexico, and UtahComparison of actual emissions from all smelters in [state] to the baseline emissions level for that smelter listed in Table 3. If actual emissions and sulfur input are greater than the baseline levels in Table 3, and either the BHP San Manuel smelter in Arizona or the Phelps Dodge smelter in New Mexico have not resumed operation, [state] shall determine the milestone adjustment by determining the increase in the milestone based on the proportional increase in sulfur input over baseline levels. For each smelter, the adjustment shall not exceed the smelter-specific set-aside listed in Table 3.

The following example is for illustrative purposes: Asarco’s baseline SO2 emissions are 23,000 tonsAsarco’s baseline sulfur input is 235,000 tons

For example, in 2005: Asarco’s S02 emissions were 25,000 tonsAsarco’s sulfur input was 250,000 tons.

Because Asarco’s 2005 emissions and sulfur input exceeded it’s baseline emissions and sulfur input: need to calculate the percent increase in sulfur input in the year 2005 = [(2005 sulfur input) - (baseline sulfur input)] ÷ [baseline sulfur input]= [250,000 - 235,000] ÷ [235,000]= [15,000] ÷ [235,000]= 0.0638= 6.38%

The adjustment to the milestone based on Asarco’s increase in production is to increase the milestone by 1,564 tons of SO2 (which is ok, since it is less than the maximum of 3,000 tons in Table 3 for Asarco).adjustment = 6.38% x baseline emissionsadjustment = 6.38% x 23,000 adjustment = 1,564 tons

A3.5 Compilation of Reports

(a) The WRAP shall compile the annual emissions reports submitted by all participating states and tribes into a draft regional emission report for sulfur dioxide. The WRAP shall follow additional quality assurance procedures developed by states and tribes to identify possible errors in the emissions data, including screening for missing or added sources, name changes, and significant changes in reported emissions. Any questions or anomalies

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regarding [state or tribe]’s report shall be referred back to [state or tribe] for resolution prior to the submission of the draft regional emission report.

(b) By December 31 of each year, the WRAP shall submit the draft regional emission and milestone report to [state or tribe] and shall post the draft report on the WRAP website for public review. The report shall include the following information for all states and tribes that have an Implementation Plan that has been approved by the EPA Administrator under 40 CFR 51.309(h).

1. Actual regional sulfur dioxide emissions (tons/year).2. Adjustments to account for:

(i) changes in flow rate measurement methods,(ii) changes in emission monitoring or calculation methods, or(iii) enforcement actions or settlement agreements as a result of enforcement actions.

3. Average adjusted emissions for the last three years (if applicable) for comparison to the regional milestone.4. Regional milestone adjustments to account for participation by eligible states and tribes and the future operation of smelters in Arizona and New Mexico.

A separate report that includes additional states and tribes that have submitted Implementation Plans that are still under review by the Environmental Protection Agency shall also be prepared for information purposes.

A3.6 [State or tribe] shall evaluate the draft regional emissions report and shall propose a draft determination that the sulfur dioxide milestone has either been met in the region, or has been exceeded. In the event that the TSA has not submitted to [state or tribe] a draft regional emissions and milestone report by the December 31 deadline for any year, [state or tribe] shall prepare its own report for that year based upon the annual emissions reports submitted by all participating states and tribes pursuant to Section A3.5 for that year. [State or tribe] shall modify the data in these annual emissions reports, or use data where such report(s) have not been submitted, based upon direction received from the Environmental Protection Agency.

A3.7 [Insert standard public notice and comment provisions for state or tribe]. [State or tribe] shall submit the draft determination to EPA for review and comment.

A3.8 [State or tribe] shall review any comments received during the comment period, and shall submit a copy of all comments to the WRAP and to all participating states and tribes along with a response to address the comments.

A3.9 The WRAP shall compile the comments and responses from all participating states and tribes and prepare a draft final regional emissions report. The report shall be submitted to the states and tribes that are participating in the program and, if necessary, the report shall propose a common Program Trigger Date.

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A3.10 [State or Tribe] shall review and approve the final regional emissions report. [State or Tribe] shall then submit this report to the Environmental Protection Agency along with a final determination that the milestone has either been met in the region, or that the milestone has been exceeded and the WEB Trading Program has been triggered in [State or tribe]. This final determination shall be submitted to the Environmental Protection Agency by the end of March fifteen months following the milestone year. The first final determination shall be due March 31, 2005 for the 2003 milestone. If the milestone has been exceeded, the common trigger date proposed in the regional report shall become the Program Trigger Date for purposes of implementing the WEB Trading Program. In the event that the Program Trigger Date must be established by [state or tribe] in the absence of a regional emissions and milestone report prepared by the TSA, the date shall be March 31 of the applicable year.

Note: Tribes are not required to submit a TIP by 2003 and so should choose an appropriate year for the example at the end of the above paragraph.

A3.11 [State or tribe] shall notify the public of the final determination. This notice shall include the final calculation of the milestone and the final annual regional emissions. If the milestone has been exceeded, the notice shall include the program trigger date and the first year that WEB sources must be in compliance with the WEB Trading Program provisions outlined in Section D2 of the WEB Trading Program Rule. [State or tribe will insert standard procedures for public notification here.]

A4 Year 2013 Assessment

A4.1 Initial Assessment in 2013 Periodic SIP/TIP Review.

(a) [State or tribe] shall work cooperatively with the WRAP and other participating states and tribes to develop a projected emission inventory for SO2 through the year 2018, using the 2010 regional inventory as a baseline. This projected inventory shall be included in the 2010 annual emission and milestone report that shall be completed in March 2012 as outlined in Section A3 of this plan.

(b) [State or tribe] shall evaluate the projected inventory, and based upon this information make an assessment of the likelihood of meeting the regional milestone for the year 2018. [State or tribe] shall include this assessment as part of [state or tribe’s] progress report that must be submitted by December 31, 2013, as required by 40 CFR 51.309 (d)(10).

A4.2 Regional Emissions Report for 2012

(a) [State or tribe] shall prepare an SO2 emission report for the year 2012 by September 30, 2013 as described in Section A3.1 of this plan. [State or tribe] shall include a list of all known projects in [state or tribe] that are anticipated to affect SO2 emissions in 2018. This may include permitted projects, projects that are still in the planning stage, or projections from the affected sources of anticipated emissions in 2018. The status of these projects shall be described to provide a better understanding of the degree of certainty that individual projects will be completed by 2018.

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(b) The WRAP shall compile the information from all participating states and tribes, prepare draft SO2 inventory projections for the year 2018, and estimate the effect of known future projects on SO2 emissions. Projected 2018 emissions will be compared to the 2018 milestone. This information shall be included in the draft regional emissions report that shall be submitted to [State or tribe] by December 31, 2013, as part of the report for the year 2012, as outlined in Section A3.5 of this plan.

A4.3 Consensus Decision

[State or tribe] commits to meet with the participating states and tribes in March 2014 to discuss any comments received on the 2018 emission projections in the draft report. The participating states and tribes shall decide, through a consensus process, whether an early trigger of the WEB Trading Program is necessary to meet the SO2 emission reduction goals in 2018.

A4.4 Official Trigger

If the participating states and tribes unanimously decide under Section A4.3 that an early trigger of the backstop trading program is necessary, [state or tribe] shall trigger the WEB Trading Program and the timing of various program elements shall be adjusted as follows to ensure that the WEB Trading Program is in place in 2018. The date of the consensus decision by the participating states and tribes to voluntarily trigger the WEB trading program shall become the Program Trigger Date.

(a) Allowances for 2018 shall be distributed to WEB sources by January 1, 2015.

(b) The first control period shall be the year 2018. WEB sources will need to demonstrate at the end of the first control period that they have enough allowances to cover their SO2

emissions in 2018.

A4.5 Public Notification

[State or tribe] shall notify the public of the decision. [State or tribe shall insert individual state or tribal procedure for public notification here]. If applicable, the notification shall include a statement that the WEB Trading Program is in effect and a notification of the official program trigger date.

A5 Special Penalty Provisions for the 2018 Milestone

If the WEB Trading Program is triggered as outlined in Section A of the SO2 Milestones and Backstop Trading Program Implementation Plan, and the first control period will not occur until after the year 2018, a special penalty shall be assessed for the exceedance of the 2018 milestone.

[State or tribe] shall allocate allowances to all WEB sources as established in the 2013 SIP revision described in Section D of this Plan. WEB sources will have the option to buy and sell

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allowances during a two-month allowance transfer period as provided in Section M1(c) of the WEB Trading Program Model Rule.

At the end of this two-month allowance transfer period, compliance with the allowance limitation shall be determined as provided in Section L1 of the WEB Trading Program Model Rule. Penalties shall be assessed for SO2 emissions that are greater than the allowance limitation for each WEB source as provided in Section L3 of the WEB Trading Program Model Rule. However, notwithstanding Sections L1 and L3 of the WEB Trading Program Model Rule, SO2 emissions in the year 2018 for each WEB source shall be determined in accordance with the pre-trigger emission tracking requirements in Section B of this Plan.

The 2018 special penalty provisions shall continue to be applied each year after 2018 until the 2018 milestones have been achieved.

Part B—Pre-Trigger Emissions Tracking Requirements

B1 SO2 Emission Inventory

Note: State and tribal inventory rules are highly variable, and therefore a model inventory rule to establish enforceable provisions for tracking SO2 emissions was not developed. The template language in Part B of this model SIP is intended to identify the key provisions that must be included in the inventory rule, and each state and tribe should demonstrate in this section of their Implementation Plan that their inventory rules will meet these provisions. [State or tribe] should verify that their current emissions inventory rules meet minimum federal requirements.

(a) Applicability. The inventory rule [or state or tribe equivalent] must require all stationary sources with actual emissions of 100 tons per year or more of SO2 in the year 2000, or in any subsequent year, to submit an annual inventory of SO2 emissions, beginning with the 2003 emission inventory. A source that meets these criteria that then emits less than 100 tons/year in a later year must still submit an SO2 inventory for tracking compliance with the regional SO2 milestones until the WEB Trading Program has been fully implemented, and emission tracking is occurring under Section I of [state/tribe’s rule].

(b) The inventory rule [or state or tribe equivalent] must include federally enforceable provisions requiring WEB sources to:

(1) submit an annual inventory of SO2 emissions;

(2) document the emissions monitoring/estimation methodology used, and demonstrate that the selected methodology is acceptable under the inventory program;

(3) include emissions from start up, shut down, and upset conditions in the annual total inventory;

(4) use 40 CFR Part 75 methodology for reporting emissions for all sources subject to

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the federal acid rain program;

(5) smelters must submit an annual report of sulfur input, in tons/year

(6) maintain all records used in the calculation of the emissions, including but not limited to the following:

(i) amount of fuel consumed(ii) percent sulfur content of fuel and how the content was determined(iii) quantity of product produced(iv) emissions monitoring data(v) operating data(vi) how the emissions are calculated

Note: [State or tribe] may wish to require the sources to include in their annual emissions reports an explanation of why their emissions increased or decreased by twenty percent or more from a previous year.

(7) maintain records of any physical changes to facility operations or equipment, or any other changes (e.g. raw material or feed) that may affect the emissions projections.

(8) retain records for a minimum of ten years from the date of establishment, or if the record was the basis for an adjustment to the milestone, 5 years after the date of an implementation plan revision, whichever is longer.

(c) [State or tribe] shall retain emission inventory records for non-utilities from 1996 and 1998 until the year 2018 to ensure that changes in emissions monitoring techniques can be tracked.

B2 Development of Emission Tracking System

[State or tribe] shall work cooperatively with the states and tribes that are participating in the WEB Trading Program to ensure that an emission tracking system for the regional SO2 inventory is developed and maintained.

B3 Periodic Audit of Pre-Trigger Emission Tracking Database

During the pre-trigger phase when [state or tribe] is tracking compliance with the regional SO2

milestones, [state or tribe] shall work cooperatively with the participating states and tribes to ensure that an independent audit of the tracking database is conducted to ensure that the WRAP is accurately compiling the regional emissions report. The first audit shall occur during the year 2006 and shall review data collected during the first two years of the program. Subsequent audits shall occur in 2011 (which shall cover emissions years 2005-2009) and 2016 (which shall cover emissions years 2010-2014).

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The primary focus of the audit will be the process that is used to compile the regional inventory from the data provided by each state and tribe, and the tracking of accumulated changes during the period between SIP revisions. The audit shall also review the accuracy and integrity of the regional reports that are used by [state or tribe] to determine compliance with the milestones.

The audit is not intended to be a full review of [state’s or tribe’s] process for compiling and reporting SO2 emissions, but shall include a broad review of [state or tribe] inventory management and quality assurance systems (i.e., presence and exercise of systems to assure data quality and integrity).

The audit shall discuss the uncertainty of emissions calculations, and whether this uncertainty is likely to affect the annual determination of whether the milestone is exceeded. The audit shall identify any recommended changes to emissions monitoring or calculation methods or data quality assurance systems. The audit shall also review and recommend any changes to improve the administrative process of collecting the annual emissions data at the state and tribal level, compiling a regional emission inventory, and making the annual determination of whether the WEB Trading Program has been triggered.

Changes to the WEB trading program, including any changes to the milestones, due to the results of these periodic audits shall be submitted to EPA as a SIP/TIP revision as part of the five-year SIP/TIP review required by 40 CFR 51.309(d)(10).

[State or tribe] shall provide an opportunity for public review and comment on the draft audit report following each [state or tribe] procedure. [State or tribe] shall respond to comments and provide notice of the final availability of the report. [State and tribe] shall submit the final audit report to the EPA regional office.

Part C—WEB Trading Program Requirements

C1 Allowance Allocations

PLACEHOLDER FOR C1.1—1.3

(The allocations language the states have used in their 309 SIP is currently under review by the EPA. Once approved, the language will be made available for tribes to use). C1.4 Regional Tribal Set-aside

(a) Each year after the program is triggered for which allowances are allocated, 20,000 allowances will exist as a tribal set-aside.

(b) The tribal caucus of the WRAP has stated its intent to determine the means for distributing the allowances among the tribes by one year after the program trigger date. [State] understands that there will be a process that shall meet the tracking and data security requirements of the Emissions and Allowance Tracking System by which a tribe shall move its set-aside allowances into the trading program for the purposes of trading.

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(c) The state recognizes that the tribal set-aside allowances are bonus allowances for the tribes and as such, are separate and additional to any allowances included in a tribal budget or the new source set-aside as outlined in the allocation report in C1.1(b)(11).

C1.5. Opt in Sources. The WRAP Market Trading Forum has recommended including provisions in this plan that would allow smaller sources to opt in to the program. Opt-in sources may provide a more cost-effective way to reduce overall regional SO2 emissions, and therefore may strengthen the market incentives of this program. While the benefits of allowing sources to opt in to the program are important, the program must also provide safeguards to ensure that the integrity of the program is not affected. For example, it would be counterproductive to allow sources that were already planning to shut down to opt in to the program and then sell allowances to an existing source. In this example, regional emissions could slowly creep upward in a manner that is not consistent with the goals of the SO2 milestones.

[State or Tribe] is deferring inclusion of provisions for opt-in sources until a future SIP/TIP revision to allow time to thoroughly consider how to provide the flexibility and potential benefits to the market by expanding the program while also ensuring that the SO2 emission reductions goals are maintained.

C2 Western Emissions Backstop Emissions and Allowance Tracking System (WEB EATS)

[Note: Section C1 includes a commitment to distribute the first round of allocations one year after the program is triggered. The contract for development of the EATS and ETD specifications should address whether this time frame is reasonable.]

40CFR 51.309(h)(4)(v) requires [state or tribe] to provide a centralized system for the tracking of allowances and emissions within the framework of the [SIP or TIP]. The centralized system will be referred to as the WEB Emissions and Allowance Tracking System (WEB EATS). The WEB EATS must provide that all necessary information regarding emissions, allowances, and transactions is publicly available in a secure, centralized database. The EATS must ensure that each allowance is uniquely identified, allow for frequent updates, and include enforceable procedures for recording data.

[State or Tribe] shall work cooperatively with other states and tribes participating in the WEB Trading Program to designate this system. [State or tribe] shall be responsible for ensuring that all the EATS provisions are completed as described in this plan.

The EATS will not exist unless the program is triggered. Prior to the implementation of the WEB Trading Program, a separate emissions tracking database will be employed to track the ongoing emissions of sources emitting SO2 at amounts equal to or greater than 100 tons per year. The emissions tracking database, used to track and measure SO2 emissions against the milestones, will still exist once the WEB Trading Program is triggered; If the program is triggered, either the emissions tracking database will be incorporated into the SO2 Emissions and Emissions and Allowance Tracking System, or a similar, parallel one more suitable for enforcement and

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program specific purposes will be developed and incorporated into the SO2 Emissions and Emissions and Allowance Tracking System. Both the emissions tracking database and the EATS shall be centralized systems with data posted in a format, including an electronic, Web-based program, and available to anyone.

The states and tribes shall contract with a common Tracking System Administrator to service and maintain the WEB EATS. It is envisioned that the EATS will require the use of a contracted consultant or database design engineer to create a secure, efficient and transparent tracking system. Because the EATS shall be utilized by all states and tribes participating in the program, the design will require a uniform approach and level of security that will satisfy regional needs and concerns as well as meet the electronic, Web-based, access needs and security provisions. Due to the dynamic needs of the marketplace, the EATS will require a database that will reflect the current status of allowances and allowance transactions. The EATS shall be operational within one year after the program trigger date.

Specifications of the WEB EATS such as emissions tracking, the recording of allowance transactions, account management, system integrity and transparency are described in a report prepared for the WRAP, titled “Western Emissions Backstop (WEB) Emissions and Allowance Tracking System (EATS) Analysis” (July, 2003). A copy of this report is provided in an appendix to this SIP/TIP. The report and related Sections of the WEB Trading Program Model Rule detail how a WEB source will register for the EATS and how the source will, through an account representative, establish accounts, transfer allowances, and track unused allowances from a previous year.

Neither the [state or tribe] nor the TSA shall adjudicate any dispute concerning the authorization of any Account Representative with regard to any representation, action, inaction, or submission of the Account Representative.

As an example of how the WEB EATS will generally function, once the WEB Trading Program is triggered a WEB source will have its allowance allocation determined. On a parallel track, the WEB source’s account representative will register for the EATS under Section F of the WEB Trading Program Model Rule, and a compliance account will be established under Section H of the WEB Trading Program Model Rule. Each allowance will be assigned a serial number. The allowance serial number will be used by the WEB EATS to track allowance allocations, transfers (Section J of the WEB Trading Program Model Rule), deductions, and account for any unused allowances from a previous year (Section K of the WEB Trading Program Model Rule). A serial number will also be assigned each allowance recorded in a general account, an account for allowances that are not held to meet program compliance requirements. Furthermore, the EATS will track tribal allowance set-asides and new source allowance set-asides not yet assigned to either a compliance or general account.

It is important to note that while an effort has been made in this plan to provide a design for and an operational understanding of the EATS, the components of the EATS will need to be examined and possibly altered upon each required SIP revision.

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C3 Allowance Transfers

40 CFR 51.309(h)(4)(viii) requires the Implementation Plan to include provisions for detailing the process for transferring allowances between parties. Transfers are defined as the conveyance from one account to another account (compliance account or general account) of one or more allowances by whatever means, including but not limited to purchase, trade, or gift in accordance with the procedures established in Section J of the WEB Trading Program Model Rule. This includes transfer of allowances for the purpose of retirement. Once an allowance is retired, it is no longer available for transfer to or from any account. Allowances may be purchased by any party for the purpose of retirement.

The Tracking System Administrator shall have specific recording requirements involving transfers. These required procedures will be detailed in the service contract but are outlined here as well.

C3.1 Recording of Allowance Transfers

Within five business days of receiving an allowance transfer, except when the transfer does not meet the requirements of this Section, the Tracking System Administrator shall record an allowance transfer by moving each allowance from the transferor account to the transferee account as specified by the request, provided that:

(a) The transfer is correctly submitted; and (b) The transferor account includes each allowance identified in the transfer.

Any allowance transfer that is submitted for recording following the allowance transfer deadline and that includes any allowances allocated for a control period prior to or the same as the control period to which the allowance transfer deadline applies, shall not be recorded until after completion of the compliance account reconciliation.

Where an allowance transfer submitted for allowance transfer recording fails to meet the requirements of this Section, the Tracking System Administrator shall not record such transfer.

C3.2 Notification of the Recording of Allowance Transfers

The Tracking System Administrator has specific responsibilities involving the notification of the recording of any transferred allowances, including the failure to record any transfer of allowances. Again, these required procedures will be outlined in the service contract, but will include what is outlined here.

(a) Within five business days of the recording of an allowance transfer, the Tracking System Administrator shall notify the Account Representatives of both the transferor and transferee accounts, and make the transfer information publicly available on the Internet.

(b) Within five business days of receipt of an allowance transfer that fails to meet the requirements of Section J of the WEB Trading Program Model Rule, the Tracking

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System Administrator shall notify the Account Representatives of both accounts of the decision not to record the transfer, and the reasons for not recording the transfer.

C4 Use of Allowances from a Previous Year

C4.1 Background

40 CFR 51.309(h)(4)(ix) allows states to include in the Implementation Plan provisions for the accounting of unused allowances from a previous year. The plan must state that the unused allowances may be kept for use in future years in accordance with Section K of the WEB Trading Program Model Rule and describe the restrictions on the use of the allowances in accordance with that Section.

The federal rule requires that allowances kept for use in future years may be used in calendar year 2018 only to the extent that the Implementation Plan guarantees that such allowances will not interfere with the achievement of the 2018 milestone as outlined in the Table 4: Total Amount of Allowances by Year [state or tribe may wish to insert a copy of Table 4 for illustration]. Section K.4 of the model rule addresses this requirement by prohibiting the use, after the year 2017, of allowances allocated for the years 2003 - 2017. This provision ensures that actual emissions will be less than the 2018 milestone because only allowances allocated for the year 2018 could be used to show compliance in that year. The provision also maintains flexibility by resetting the baseline to the year 2018 and then allowing sources to once again use extra allowances to show compliance in any future year. This flexibility is important for sources that have variable operations because the source may build up a reserve of unused allowances for use in a high production year.

The Annex explains the benefits of allowing the WEB source to tap the previous year’s unused allowances, including increased flexibility and early reduction stimulus. The risk in allowing the use of allowances carried from a pervious year could be an increase in emissions in later years as the unused allowances are withdrawn for compliance.

Because the regional haze SIP is based on reasonable progress requirements related to the remedying or prevention of any future visibility impairment, it is important to assure the use of these allowances will not interfere with attainment or maintenance of any reasonable progress goals. The safeguard employed here to mitigate this type of risk is termed, “flow control.”

C4.2 Flow Control Provisions

At the end of each control period, WEB sources may transfer allowances in and out of their compliance account for a period of 60 days to ensure that the account will contain enough allowances to cover sulfur dioxide emissions during the previous year. At the end of the sixty-day transfer period, allowances shall be deducted from the compliance account of each WEB sources in an amount equal to the sulfur dioxide emissions of that source during the control period.

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After the deductions have been completed, the Tracking System Administrator shall perform the following calculations and prepare a report according to Section C7.1(b).

(a) Determine the total number of allowances remaining in the Emissions and Allowance Tracking System that were allocated for the just completed control period and all previous control periods.

(b) If the number calculated in (a) exceeds 10 percent of the milestone for the next control period, then the flow control procedures in Section K3 of the WEB Trading Program Model Rule shall be triggered for that next control period. These flow control provisions will discourage the excessive use of allowances that were allocated for an earlier control period without establishing an absolute limit on their use. WEB sources will maintain the option to use allowances allocated for an earlier control period, but will be required to use two allowances for each ton of SO2 emissions. Flow Control operates as follows:

(1) The flow control ratio shall be calculated by multiplying one tenth multiplied by the milestone for the next control period divided by the total number of unused allowances remaining in the system.

(2) To calculate the number of prior-year allowances that can be used without restriction by a source for the next control period, the TSA shall multiply them by the flow control ratio. The resulting number of allowances may be used on a one-to-one ratio to show compliance with the source’s emission limitation as outlined in Section L.

(3) The remaining prior-year allowances may be used on a two-to-one ratio to show compliance. Thus, WEB sources will maintain the option to use allowances allocated for an earlier control period, but will be required to use two of those allowances for each ton of SO2 emissions.

Example: On March 1, 2010 (the compliance transfer deadline for the 2009 control period) the Tracking System Administrator deducts allowances from the compliance account for each WEB source to cover 2009 SO2 emissions from that source. After completing these deductions, the TSA reports the following information:

Total number of allowances still in the system for the years 2003 – 2009 = 75,000

2010 milestone (5-state, no smelter) = 508,223Percent of milestone = 14.75%

Because the number of allowances not used in previous control periods is greater than 10% of the milestone, flow control procedures are triggered. In the annual

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report required in C7.1(b) the TSA will then calculate the flow control ratio for 2010:

0.1 x 2010 Milestone ÷ prior year allowances = flow control ratio20.1 x 508,223 ÷ 75,000 = 0.67

On March 1, 2011 (the compliance transfer deadline for the 2010 control period) the TSA will apply the 2010 flow control ratio before deducting allowances from each WEB source’s compliance account

WEB Source A 2010 Allowances = 1,000Remaining Prior Year Allowances = 5002010 Emissions = 1,400

In this example, the TSA would multiply the prior year allowances by 0.67 to determine the number of prior year allowances that could be used without restriction, at a one-to-one ratio. This would equal 335. The remaining prior year allowances would then be used at a 2:1 ratio. 130 allowances would be needed to cover the remaining 65 tons of SO2 emissions. The TSA would therefore deduct a total of 1,465 allowances (1,000 + 335 + 130) to cover 1,400 tons of SO2 emissions.

C5 [Insert Monitoring/Recordkeeping section]

C5.1 For WEB sources subject to 40 CFR Part 75, the EPA Administrator shall quality assure and finalize the data for submission to the Tracking System Administrator. For WEB sources subject to Appendix __, the [states or tribe] shall quality assure and finalize the data in accordance with these provisions for submission to the Tracking System Administrator

C5.2 The EPA Administrator and [states or tribe], as applicable, shall verify and submit data to the emissions tracking database as soon as reasonably feasible after annual emissions are reported by the WEB sources. Note: these timelines will be modified, as necessary, according to the monitoring protocols.

[as necessary, insert state/tribe rule language to address changes to 40 CFR Part 75.]

C6 Compliance and Penalties

C6.1 Compliance

When a WEB source exceeds its allowance limitation, the [state or tribe] shall require the Tracking System Administrator to deduct allowances from the following year’s allocation in an amount equal to two times the WEB source’s emissions of SO2 in excess of its allowance limitation. This deduction shall be made from the WEB source’s compliance account after deductions for compliance under Section L of the WEB Trading Program Model Rule. If sufficient allowances do not exist in the compliance account for the next control period to cover this amount, [state or tribe] shall require the Tracking System Administrator to deduct the

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required number of allowances, regardless of the control period for which they were allocated, whenever the allowances are recorded in the account.

C6.2 Penalties

The amount of the penalty shall be evaluated at each five-year SIP/TIP review, and adjusted to ensure that penalties per ton substantially exceeds the expected cost of allowances to ensure that this remains a stringent penalty. The rule establishes a penalty of $5000 per ton for each ton of emissions above the source’s allowance limitation. In addition, two allowances from the next year’s allocation will be deducted from the account for each ton of exceedance. Under the rule, sources are also liable for penalties for each day of violations of the program’s other requirements. More detail on liabilities for different provisions can be found in the provisions of [state or tribe market trading rule].

C7 Periodic Evaluation of the Trading Program

C7.1 Annual Report

(a) One year after compliance with the trading program is required, the [state or tribe] shall obtain from the Tracking System Administrator an annual report that contains the following information:

1. The level of compliance program-wide;

2. A summary of the use and transfer of allowances, both geographically and temporally;

3. A source-by-source accounting of allocations compared to emissions;

4. A report on the use of unused allowances from a previous year [in order to determine whether these emissions have or have not contributed to emissions in excess of the cap.]

5. The total number of WEB sources participating in the trading program and any changes to eligible sources, such as or retired sources, or sources that emit more than 100 tons of SO2 after the program trigger date.

(b) Within 10 months after the allowance transfer deadline for each control period when compliance with the trading program is required, the Tracking System Administrator shall prepare a draft report that lists:

1. the total number of allowances deducted for the control period,

2. the total number of allowances remaining in the Emissions and Allowance Tracking System allocated for that control period and any earlier control period,

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3. proposed determination that flow control procedures have either been triggered or have not been triggered for the next control period, and

4. if flow control procedures have been triggered, a draft flow control ratio calculated according to C4.2 of this Implementation Plan.

(c) [State or Tribe] shall evaluate the draft report, and shall propose a determination that flow control procedures have been either been triggered or have not been triggered for the next control period.

(d) [insert standard public notice and comment provisions for state or tribe]

(e) [State or Tribe] shall make a final determination that the flow control procedures have either been triggered or have not been triggered for the next control period.

C7.2 Five-year Evaluation

(a) States and tribes shall conduct an audit of the WEB Trading Program no later than three years following the first full year of the trading program, and at least every five years thereafter. This evaluation does not supplant the Implementation Plan assessments in 2008, 2013, and 2018 as required by the regional haze regulations. The evaluation should be conducted by an independent third party and include an analysis of:

1. Whether the total actual emissions could exceed the values in Table 1 of this Implementation Plan of the WEB Trading Program even though sources comply with their allowances;

2. Whether the program achieved the overall emission milestone it was intended to reach;

3. The effectiveness of the compliance, enforcement and penalty provisions;

4. A discussion of whether states and tribes have enough resources to implement the WEB Trading Program;

5. Whether the trading program resulted in any unexpected beneficial effects, or any unintended detrimental effects;

6. Whether the actions taken to reduce sulfur dioxide have led to any unintended increases in other pollutants;

7. Whether there are any changes needed in emissions monitoring and reporting protocols, or in the administrative procedures for program administration and tracking; and,

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8. The effectiveness of the provisions for interstate trading, and whether there are any procedural changes needed to make the interstate nature of the program more effective.

9. The integrity of the emissions and Emissions and Allowance Tracking System, including whether the procedures for recording transactions are adequate, whether the procedures are being followed and in a timely manner, whether the information on sources’ emissions are accurately recorded, whether the emissions and Emissions and Allowance Tracking System has procedures in place to ensure that the transactions are valid, whether back-up systems are in place to account for problems with loss of data.

(b) The public shall have an opportunity to participate in this trading program evaluation.

(c) In the event that any audit results in recommendations for program revisions, [state or tribe], in consultation with the WRAP, will make appropriate modifications to this plan. [State or tribe] will revise this plan if the program is not meeting its emission reduction goals.

(d) [State or tribe] shall submit a copy of the report to the EPA regional office.

C8 Retired Source Exemption

Section D4 of the Model Rule outlines the procedure that a WEB source must follow to receive a retired source exemption. The exemption would allow the source to continue to receive an allocation, but would exempt the source from monitoring and record keeping requirements that would serve no useful function for a source that has ceased operations. The [state or tribe] shall notify the source of its obligation to apply for a retired source exemption upon the cancellation or relinquishment of a permit.

In order to receive a retired source exemption, the source must submit a request for the exemption to [state or tribe]. [State or tribe] shall review this request, and within sixty days of receipt of the request shall notify the source that the retired source exemption has been granted or has been rejected. If the exemption has been rejected, the notification shall contain an explanation of the reasons for rejecting the request.

The TSA shall record an allocation to a WEB source that has received a retired source exemption. However, the allowances shall be recorded in a general account rather than a compliance account for the source.

A WEB source that is retired and that does not request a retired source exemption shall forfeit all abandoned allowances in that source’s compliance account, as outlined in Section D4 of the WEB Trading Program Model Rule. The forfeited allowances shall not be redistributed to other sources, and shall be retired from the Emissions and Allowance Tracking System, as outlined in Section D(4)(e) of the WEB Trading Program Model Rule. During the next five-year allowance distribution period the retired source shall not receive an allocation, and the allowances that

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would have been distributed to that source shall be added to the new source set-aside [note: this provision needs to be ratified by the MTF].

C9 Integration into Federally Enforceable Permits

40 CFR 51.309 requires that the requirements for emissions reporting and for the trading program be incorporated into a permit that is enforceable as a practical matter by EPA and by citizens to the extent permitted by the Act. It is expected that all WEB sources will at least initially be required to obtain a permit under [state or tribe’s] Title V delegated permitting program. Under [cite Title V rule], [state or tribe’s] delegated Title V permitting program, the pre- and post- trigger requirements of the market trading program fall under the definition of “applicable requirements”, and will be incorporated into each source’s Title V permit. [State or Tribe market trading rule cite] requires that any source that for any reason and at any time is not required to have a permit under [state or tribal Title V rule] must obtain a New Source Review permit pursuant to [state or tribe New Source Review Rule] that incorporates the same requirements, and that the source must at all times possess a permit containing the program’s requirements. Additionally, in order for a source permitted under Title V to become a synthetic minor source, and thus not need a Title V permit, a source first must obtain federally enforceable permit limits through a New Source Review permit, and thus there will be no gap between the effective Title V permit and the new NSR permit which contains the same market trading program requirements. Both types of permits are enforceable both federally and by citizens pursuant to [state or tribe] Implementation Plan.

Part D—2013 SIP/TIP Revision; Backstop for beginning of second planning period

D1 Requirements of 2013 SIP/TIP Revision

In addition to the requirements of 40 CFR 51.309(d)(10), the 2013 SIP/TIP shall contain:

1. Source specific allocations for all WEB sources under the jurisdiction of [state or tribe] for the year 2018; and

2. Either the provisions of a program designed to achieve reasonable progress for stationary sources of SO2 beyond 2018 or a commitment to submit a SIP/TIP revision containing the provisions of such a program no later than December 31, 2016. The program will ensure that the requirements of 40 CFR 51.309 for the first planning period are achieved, including requirements that cannot be measured until after 2018, such as the determination of compliance with the 2018 milestone.

D2 Adjustments in Allocation Calculations

This 2013 SIP/TIP revision will provide certainty to sources regarding their potential liability under the special penalty provisions for the year 2018 outlined in Section A5 of this Implementation Plan. The calculation of these allocations is delayed until 2013 to provide certainty about the number of sources that would qualify as WEB sources at that time; the

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allocations needed for new sources in the region; and the magnitude of renewable energy development and early reductions that would need to be included in the allocation process. It is difficult to estimate the impact of these factors in 2003 because many things may change during the next 10 years.

If the 2018 milestone is not met, the starting point for the next planning period shall be the 2018 milestones, not actual emissions in 2018. E1 Achievement of 13 Percent SO2 Emission Reduction

Pursuant to 40 CFR 51.309(d)(4)(i), the [name of tribe] has determined that a 13 percent reduction in actual stationary source SO2 emissions has occurred between the years 1990 and 2000. Table [ ] below provides a state-by-state comparison of these emissions, and shows that there has been an overall 25 percent reduction from 1990 to 2000 for all states (from 828,775 tons to 621,838 tons). Further information on the emission inventories used for this calculation is described in Appendix L-5 of this implementation plan.

Table [ ]: State-by-State Comparison of SO2 Emission Reductions, 1990-2000(in tons per year)

States 1990 2000Arizona 185,398 99,133California 52,832 38,501Colorado 95,534 99,161Idaho 24,652 27,763Nevada 52,775 53,943New Mexico 177,994 117,344Oregon 17,705 23,362Utah 85,567 38,521Wyoming 136,318 124,110Totals 828,775 621,838

F1 Provisions for Stationary Source NOx and PM.

Pursuant to 40 CFR 51.309(d)(4)(v), the [name of tribe] has included in this TIP a report which assesses emissions control strategies for stationary source NOx and PM, and the degree of visibility improvement that would result from such strategies. The report represents the [name of tribe] first assessment of stationary source NOx and PM strategies for regional haze, and as such, should be considered a starting point for a more extensive process and analysis aimed at supporting the commitment below to a TIP revision by 2008. This report concludes the following:

“Analysis of current and future emissions, ambient monitoring data, and very limited modeling results does not show stationary source NOx and PM emissions to be a major contributor to regional haze (typically about 2 percent on average) in the vast majority of western Class I areas. These findings may change as emission projections are updated

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and as ambient monitoring data from new sites is collected and analyzed, and especially as modeling capabilities are improved and as modeled and monitored data become available for the best and worst visibility days instead of seasonal and annual averages. Furthermore, when considering NOx and PM milestones, attention should be given to the reasonable progress goals in the regional haze rule, which generally entail steady and continuing emission reductions and no degradation on the best visibility days. Finally, the remedy embodied in reasonably attributable visibility impairment requirements under the regional haze rule is still available where BART-eligible sources of NOx and PM are found to have direct impact on specific mandatory federal Class I areas. Where stationary source NOx emission reductions are appropriate, substantial reduction may be feasible with commercially-available technologies for about $300 to $1,200 per ton.”

Additional findings from this report are described in Appendix C of this implementation plan.

The [name of tribe] commits to a TIP revision containing any necessary long-term strategies and BART requirements for stationary source NOx and PM (including enforceable limitations, compliance schedules, and other measures) by no later than January 31, 2008.


See Chapter 4 of the TSD Development Plan for the following technical reports and analysis related to Stationary Sources: (1) a summary of the modeling results comparing BART with the uncertainty to the SO2 Annex milestones; (2) summary of the NOx and PM sensitivity modeling results; and (3) summary of the method for tracking and reporting stationary source emissions covered in the backstop trading program, through the WRAP emissions data system.

The following documents were developed by the WESTAR Model Rule/MOU Working Group:

1. The SO2 Milestones and Backstop Trading Program Model SIP/TIP document provides states and tribes with the regulatory language that goes into their implementation plans which describes how SO2 emissions will be tracked, compliance with the SO2 milestone determined, and the overall framework for the backstop cap-and-trade program. It commits the state or tribe to monitor emissions and participate in annual regional assessments to compare the emissions levels against regional milestones. If and when a milestone is exceeded, the Model SIP/TIP describes the process states and tribes will undertake to participate in a regional trading program. This includes allocating tradeable allowances to sources subject to the trading program, and, through the assistance of a regional Tracking System Administrator, implement a trading regime to allow emissions trading among subject sources across state/tribal boundaries.

2. The Western Backstop SO2 Trading Program Model Rule document provides the rule that applies to stationary sources if the trading program is triggered, which state and tribes must adopt and put into their implementation plans. It provides the regulatory structure for >100 ton SO2 sources subject to the trading program, and identifies applicability, allowance allocation and trading procedures, record keeping, and other elements of the trading program. It directs subject sources to register with a regional Tracking System Administrator, operating under state and tribal authority.

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3. The Western Emissions Backstop Emissions Trading and Emissions and Allowance Tracking System (EATS) Analysis report describes how emissions, allocations, and transactions will occur if the backstop trading program is triggered. This report is described further in Appendix L-6.

The following document was developed by the WRAP:

4. Stationary Source NOx and PM Emissions in the WRAP Region: An Initial Assessment of Emissions, Controls and Air Quality Impacts reviews possible emission control strategies for stationary sources of NOx and PM, and the degree of visibility improvement that would result from such strategies. This is the first such effort by the WRAP or any of its members likely to submit 309 SIPs or TIPs and should be considered a starting point for a more extensive process and analysis aimed at supporting the SIP and TIP revisions required by 2008. The report examines emissions inventories and ambient monitoring data for implications about the contribution of stationary source NOx and PM emissions. It also summarizes the results of air quality modeling “sensitivity runs”, in which stationary source NOx and PM emissions from facilities in the GCVTR with emissions greater than 100 tons per year are decreased by 50 percent, and in which emissions from all facilities in the GCVTR are increased by 25 percent. The report includes an assessment of current and forthcoming pollution control technologies and practices, their costs, and their control efficiencies. This part of the report provides a more “bottom-up” perspective of how future control strategies might look. Finally, the report includes a conceptual model of regional haze in the West and how stationary sources of NOx and PM “fit in”. This model, based on the most recent peer-reviewed scientific literature, provides a unifying theme to the report and frames the issue more broadly than the other parts, thereby providing a reference for future analyses that must at least address NOx and PM BART requirements for the SIP and TIP revision due by 2008.

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D. Mobile Sources


51.309(d)(5) Mobile sources. The plan submission must provide for:

(i) Statewide inventories of onroad and nonroad mobile source emissions of VOC, NOX, SO2, PM2.5, elemental carbon, and organic carbon for the years 2003, 2008, 2013, and 2018.

(A) The inventories must demonstrate a continuous decline in total mobile source emissions (onroad plus nonroad; tailpipe and evaporative) of VOC, NOX, PM2.5, elemental carbon, and organic carbon, evaluated separately. If the inventories show a continuous declinein total mobile source emissions of each of these pollutants over the period 2003–2018, no further action is required as part of this plan to address mobile source emissions of these pollutants. If the inventories do not show a continuous decline in mobile source emissions of one or more of these pollutants over the period 2003–2018, the plan submission must provide for an implementation plan revision by no later than December 31, 2008 containing any necessary long-term strategies to achieve a continuous decline in total mobile source emissions of the pollutant(s), to the extent practicable, considering economic and technological reasonableness and federal preemption of vehicle standards and fuel standards under title II of the CAA.

(B) The plan submission must also provide for an implementation plan revision by no later than December 31, 2008 containing any long-term strategies necessary to reduce emissions of SO2from nonroad mobile sources, consistent with the goal of reasonable progress. In assessing the need for such long-term strategies, the State may consider emissions reductions achieved oranticipated from any new Federal standards for sulfur in nonroad diesel fuel.

(ii) Interim reports to EPA and the public in years 2003, 2008, 2013, and 2018 on the implementation status of the regional and local strategies recommended by the Commission Report to address mobile source emissions.


Tribes wanting to adopt the mobile source section will need to perform an emissions inventory of their lands and supply this information to the WRAP. If a tribe adopts all or part of the section 309 programs, that adoption constitutes an agreement to meet the requirements of those program elements including all applicable deadlines (e.g., SIP/TIP revisions and progress reports) with respect to the program elements adopted. These commitments or deadlines should be worked out up front and clearly identified in the program submittal and the EPA approval.

The original requirements for mobile sources are discussed on page 35752 in the Preamble to the RHR. Revisions to the Regional Haze Rule To Correct Mobile Source Provisions in Optional Program for Nine Western States and Eligible Indian Tribes Within That Geographic Area may be found at 68 FR 71009, Monday, December 22, 2003.

The RHR requires tribes to address the contribution of mobile sources to visibility impairment on the Colorado Plateau 16 mandatory Class I areas. The requirements for mobile sources are as follows:

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1. The tribe must provide current and projected future annual emissions inventories of onroad and nonroad mobile source emissions of VOC, NOX, SO2, PM 2.5, elemental carbon, and organic carbon for each of the following years 2003, 2008, 2013, and 2018.

A. The inventories must demonstrate a continuous decline in total mobile source emissions (onroad and nonroad) within the tribe’s jurisdiction for VOC, NOx, PM2.5, and both elemental and organic carbon must be evaluated separately. If the inventories show a continuous decline for the period of 2003-2018 or the period that the implementation plan is in effect, no further action is required by the tribe as part of this plan.

If the inventories do not show a continuous decline for one or more of these pollutants, the plan submission must show that an implementation plan revision will be completed no later than December 31, 2008 or at a time determined by the EPA. It shall contain any necessary long-term strategies to achieve a continuous decline in total mobile source emissions.

B. In addition, the implementation plan revision shall contain any long-term strategies necessary to reduce emissions of SO2 from nonroad mobile sources consistent with the goal of reasonable progress. The tribe may consider emissions reductions achieved or anticipated from any new Federal standards for sulfur in nonroad diesel fuel.

2. The tribe must provide an update on the implementation of any regional and local mobile source strategies implemented within the tribe’s jurisdiction, related to the GCVTC 1996 Recommendations on mobile sources. Progress reports with such updates should be made in each of the following years that the implementation plan is in effect: 2003, 2008, 2013, and 2018.


D. Mobile Sources

(a) Actual and projected tribal wide inventory for mobile source emissions. Pursuant to requirements in 40 CFR 51.309(d)(5)(i), a tribal wide inventory of onroad and nonroad mobile source emissions for each of the following years has been compiled with assistance from the WRAP: 2003, 2008, 2013, and 2018. Table [ ] below summarizes these emissions, and indicates the year mobile source emissions are projected to be at their lowest level within the tribe’s jurisdiction.

Table [ ]: Tribal Wide Mobile Source EmissionsYear VOC NOx SO2 EC OC PM 2.519962003200820132018

“lowest

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year”

(b) Contribution to Visibility Impairment Finding. Pursuant to 40 CFR 51.309(d)(5)(i)(A), the [name of tribe] has determined, with assistance from the WRAP, that mobile sources within the tribe’s jurisdiction [<show> <do not show>] a continuous decline in total mobile source emissions over the 2003-2018 planning period or from the date of adoption to 2018. If a continuous decline is shown, no further action is needed on behalf of the tribe for this plan,

OR

If the inventory does not show a continuous decline in mobile source emissions of one or more of these pollutants, then add the following:

(c) Implementation plan revision. Pursuant to 40 CFR 51.309(d)(5)(i)(A), the tribe will provide an implementation plan revision containing any necessary long-term strategies to achieve a continuous decline in mobile source emissions of the pollutant(s), taking into consideration economic and technological reasonableness.

In addition and in accordance with 40 CFR 51.309(d)(5)(i)(B), the revision will also include any long-term strategies necessary to reduce emissions of SO2 from nonroad mobile sources consistent with reasonable progress. The tribe may consider emissions reductions achieved or anticipated from any new Federal standards for sulfur in nonroad diesel fuel. The revisions shall be submitted no later than [<December 31, 2008.>] or [<insert date> as agreed upon by the EPA].

(d) Interim Implementation Status Reports. Pursuant to 40 CFR 51.309(d)(5)(ii), the [name of tribe] will submit periodic progress reports in 2003, 2008, 2013 and 2018, on the status of implementation of adopted regional and local strategies recommended by the Commission Report to address mobile source emissions.

Appendix D of this tribal implementation plan describes the status of implementing these strategies as of 2003.


See Chapter 5 of the TSD for the following technical reports and analysis related to Mobile Sources: (1) projected mobile source emission trends from 1996 to 2018, and modeling results; (2) present technical analysis addressing significance determination.

See the GCVTC’s Recommendations for Improving Western Vistas, pages 41-45, for the list of regional and local mobile source emissions strategies identified by the GCVTC, that states and tribes need to address under 309(d)(5)(iv) in terms of providing updates on their implementation.

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E. Fire Programs


51.309(d)(6) Programs related to fire. The plan must provide for:

(i) Documentation that all Federal, State, and private prescribed fire programs within the State evaluate and address the degree of visibility impairment from smoke in their planning and application. In addition the plan must include smoke management programs that include all necessary components including, but not limited to, actions to minimize emissions, evaluation of smoke dispersion, alternatives to fire, public notification, air quality monitoring, surveillance and enforcement, and program evaluation.

(ii) A statewide inventory and emissions tracking system (spatial and temporal) of VOC, NOX, elemental and organic carbon, and fine particle emissions from fire. In reporting and tracking emissions from fire from within the State, States may use information from regional data-gathering and tracking initiatives.

(iii) Identification and removal wherever feasible of any administrative barriers to the use of alternatives to burning in Federal, State, and private prescribed fire programs within the State.

(iv) Enhanced smoke management programs for fire that consider visibility effects, not only health and nuisance objectives, and that are based on the criteria of efficiency, economics, law, emission reduction opportunities, land management objectives, and reduction of visibility impact.

(v) Establishment of annual emission goals for fire, excluding wildfire, that will minimize emission increases from fire to the maximum extent feasible and that are established in cooperation with States, tribes, Federal land management agencies, and private entities.


Tribes wanting to adopt the Fire section will need to perform an emissions inventory of their lands and supply this information to the WRAP. If a tribe adopts all or part of the section 309 programs, that adoption constitutes an agreement to meet the requirements of those program elements including all applicable deadlines (e.g., SIP/TIP revisions and progress reports) with respect to the program elements adopted. These commitments or deadlines should be worked out up front and clearly identified in the program submittal and the EPA approval.

It is important that tribes know that the WRAP’s Enhanced Smoke Management Plan (ESMP), the Annual Emissions Goal (AEG) and Emissions Inventory Tracking System does not apply to cultural non-vegetative burning for traditional religious, or ceremonial purposes.

We recommend the use of EPA's "Air Quality Policy on Wildland and Prescribed Burning" as a minimum starting point for a tribe developing a smoke management plan. (included as Appendix S and T). This policy has seven basic elements. If the tribe is on the Colorado Plateau, then the tribe could adopt a section 309-like program which would include EPA's policy elements as well as some additional elements. The WRAP encourages jurisdictions (for example, a tribe in a state that developed a 309 SIP) to adopt similar types of programs with similar elements to have regional consistency (regional meaning within a state, across state boundaries, wherever land managers are subject to smoke management requirements). The 309 requirements are a little different than EPA's policy; for example, 309 states specifically have to address visibility impacts in their smoke programs, have regional consistency, and do fire tracking and an

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inventory. Tribes embarking on an ESMP have the ability to pick and choose TIP elements so the development of a smoke management program can be on a case-by- case basis, and a negotiated process.

The requirements for fire sources are discussed on page 35753 in the Preamble to the RHR. The rule defines fire as "wildfire, wildland fire (including prescribed natural fire), prescribed fire, and agricultural burning conducted and occurring on Federal, State, and private wildlands and farmlands." Prescribed natural fire has been functionally replaced by Wildland Fire Use (WFU) under the National Fire Plan. While most of the requirements for fire below apply to “all fire,” some only address “prescribed fire,” and are so noted. These requirements are as follows:

1. Document that the tribal fire program and all federal or private programs for prescribed fire within the tribe’s jurisdiction have a mechanism in place for evaluating and addressing the degree of visibility impairment from smoke in its planning and application. (Note: the rule does not specify what Class I areas should be the focus of this evaluation. However, since the TIP is intended to address the 16 Class I areas on the Colorado Plateau, the focus needs to be on these areas. The “other” Class I areas, located in the nine state region, may be addressed by the tribes now, later, or in their 2008 TIPs if such TIPs are in place.) The prescribed fire smoke management programs must have at a minimum, the following seven elements: actions to minimize emissions, evaluation of smoke dispersion, alternatives to fire, public notification, air quality monitoring, surveillance and enforcement, and program evaluation. If a tribe does not have air quality monitoring, it would need to negotiate with the EPA how to address this.

2. Adopt a tribal-wide process for gathering the essential post-burn activity information to support emissions inventory and tracking systems for the five major pollutant types (volatile organic compounds, nitrogen oxides, elemental and organic carbon, and fine particulate matter) emitted from all fire sources.

3. Identify existing administrative barriers to the use of non-burning alternatives in all prescribed fire programs within the tribe’s jurisdiction, and adopt a process for continuing to identify and remove administrative barriers where feasible. For example, a rule prohibiting use of chippers prevents anyone from trimming trees or removing fallen wood from the forest, cutting grasses, etc.

4. Adopt an Enhanced Smoke Management Program for all fire sources within the tribe’s jurisdiction, incorporating the previously identified elements under 40 CFR 51.309(d)(6)(i) as well as adding “burn authorization” and “regional coordination” elements.

5. Adopt a process to establish annual emission goals for all fire sources except wildfire that will minimize emission increases.

The WRAP Fire Emission Joint Forum has developed numerous policies and guidance documents that states and tribes can use to address each of the above requirements. These are described below in Section 4, along with the technical work related to fire that is summarized in the TSD.

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To address the requirements related to reviewing the prescribed fire programs within the tribe’s jurisdiction, here’s the type of assessment that is needed:

(1) Do the programs within the tribe’s jurisdiction or those managed by the Bureau of Indian Affairs (BIA) currently have provisions to address preventing visibility impacts in the 16 Class I areas on the Colorado Plateau? If not, determine if such provisions are needed (for instance, a transport region state like Oregon is a long distance from the Colorado Plateau, and adding such provisions may be unnecessary);

(2) Do the programs have the seven basic elements listed in the rule? Since these are considered the “minimum” components for a smoke management program, all of these elements need to be in included; and

(3) Do these programs contain all nine elements (seven identified above plus two additional elements), as identified in the Enhanced Smoke Management Program Policy? While tribes need to adopt an ESMP, there is flexibility as to the level of ESMP needed. See the ESMP Policy description in Section 4 below.

It should be noted that there are two places under 309(d)(6) where states may choose to address their own Class I areas in the 2003 SIP, rather than waiting until the 2008 SIP . Since tribes do not have any mandatory Class I areas under their jurisdiction, this is not applicable to them. Under 309(d)(6)(i), states and tribes must document that all smoke management programs address “the degree of visibility impairment from smoke” (suggesting all Class I areas). Also under the Enhanced Smoke Management Program requirement in 309(d)(6) (iv), it says states and tribes must “consider visibility effects” (suggesting all Class I areas). In both cases, these requirements apply only to the 16 Class I areas. However, a state or tribe may want to consider the other Class I areas at the same time.

In terms of the requirements for emissions tracking, alternatives to burning, and annual emissions goals, the description of the policies below in Section 4 indicates how tribes go about meeting each of these requirements.


E. Programs Related to Fire.

(a) Definition of “fire.” 40 CFR 51.309(b)(4) of the regional haze rule defines fire as “wildfire, wildland fire (including prescribed natural fire), prescribed fire, and agricultural burning conducted and occurring on Federal, State, and private wildlands and farmlands.” Prescribed natural fire has been functionally replaced by Wildland Fire Use (WFU) under the National Fire Plan. Except where “prescribed fire” is noted, the term “fire” shall apply to the sources identified herein.

(b) Prescribed Fire Program Evaluation. Pursuant to 40 CFR 51.309(d)(6)(i), the [name of tribe] has evaluated its fire program based on the potential to contribute to visibility impairment in the 16 Class I areas on the Colorado Plateau, and how visibility protection from smoke is

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addressed in planning and operation. The [name of tribe] has also evaluated whether the tribe’s fire program and these prescribed fire smoke management programs contain the following elements: actions to minimize emissions; evaluation of smoke dispersion; alternatives to fire; public notification; air quality monitoring; surveillance and enforcement; and program evaluation. Appendix E-1 describes the results of these evaluations in detail.

Provide a summary here of (1) the results of the above evaluations, and (2) any fire program improvements made or planned to be made to the prescribed fire programs within the tribe to meet this requirement. (It is recommended that a tribe look at a state’s proposed implementation plan for regional haze in order to get an idea of what type of language is used here).

As a result of these evaluations, the [name of tribe] is making the following changes to the fire programs listed below.

(c) Emissions Inventory and Tracking System. Pursuant to 40 CFR 51.309(d)(6)(ii), a system has been established to develop a tracking system and an emissions inventory for the following pollutants: VOC, NOx, elemental and organic carbon, and fine particulate for fire sources within the tribe’s jurisdiction. The [name of tribe] has implemented an emissions tracking system that follows the WRAP Fire Tracking System (FTS) Policy, which identifies a process for gathering the essential post-burn activity information necessary to consistently calculate emissions and uniformly assess fire impact on regional haze on an annual basis. The FTS described in this policy consists of seven components: (1) date of burn, (2) burn location, (3) area of burn, (4) fuel type, (5) pre-burn fuel loading, (6) type of burn, and (7) “anthropogenic” or “natural” classification or information to support this classification. This policy serves the basis for creating a fire emissions inventory within the tribe’s jurisdiction, OR The [name of the tribe] will collect the WRAP identified post-burn activity information and utilize the WRAP’s regional emission and tracking initiative. In addition, fire emission inventory updates will be provided in future progress reports, as part of the periodic implementation plan revisions, pursuant to 40 CFR 51.309(d)(10). See Appendix L-3 of this implementation plan for further information on the emissions inventory and tracking system for [name of tribe].

Describe if there are any federal, state, local, or tribal agencies that are doing tracking or emission inventory work (such as the state agricultural and forestry agencies or the Bureau of Indian Affairs). The [name of tribe] will also rely upon emissions tracking conducted by the [name of state, local, or tribal agency].

(d) Strategy for use of non-burning alternatives. The [name of tribe] has developed a process with key public and private entities, such as the state departments of agriculture and forestry, farming and forestry associations, etc. to identify and remove administrative barriers to the use of non-burning alternatives to prescribed fire on federal, tribal, state, and private lands pursuant to 40 CFR 51.309(d)(6)(iii). The process is collaborative and provides for continuing identification and removal of administrative barriers, and considers economic, safety, technical and environmental feasibility criteria, and land management objectives. This process is described in Appendix E-2 of this implementation plan. Included in Appendix E-2 is a summary of the administrative barriers currently known to exist within the tribe’s jurisdiction. In developing this process, the [name of tribe] relied on two documents: (1) Nonburning Alternatives for Vegetation

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and Fuel Management, and (2) Burning Management Alternatives on Agricultural Lands in the Western United States, prepared by the WRAP that describe a variety of non-burning alternatives and methods of assessing their potential applicability. The WRAP Fire Emissions Forum recommends that these documents be used as reference guides in state and land manager decision-making processes for evaluating non-burning alternatives. The Forum also recommends that tribes identify in their 309 TIPs, the administrative barriers they know exist within their jurisdiction, and the steps or process they will follow to remove them where it is feasible to do so.

(e) Enhanced Smoke Management Program. Pursuant to CFR 51.309(d)(6)(iv), all fire programs that operate within the [name of tribe]’s jurisdiction shall be consistent with the WRAP Enhanced Smoke Management Programs for Visibility Policy. This policy calls for programs to be based on the criteria of efficiency, economics, law, emission reduction opportunities, land management objectives, and reduction of visibility impacts. The WRAP policy lists the previously identified elements under 40 CFR 51.309(d)(6)(i) as well as adding “burn authorization” and “regional coordination” elements to ensure visibility protection and meet the designation of “enhanced.” Appendix E-3 contains a further assessment of current smoke management programs for the tribe, and explains how it will meet the Enhanced Smoke Management Program policy and the rule requirements.

Describe here any changes being made to current smoke management programs to meet this requirement, following the criteria in the ESMP policy.

(f) Annual Emission Goals. Pursuant to 40 CFR 51.309(d)(6)(v), efforts will be made within the [name of tribe]’s jurisdiction to minimize emission increases in fire, excluding wildfire, to the maximum extent feasible, through the use of annual emission goals, in accordance with the WRAP Annual Emission Goals for Fire Policy. This policy recognizes that Emission Reduction Techniques (ERTs) can be used to minimize emissions from fire. The [name of tribe] will establish a collaborative mechanism for setting annual emission goals, and developing a process for tracking their attainment on a yearly basis. The projection and tracking of ERT use is a minimum element of the quantifiable annual emissions goal. The annual emission goals should utilize the projection of total emissions inventory for prescribed fire and agricultural burning such that the effect of projected emission reduction techniques or percent use of ERTs are shown in relation to projected total emissions. Should projected annual emissions not be available, the tribe must develop such an inventory and submit a timeline for developing the inventory. Where ERTs or other emission reduction methods cannot be quantified with confidence due to the current state of science, such as for agricultural burning, the tribe should say so and support efforts toward further refinements in emission reduction (or emissions averted) calculation methodologies.

The [name of tribe] intends to use this policy and quantify the ERTs that are being used within the tribe’s jurisdiction on a project-specific basis to reduce the total amount of emissions being generated from areas where prescribed fire is being used. The use of ERTs to meet this rule requirement is subject to economic, safety, technical and environmental feasibility, and land management objectives. Appendix E-4 of this implementation plan describes this process in more detail.

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See Chapter 6 of the TSD for an analysis description related to Fire: 6.1 Fire emissions inventories for 2018 Smoke Management Scenarios describes three different emission reduction scenarios for the 2018 projected emission inventory for fire, "no control," "base," and "optimal." 6.2 Tracking fire emissions using the WRAP EDMS describes the tracking methods used.

The following are summaries of the WRAP policies and guidance documents related to the Section 309(d)(6) fire requirements:

1. Assessing Status of Incorporating Smoke Effects into Fire Planning and Operation. This document reviewed federal, state, local, tribal and private prescribed fire programs to see if they considered smoke effects in Class I areas from a programmatic, operational plan standpoint, as well as whether non-burning alternatives were considered. Tribes can use this document as a guide for conducting the review of prescribed burning programs within their tribe’s jurisdiction, as required under 309(d)(6)(i).

2. Policy on Fire Tracking Systems. The FTS Policy is intended to assist states and tribes to address the emissions inventory and tracking requirements for fire under Section 309. This policy identifies the essential post-burn activity information necessary to consistently calculate emissions and uniformly assess fire impacts to regional haze. The FTS described in the policy consists of seven components: (1) date of burn, (2) burn location, (3) area of burn, (4) fuel type, (5) pre-burn fuel loading, (6) type of burn, and (7) “anthropogenic” or “natural” classification or information to support this classification. The FTS policy has been developed to provide a framework for tracking fire emissions that can be easily implemented by states and tribes. The FTS is intended to dovetail into the larger and more comprehensive emissions tracking and forecasting system developed by the WRAP for point, area, biogenic, and mobile sources. The WRAP FTS Policy is not meant to preclude tribes from calculating their own fire emissions if they so choose. The WRAP will be developing further guidance for states and tribes on how to establish quality assurance methods and the format for submitting FTS information to the WRAP.

3. Nonburning Alternatives for Vegetation Management on Wildlands. This document is a comprehensive reference manual of alternatives to prescribed fire on wildlands that tribes can use in addressing the non-burning alternatives requirement of an ESMP and as an assessment of barriers to the use of non-burning alternatives. It evaluates non-burning vegetative management options, includes a “decision-tree” for considering treatment options, and identifies potential markets and funding sources for utilizing forest materials. It also describes how to develop a successful strategy for vegetation and fuel load management. This document is designed to provide landowners and land managers with a comprehensive list of viable options, and decision makers with the tools necessary to develop realistic non-burning strategies. A tribe can reference this document in its TIP as a tool for meeting the Section 309 requirement for alternatives to prescribed fire. The tribe will need to also provide a description of how this document will be applied within its jurisdiction, as indicated above in the template language. The tribe may choose another approach to addressing alternatives to prescribed fire. If so, a different strategy will need to be described in its TIP.

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4. Burning Management Alternatives on Agricultural Lands in the Western United States. This document is similar to the above alternatives to prescribed fire document in terms of describing numerous alternatives to agricultural burning. It examines some of the different agricultural burning programs and practices that exist in the West, discusses the agronomic, economic, and environmental impacts, as well as the statutory and non-statutory barriers that limit the use of alternatives. It also provides a methodology for evaluating different alternatives, and identifies the critical elements for developing a successful non-burning alternatives program. Similar to the alternatives to prescribed fire document above, a tribe can reference this document in its TIP as a tool for meeting the Section 309 requirement for alternatives to agricultural burning. The tribe will also need to provide a description of how this document will be applied within its jurisdiction, as indicated above in the template language. The tribe may choose another approach to addressing alternatives, but it will need to be described in the TIP.

5. Enhanced Smoke Management Programs for Visibility. The ESMP policy identifies the elements that tribes need to include in their smoke management programs to meet the requirement for an “enhanced” program under Section 309 (it can also be used for Section 308 where fire is a major contributor to visibility impairment). It is intended to apply to both prescribed fire and agricultural burning smoke management programs. The ESMP Policy adds basically two elements – “burn authorization” and “regional coordination” – to the seven “basic” elements required under 309(d)(6)(i): actions to minimize emissions, evaluation of smoke dispersion, alternatives to fire, public notification, air quality monitoring, surveillance and enforcement, and program evaluation. Since emissions from fire contribute differently to visibility impairment in Class I areas, the ESMP policy identifies options for determining the level of ESMP needed. Tribes will need to review the magnitude of prescribed fire and agricultural burning within their jurisdiction to determine the level of ESMP needed.

6. Annual Emission Goals for Fire. The AEG policy provides states and tribes with a consistent and equitable approach for meeting the requirement in Section 309 to “minimize emission increases from fire to the maximum extent feasible.” This policy proposes the identification, use and tracking of ERTs as the mechanism toward meeting the annual emission goals requirement. The AEG policy contains seven policy statements related to annual emission goals, including the following: (1) the minimum emission increase from fire can be accomplished through the optimal application of ERTs; (2) ERTs, such as biomass utilization prior to burning and increasing combustion efficiency, are proven methods of reducing fire emissions; (3) ERTs are control strategies to reduce smoke emission, distinct from non-burning alternatives or smoke management techniques; (4) the use of ERTs to meet the AEG requirement is subject to economic, safety, technical and environmental feasibility criteria, and land management objectives; and (5) states and tribes will need to develop a procedure for verifying the use of ERTs and tracking the achievement of AEGs. The policy does not prevent a state or tribe from taking a different approach and establishing actual emission goals or limits to meet the rule requirement. The policy contains two options for how ERTs may be implemented, as well as an appendix with additional AEG and ERT guidance.

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F. Paved and Unpaved Road Dust


51.309(d) (7) Area sources of dust emissions from paved and unpaved roads. The plan must include an assessment of the impact of dust emissions from paved and unpaved roads on visibility conditions in the 16 Class I Areas. If such dust emissions are determined to be a significant contributor to visibility impairment in the 16 Class I areas, the State must implement emissions management strategies to address the impact as necessary and appropriate.


If a tribe adopts all or part of the 309 programs, that adoption constitutes an agreement to meet the requirements of those program elements including all applicable deadlines (e.g., SIP/TIP revisions and progress reports) with respect to the program elements adopted. These commitments or deadlines should be worked out up front and clearly identified in the program submittal and the EPA approval.

The requirements for paved and unpaved road dust are discussed on page 35753 in the Preamble to the RHR. The RHR requires tribes to assess the impact of dust emissions on visibility in the 16 Class I areas on the Colorado Plateau and to include a projection of visibility conditions through 2018 for the least and most impaired days. If dust emissions are determined to be a significant contributor to visibility impairment, the tribe must implement emissions management strategies to address their impact. The road dust assessment is limited to the 16 Class I areas on the Colorado Plateau. It should be noted that on page 35754 of the Preamble that the EPA discusses the need to conduct future tracking of road dust emissions, and consider the need for road dust controls if appropriate. A tribe wanting to adopt the paved and unpaved road section will need to perform an emissions inventory of their lands and supply this information to the WRAP.

In work conducted by the GCVTC, road dust emissions were not shown to be a significant contributor to visibility impairment based on monitoring data. However, concerns about increases in VMT suggested that road dust could be significant in the future. The WRAP has been studying this issue, and the technical work states and tribes will need to address the road dust requirements in section 309 is in the TSD, as described below in Section 4. The focus of much of the work of the WRAP Dust Emissions Joint Forum has been to improve the methodology for estimating road dust emission inventories in order to apply to regional scale modeling. Results from WRAP modeling work to date have shown that road dust is not a significant contributor to visibility impairment in the 16 Class I areas. Tribes will need to summarize the results of this modeling in their TIPs. As a result of this finding, no road dust control strategies will need to be included in the TIP. However, based on EPA’s discussion in the Preamble, the TIP will need to contain a commitment to track road dust emissions, and re-evaluate the determination of significance at some future point.


F. Paved and Unpaved Road Dust.

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(a) Impact of paved and unpaved road dust emissions. Pursuant to 40 CFR 51.309(d)(7), an assessment was made by the WRAP of the impact of dust emissions from paved and unpaved roads from transport region states and tribes on the 16 Class I areas on the Colorado Plateau. A complete description of this assessment is provided in Appendix F of this implementation plan.

(b) Contribution to Visibility Impairment Finding. Pursuant to 40 CFR 51.309(d)(7), the results of assessment on the impact of dust emissions described above using the analytical tools available at this time, the [name of tribe] has determined that regional scale dust emissions for the purpose of the Regional Haze Rule are not a significant contributor to visibility impairment on the Colorado Plateau 16 Class I areas. A summary of this impact assessment is provided in Appendix F of this implementation plan. Based on these findings, no emission management strategies have been identified for inclusion in this TIP submittal. The [name of tribe] will continue to work with EPA and other entities to research the effects of road dust on visibility impairment, and re-evaluate whether or not dust control strategies should be developed.

(c) Tracking of Road Dust Emissions. The [name of tribe] shall track road dust emissions with the assistance of the WRAP, and provide an update on paved and unpaved road dust emission trends, including any modeling or monitoring information regarding the impact of these emissions on visibility within the Colorado Plateau 16 Class I areas. These updates shall include a re-evaluation of whether road dust is an important contributor to visibility impairment. These updates shall be part of the periodic implementation plan revisions, pursuant to 40 CFR 51.309(d)(10). Appendix L-4 of this implementation plan provides a description of road dust emission tracking program.


See Chapter 7 of the TSD for an Assessment of Road Dust: 7.1 Emissions inventories for re-entrained road dust from paved and unpaved roads provides a summary of the 1996 and 2018 emission inventories; 7.2 Road Dust significance analysis for the Colorado Plateau 16 Class I areas provides and discusses modeling results of road dust significance and discusses the finding of no significance; 7.3 Tracking road dust emissions using the WRAP EDMS, discusses EDMS capabilities.

Methodology for Estimating Fugitive Windblown and Mechanically Resuspended Road Dust Emissions Applicable for Regional Scale Air Quality Modeling. This report includes a series of 11 findings related to the current state of knowledge about road dust emissions, how various models handle these emissions, and how modeled predictions compare with ambient monitoring. In general, the ability to accurately estimate dust impacts on a regional basis is problematic. The report provides one or more recommended activities to revise or refine current emissions estimating methodologies, including field studies such as soils analyses, activity levels, spatial and temporal distributions, particle size behavior, model appropriateness, meteorological variations, etc. This report was finalized in June 2001. It recognized the short amount of time to accomplish the recommendations prior to the 309 SIP submittal date of December 31, 2003. Few of the recommendations have been implemented to date.

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G. Pollution Prevention


51.309(d)(8) Pollution prevention. The plan must provide for:

(i) An initial summary of all pollution prevention programs currently in place, an inventory of all renewable energy generation capacity and production in use, or planned as of the year 2002 (expressed in megawatts and megawatt-hours), the total energy generation capacity and production for the State, the percent of the total that is renewable energy, and the State’s anticipated contribution toward the renewable energy goals for 2005 and 2015, as provided in paragraph (d)(8)(vi) of this section.

(ii) Programs to provide incentives that reward efforts that go beyond compliance and/or achieve early compliance with air-pollution related requirements.

(iii) Programs to preserve and expand energy conservation efforts.

(iv) The identification of specific areas where renewable energy has the potential to supply power where it is now lacking and where renewable energy is most cost-effective.

(v) Projections of the short- and long-term emissions reductions, visibility improvements, cost savings, and secondary benefits associated with the renewable energy goals, energy efficiency and pollution prevention activities.

(vi) A description of the programs relied on to achieve the State’s contribution toward the Commission’s goal that renewable energy will comprise 10 percent of the regional power needs by 2005 and 20 percent by 2015, and a demonstration of the progress toward achievement of the renewable energy goals in the years 2003, 2008, 2013, and 2018. This description must include documentation of the potential for renewable energy resources, the percentage of renewable energy associated with new power generation projects implemented or planned, and the renewable energy generation capacity and production in use and planned in the State. To the extent that it is not feasible for a State to meet its contribution to the regional renewable energy goals, the State must identify in the progress reports the measures implemented to achieve its contribution and explain why meeting the State’s contribution was not feasible.



The requirements for Pollution Prevention (P2) are discussed on page 35754 in the Preamble to the RHR. The RHR requires a detailed assessment of P2 programs and activities within each tribe’s jurisdiction, and an estimate of emission reductions and visibility improvements that could result from these programs and activities. This requirement is only for an assessment, it does not require a tribe to adopt any specific energy-related strategies or regulations for regional haze.

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The TIP must include the following:

1. A summary of all P2 programs currently in place, including an inventory of all renewable energy generation capacity and production in use or planned as of 2002;

2. The total energy generation capacity and production within the tribe’s jurisdiction, and the percentage that is renewable;

3. Any incentive programs that reward efforts that go beyond compliance and/or achieve early compliance with air-pollution related requirements;

4. Any programs that preserve and expand energy conservation efforts; 5. Any specific areas where there is the potential for renewable energy to supply power in a

cost-effective manner; 6. Projections of the short- and long-term emissions reductions, visibility improvements, cost

savings, and secondary benefits associated with “renewable energy goals, energy efficiency and pollution prevention activities;” and

7. The tribe’s anticipated contribution toward the renewable energy goals for 2005 and 2015, and a description of programs within the tribe’s jurisdiction to achieve these renewable energy goals (10 percent of the regional power needs by 2005 and 20 percent by 2015). Additional progress reports on achieving these goals must be provided in 2008, 2013 and 2018. In describing the contribution towards meeting these goals, the tribe must include documentation of the potential for renewable energy resources, the percentage of renewable energy associated with new power generation projects implemented or planned, and the renewable energy generation capacity and production in use and planned within the tribe’s jurisdiction. If it is not feasible for the tribe to meet its contribution to these goals, the progress reports must identify what measures were used and why they did not achieve their objectives.

Much of the work related to pollution prevention has been conducted by the WRAP Air Pollution Prevention Forum (AP2). This work is described below in Section 4. However, there is also some work a tribe will need to do for its P2 requirements. This work involves mostly identifying and describing renewable energy and energy efficiency programs within the tribe’s jurisdiction and other analysis, such as visibility improvements expected from these programs.


G. Pollution Prevention.

(a) Summary of P2 programs. Pursuant to 40 CFR 51.309(d)(8)(i), Table [ ] below summarizes all P2 programs currently in place within the [name of tribe]’s jurisdiction. Table [ ] summarizes all renewable energy generation capacity and production in use or planned as of 2002. Table [ ] below summarizes the total energy generation capacity and production within the tribe’s jurisdiction, and the percent of the total that is renewable. put tables here along with source references.

(b) Summary of the anticipated contribution toward the Renewable Energy Goals for 2005 and 2015. Pursuant to 40 CFR 51.309(d)(8)(i), Appendix G of this implementation plan summarizes the [name of tribe]’s anticipated contribution toward meeting the GCVTC renewable energy goals for 2005 and 2015. See also section (g) below.

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(c) Incentive programs. Pursuant to 40 CFR 51.309(d)(8)(ii), Table [ ] below identifies incentive programs within the [name of tribe]’s jurisdiction that reward efforts to go beyond compliance and/or achieve early compliance with air pollution related requirements: put table here along with source references.

(d) Programs that preserve and expand energy conservation efforts. Pursuant to 40 CFR 51.309(d)(8)(iii), Table [ ] below identifies programs within the [name of tribe]’s jurisdiction that preserve and expand energy conservation efforts. put table here along with source references. If a tribe does not have any existing programs at this time they may state so as appropriate. For example, Currently the [name of tribe] does not have any programs that preserve and expand energy conservation efforts. There are plans to address this section in the future.

(e) Potential for renewable energy. Pursuant to 40 CFR 51.309(d)(8)(iv), the [name of tribe] has made an assessment of areas where there is the potential for renewable energy to supply power in a cost-effective manner. This assessment is described in Appendix G of this implementation plan.

(f) Projections of renewable energy goals, energy efficiency and pollution prevention activities. Pursuant to 40 CFR 51.309(d)(8)(v), regional projections have been made by the WRAP of the short-and long-term emissions reductions, visibility improvements, cost savings, and secondary benefits associated with “renewable energy goals, energy efficiency and pollution prevention activities.” A complete description of these projections is provided in Appendix G of this implementation plan. Projections of visibility improvements for the 16 Class I areas on the Colorado Plateau are provided in Table 2.2.2.1 [of the TIP template page 11]. These projections include the combined effects of all measures in this TIP, including air pollution prevention programs. Although emission reductions and visibility improvements from air pollution prevention programs are expected at some level, they were not explicitly calculated because the resolution of the regional air quality modeling system is not currently sufficient to show any significant visibility changes resulting from the marginal nitrogen oxide emission reductions described above for air pollution prevention programs. (g) Demonstration of progress in achieving the GCVTC renewable energy goal. Pursuant to 40 CFR 51.309(d)(8)(vi), Table [ ] below lists the programs relied upon by the [name of tribe] to demonstrate progress in achieving the renewable energy goal of the GCVTC that renewable energy comprise 10 percent of the regional power needs by 2005 and 20 percent by 2015. Appendix G of this implementation plan provides additional information on how these programs are meeting the 10/20 goals, and a discussion of a regional modeling analysis showing progress in meeting these goals. Included in Appendix G is documentation of the potential for renewable energy resources, the percentage of renewable energy associated with new power generation projects implemented or planned, and the renewable energy generation capacity and production in use and planned for the tribe.

Put table here of the tribe’s programs helping to achieve the 10/20 goal

(h) Future progress reports. Pursuant to 40 CFR 51.309(d)(8)(vi), the [name of tribe] should submit progress reports in 2008, 2013, and 2018, describing the tribe’s contribution toward

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meeting the GCVTC renewable energy goals. This description shall be consistent with section (g) above. To the extent that it is not feasible for the tribe to meet its contribution to these goals, the tribe shall identify what measures were implemented to achieve its contribution, and explain why meeting its contribution was not feasible.


Chapter 8 of the TSD Development Plan contains a regional modeling analysis related to the GCVTC 10/20 goals.

The WRAP Policy on Renewable Energy and Energy Efficiency As Pollution Prevention Strategies For Regional Haze summarizes three years of stakeholder and consensus-based recommendations from the AP2. The policy reaffirms the findings of the GCVTC that energy efficiency measures and renewable energy goals could result in emissions reductions, improvements in visibility, energy costs savings, and secondary environmental and economic benefits. The policy provides a menu of individual policies and programs, various combinations of which would achieve the 10/20 renewable energy and energy efficiency goals, especially if implemented in a coordinated fashion among states and tribes. Specifically, ten recommendations are provided to promote renewable energy generation, and eight more are provided specifically for consideration by tribes. Similarly, seven recommendations are provided to promote energy efficiency, and eleven more are provided specifically for consideration by tribes. This policy will help tribes identify policies and programs within their jurisdiction that are consistent with these recommendations, and that may be implemented or expanded to meet the 10/20 goals for regional renewable energy and energy efficiency.

Other reports from the WRAP Air Pollution Prevention Forum:

1. The WRAP’s Air Pollution Prevention Forum produced two documents with recommendations to tribal leaders. The first is entitled, Generating Electricity from Renewable Resources in Indian Country. This report discusses the potential positive impacts of energy efficiency programs and the effect that it may have on tribal objectives of sovereignty, energy independence, and economic development. In addition, the report describes how to assess and implement energy efficiency programs.

2. The second report, Reducing Energy Consumption and Improving Air Quality through Energy Efficiency in Indian Country, discusses the potential for renewable energy resources in Indian country. The recommendations suggest how tribes might implement new energy policies and how a tribe might take advantage of the renewable energy resources on their lands. The results could help reduce visibility-impairing pollution and help expand economic development.

3. Determining a State’s Contribution to the GCVTC Regional Renewable Energy Goals. A discussion paper describing an approach for establishing a state’s contribution by using the total electricity consumption within each state multiplied by the renewable energy percentage target to yield each state’s contribution in terms of MWh. This method bases a state's contribution on its share of overall regional electricity demand. This would be consistent with the principle that energy production, hence visibility degradation, is driven by demand. States with higher demand and consumption, due to higher population, would have a greater share of contribution toward

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the renewable energy goals. The discussion goes on to suggest an approach for crediting each state’s programs against its contribution. Here, a program that induces increased renewable energy production is counted if the renewable energy production occurs anywhere within the region. Several examples are provided to illustrate the concept. (See Appendix G).

4. Recommendations of the Air Pollution Prevention Forum to Increase the Generation of Electricity from Renewable Resources presents a comprehensive state-by-state review of current energy production, consumption and existing renewable energy policies, definition of Renewable Energy, a menu of potential additional renewable energy projects and a recommended portfolio of projects that states are required to include in their SIPs. The report provides detailed recommendations for state and federal programs to encourage increased renewable energy production to displace potentially new conventional energy production. Conclusions regarding most cost effective renewable energy production projects, financial analyses, types of renewable energy inducement policies are also included. (See Appendix G).

5. Economic Assessment of Implementing the 10/20 Goals and Energy Efficiency Recommendations is a report prepared by ICF Consultants for the AP2 Forum which analyzes cost, emissions and regional economic impacts of meeting the 10/20 goals and implementing the energy efficiency recommendations. The report projects that with no additional efforts to promote renewable energy, (business as usual) the high technology costs for renewable energy will not change significantly and that any significant new additions to renewable energy capacity will not occur. The report goes on to say that load reductions from energy efficiencies will continue. The economic impacts will not occur uniformly across the region. Some states will gain, and some will not. Meeting the 10/20 goals and energy efficiency will likely increase annual region-wide electricity production costs by 1-5%, and will mostly affect new gas generating capacity, rather than existing coal and oil power production. Some emission reductions should occur, mostly for CO2 and NOx. The overall effect on the regional economy is very limited and may produce some gains in employment and income.

6. Pollution Prevention Workshop for the Preparation of Section 309 SIPs and TIPs: May 20-21, 2003, Portland, OR-Session Notes summarizes discussions among 309 states as to common understandings of the P2 requirements of Section 309, developing a baseline of the minimum information necessary for an adequate filing and how each 309 state is proposing to approach this issue. A number of agreements among the participating states were reached, as well as some specific language referencing other parts of this template. The group noted that, at a minimum, a state’s Section 309 filing could center on energy and electricity. However, if a state has information on P2 programs beyond this scope, it can be included for a broader P2 filing. A paragraph-by-paragraph summary of discussions and conclusions is presented.

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H. Additional Recommendations


51.309(d)(9) Implementation of additional recommendations. The plan must provide for implementation of all other recommendations in the Commission report that can be practicably included as enforceable emission limits, schedules of compliance, or other enforceable measures (including economic incentives) to make reasonable progress toward remedying existing and preventing future regional haze in the 16 Class I areas. The State must provide a report to EPA and the public in 2003, 2008, 2013, and 2018 on the progress toward developing and implementing policy or strategy options recommended in the Commission Report.



The requirements for implementation of additional recommendations are discussed on page 35755 in the Preamble to the RHR. This section of the RHR requires tribes to determine if any of the other GCVTC recommendations not originally included in Section 309 should still be addressed by tribes in their TIPs. These other recommendations include some suggested technical and administrative actions that may not be viable or appropriate for each tribe, such as how to address regional haze impacts caused by international transport of emissions from Mexico and Canada.

It should be noted that neither the regulatory language nor the preamble of the RHR identify these additional recommendations. Therefore, tribes will need to review the recommendations contained in the GCVTC’s report Recommendations for Improving Western Vistas, dated June 10, 1996. The recommendations are listed in Section III, pages 28-65. It will be necessary to identify those recommendations not incorporated into Section 309 as “additional” recommendations. By not specifically identifying these recommendations in the RHR, the EPA has left it up to each tribe to decide which additional recommendations it needs to address in its TIP. Unless the EPA provides an actual list at some point in the future, a tribe will have some discretion as to the level of effort in evaluating additional GCVTC recommendations for its TIP.

Section 51.309(d)(9) requires a tribe to evaluate the additional GCVTC recommendations and determine which are practical based on its particular circumstances. It does not require adoption of any control measures unless the tribe determines they are appropriate. Any measures adopted would need to be enforceable like the other 309 required measures. The tribe must conduct this evaluation and submit a report to EPA and the public again in 2008, 2013, and 2018, showing there has been an evaluation of these additional recommendations, and “progress toward developing and implementing policy or strategy options recommended in the Commission Report.”

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H. Implementation of Additional Recommendations.

(a) Evaluation of additional Grand Canyon Visibility Transport Commission recommendations. Pursuant to 40 CFR 51.309(d)(9), the [name of tribe] has evaluated the “additional” recommendations of the Grand Canyon Visibility Transport Commission, to determine if any of these recommendations can be practicably included in this implementation plan. The [name of tribe] reviewed the Commission’s 1996 report Recommendations for Improving Western Vistas to identify those recommendations that were not incorporated into Section 309 of the Regional Haze Rule. This evaluation is described in Appendix H of this implementation plan.

(b) Implementation of Additional Recommendations. Based on the evaluation made by the [name of tribe], as described in Appendix H, <no additional recommendations were identified that the tribe believes can be practicably included in this implementation plan at this time. > or <the following additional measures have been identified as being practicable and have been included in this implementation plan: describe any additional measures, and their implementation here A complete description of the additional measures included in this implementation is provided in Appendix H.

(c) Future progress reports. Pursuant to 40 CFR 51.309(d)(9), the [name of tribe] should prepare a progress report in 2008, 2013, and 2018 that contains an evaluation in accordance with Section (a) and (b) above. A copy of this report shall be provided to the EPA and made available to the general public.


All of the GCVTC original recommendations are contained in the 1996 report Recommendations for Improving Western Vistas. However, in order to identify the “additional recommendations,” a thorough review of the report is needed to separate the recommendations incorporated into Section 309 and those that were not.

The list of GCVTC original recommendations mentioned in Section 2 above was taken from the Regional Haze State Implementation Plan Templates, dated June, 2001, prepared by the WESTAR Regional Haze SIP/TIP Workgroup, under contract with the WRAP (see Chapter 2, starting on page 32). Included on this list are the “additional” recommendations not incorporated into Section 309. Most of these can be identified by the statement “not currently under consideration by WRAP” that follows the recommendation. There may be other additional recommendations not so identified.

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I. Periodic Implementation Plan Revisions


51.309(d)(10) Periodic implementation plan revisions. Each Transport Region State must submit to the Administrator periodic reports in the years 2008, 2013, and 2018. The progress reports must be in the form of implementation plan revisions that comply with the procedural requirements of § 51.102 and § 51.103.

(i) The report will assess the area for reasonable progress as provided in this section for mandatory Class I Federal area(s) located within the State and for mandatory Class I Federal area(s) located outside the State which may be affected by emissions from within the State. This demonstration may be based on assessments conducted by the States and/or a regional planning body. The progress reports must contain at a minimum the following elements:

(A) A description of the status of implementation of all measures included in the implementation plan for achieving reasonable progress goals for mandatory Class I Federal areas both within and outside the State.

(B) A summary of the emissions reductions achieved throughout the State through implementation of the measures described in paragraph (d)(10)(i)(A) of this section.

(C) For each mandatory Class I Federal area within the State, an assessment of the following: the current visibility conditions for the most impaired and least impaired days; the difference between current visibility conditions for the most impaired and least impaired days and baseline visibility conditions; the change in visibility impairment for the most impaired and least impaired days over the past 5 years.

(D) An analysis tracking the change over the past 5 years in emissions of pollutants contributing to visibility impairment from all sources and activities within the State. Emissions changes should be identified by type of source or activity. The analysis must be based on the most recent updated emissions inventory, with estimates projected forward as necessary and appropriate, to account for emissions changes during the applicable 5-year period.

(E) An assessment of any significant changes in anthropogenic emissions within or outside the State that have occurred over the past 5 years that have limited or impeded progress in reducing pollutant emissions and improving visibility.

(F) An assessment of whether the current implementation plan elements and strategies are sufficient to enable the State, or other States with mandatory Federal Class I areas affected by emissions from the State, to meet all established reasonable progress goals.

(G) A review of the State’s visibility monitoring strategy and any modifications to the strategy as necessary.

(ii) At the same time the State is required to submit any 5-year progress report to EPA in accordance with paragraph (d)(10)(i) of this section, the State must also take one of the following actions based upon the information presented in the progress report:

(A) If the State determines that the existing implementation plan requires no further substantive revision at this time in order to achieve established goals for visibility improvement and emissions reductions, the State must provide to the Administrator a negative declaration that further revision of the existing implementation plan is not needed at this time.

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(B) If the State determines that the implementation plan is or may be inadequate to ensure reasonable progress due to emissions from sources in another State(s) which participated in a regional planning process, the State must provide notification to the Administrator and to the other State(s) which participated in the regional planning process with the States. The State must also collaborate with the other State(s) through the regional planning process for the purpose of developing additional strategies to address the plan’s deficiencies.

(C) Where the State determines that the implementation plan is or may be inadequate to ensure reasonable progress due to emissions from sources in another country, the State shall provide notification, along with available information, to the Administrator.

(D) Where the State determines that the implementation plan is or may be inadequate to ensure reasonable progress due to emissions from within the State, the State shall develop additional strategies to address the plan deficiencies and revise the implementation plan no later than one year from the date that the progress report was due.



The requirements for periodic SIP and TIP revisions are discussed on page 35755 in the Preamble to the RHR. The RHR requires states and tribes to submit progress reports in the form of SIP or TIP revisions in 2008, 2013 and 2018. The SIP or TIP revisions must comply with the procedural requirements of 40 CFR 51.102 for public hearings and 51.103 for submission of plans.

Unless a tribe chooses to address “other” Class I areas (those aside from the 16 areas on the Colorado Plateau) it may choose to do so at a later date. Although tribes are not required to do so, as states must in 2008 in accordance with 51.309(g), it is recommended that tribes also adhere to the same deadline for regional consistency. Once a TIP is approved, then all deadlines will be applicable to tribes for that particular section, unless otherwise determined. The TIP revisions required under 309(d)(10) must therefore include assessments for the Class I areas outside the tribe’s jurisdiction that are affected by emissions from within the tribe’s jurisdiction.

The EPA views TIP revisions as a periodic check on progress, rather than a thorough revision of regional strategies. The tribe should focus on significant shortcomings of the original TIP from tribal sources that were not fully accounted for or anticipated when the TIP was initially developed.

The progress reports must contain the following elements:

Status of implementation of all measures in the TIP; Summary of emissions reductions from all measures in the TIP;

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Assessment of visibility in each Class I area for the most and least impaired days, including: current conditions, difference between current conditions and baseline conditions, change in visibility over the past five years;

Analysis of emission reductions from visibility contributing pollutants over past five years (using most recent emissions inventory) - to include emission changes by source category or activity;

Assessment of significant changes in anthropogenic emissions over last five years (within or outside the tribe’s jurisdiction) that could have negatively affected pollutant emission reductions and visibility improvement;

Assessment of whether the TIP is sufficient for the tribe (or other states with Class I areas affected by emissions from the tribe) to meet reasonable progress goals; and

Assessment of whether the current visibility monitoring strategy is sufficient or if changes are needed.

If the assessment shows that the TIP requires no substantive revision, the tribe must submit a “negative declaration” statement saying that no further TIP revisions are necessary at this time.

If the assessment shows that the TIP is or may be inadequate due to emissions from outside the tribe’s jurisdiction, the tribe must notify the EPA and other states and tribes, and work with them to develop additional strategies.

If the assessment shows that the TIP is or may be inadequate due to emissions from another country, the tribe must include appropriate notification to the EPA in its TIP revision.

If the assessment shows that the TIP is or may be inadequate due to emissions from within the tribe’s jurisdiction, the TIP revision must be completed within one year from the due date of the progress report (i.e., 2009, 2014, 2019).


I. Periodic implementation plan revisions.

(a) Periodic Progress Reports for demonstrating Reasonable Progress. Pursuant to 40 CFR 51.309(d)(10)(i), the [name of tribe] shall submit to the EPA, as a TIP revision, periodic progress reports for the years 2008, 2013, and 2018 for the purpose of demonstrating reasonable progress in mandatory Class I areas. This periodic demonstration of reasonable progress may be conducted by the WRAP, with assistance from the tribe, and shall address the elements listed under 40 CFR 51.309(d)(10)(i)(A) through (G), as summarized below:

(1) Implementation status of TIP measures;(2) Summary of emissions reductions;(3) Assessment of most/least impaired days;(4) Analysis of emission reductions by pollutant;(5) Significant changes in anthropogenic emissions;(6) Assessment of TIP sufficiency; and(7) Assessment of visibility monitoring strategy.

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(b) Actions to be taken concurrent with Periodic Progress Reports. Pursuant to 40 CFR 51.309(d)(10)(ii), the [name of tribe] shall take one of the following actions based upon information contained in each periodic progress report:

(1) Provide a negative declaration statement to the EPA saying that no implementation plan revision is needed if reasonable progress is being made, in accordance with section (a) above;

(2) If the tribe finds that the implementation plan is inadequate to ensure reasonable progress due to emissions from outside the tribe’s jurisdiction, the [name of tribe] shall notify the EPA and the other contributing state(s) and tribe(s), and initiate efforts through a regional planning process to address the emissions in question. The [name of tribe] shall identify in the next progress report the outcome of this regional planning effort, including any additional strategies that were developed to address the plan’s deficiencies;

(3) If the tribe finds that the implementation plan is inadequate to ensure reasonable progress due to emissions from another country, the [name of tribe] shall notify the EPA and provide information on the impairment being caused by these emissions; or

(4) If the tribe finds that the implementation plan is inadequate to ensure reasonable progress due to emissions from within the tribe, the [name of tribe] shall develop additional strategies to address the plan deficiencies and revise the implementation plan no later than one year from the date that the progress report was due.


None.

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J. Tribal Planning and Coordination with States and Tribes


51.309(d)(11) State planning and interstate coordination. In complying with the requirements of this section, States may include emission reductions strategies that are based on coordinated implementation with other States. Examples of these strategies include economic incentive programs and transboundary emissions trading programs. The implementation plan must include documentation of the technical and policy basis for the individual State apportionment (or the procedures for apportionment through out the trans-boundary region), the contribution addressed by the State’s plan, how it coordinates with other State plans, and compliance with any other appropriate implementation plan approvability criteria. States may rely on the relevant technical, policy and other analyses developed by a regional entity (such as the Western Regional Air Partnership) in providing such documentation. Conversely, States may elect to develop their own programs without relying on work products from a regional entity.

51.309(d)(12) Tribal implementation. Consistent with 40 CFR Part 49, tribes within the Transport Region may implement the required visibility programs for the 16 Class I areas, in the same manner as States, regardless of whether such tribes have participated as members of a visibility transport commission.


The requirements for state planning and interstate coordination, and tribal implementation, are discussed on pages 35755-35756 in the Preamble to the RHR. Both sections allow states and tribes to use the work of regional planning bodies like the WRAP in their individual SIPs and TIPs.

Section 51.309(d)(11) allows states and tribes to participate in regional planning efforts like the WRAP in developing their 309 SIPs and TIPs. The interstate strategies that are developed need to document each state’s and tribe’s contribution to visibility impairment of the 16 Class I areas, how coordination between state and tribal plans will be accomplished, and how compliance will be determined. It also allows states and tribes to develop their own programs without relying on a regional entity like the WRAP.

Section 51.309(d)(12) clarifies that all tribes within the transport region have the option to implement Section 309, not just those that were members of the GCVTC. The TAR (40 CFR part 49.1-49.11) gives tribes in the transport region the option of implementing 51.308 or 51.309.


J. Tribal Planning and Coordination with States and Tribes.

(a) Participation in Regional Planning and Coordination. Pursuant to 40 CFR 51.309(d)(11), the [name of tribe] has participated in regional planning and coordination with other states and tribes in developing its emission reduction strategies under 40 CFR 51.309, related to protecting the 16 Class I areas on the Colorado Plateau. This participation was through the Western Regional Air Partnership. Note: if any interstate strategies were developed outside of the WRAP process, summarize here, and provide details in the appendix. Appendix I-1 of this

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implementation plan describes the [name of tribe] participation in regional planning and interstate coordination.

(b) Tribal Implementation. Pursuant to 40 CFR 51.309(d)(12), and in accordance with the Tribal Authority Rule, the [name of tribe] whose lands are surrounded by the State(s) of [name(s)] has elected to develop a regional haze TIP to assure reasonable progress in the 16 Class I areas on the Colorado Plateau.


The WRAP Charter sets forth the basic operating goals, principles and procedures. The following portion of the charter addresses the need for regional planning and coordination:

The 1990 Amendments to the Clean Air Act established the Grand Canyon Visibility Transport Commission (GCVTC) which in June of 1996, completed its original mission of developing recommended strategies for improving visibility in the Grand Canyon and other Class I sites on the Colorado Plateau. Recognizing the need for a process to monitor and coordinate the implementation of its final recommendations, the GCVTC voted to create the WRAP.

In considering this charter, the WRAP recognized the advantages of coordination on many of the projects relating to air quality that are underway in the western region. While the initial focus of the WRAP was to implement the recommendations of the GCVTC in conjunction with federal visibility rules, the requirements of these rules also highlighted the need to implement other regional planning processes to improve visibility in all western Class I areas. Rather than establishing multiple western air quality organizations to meet this goal, the role of the WRAP was expanded beyond the 16 Class I areas on the Colorado Plateau.

The WRAP shall include participation from industry, environmental groups and any other affected parties, and will operate in conjunction with regional organizations such as WESTAR, the Western Governors' Association, and the National Tribal Environmental Council.

The goal of the WRAP is to initiate and coordinate activities associated with the management of regional or common air quality issues in the western region of the United States.

Tribes and states shall have equal membership. Initial membership shall be based on the number of states choosing to join the WRAP. Should a state withdraw from WRAP membership, tribal representation would not be reduced. However voting representation would remain equal for states and tribes.

Section 1. States

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a. The governor or his/her designee of the following states: Alaska, Arizona, California, Colorado, Idaho, Montana, New Mexico, North Dakota, Oregon, South Dakota, Utah, Washington, and Wyoming.

b. Designation by a governor of a designee shall be made in writing to WRAP. Designees shall serve at the pleasure of their respective governors. Any changes in such designation shall be made in writing to WRAP.

c. States shall provide a mechanism for communicating with local government air quality agencies and for participation of representatives from local government air quality agencies in WRAP activities.

Section 2. Tribes

a. Tribes participating in WRAP must be federally recognized.

b. Tribal participation shall be determined by the tribes located in the geographical region encompassed by the WRAP states listed in Part 2, Section 1.a., and the State of Nevada, and shall be representative of this geographical region.

c. WRAP tribal members shall provide a mechanism for participation by all other interested tribal governments.

d. A tribal leader shall identify in writing a designee to WRAP. Designees shall serve at the pleasure of their respective leadership. Any changes in such designation shall be made in writing to WRAP.

Section 3. Federal Government

a. The U.S. Secretary of the Interior or his/her designee as a voting member.

b. The U.S. Secretary of Agriculture or his/her designee as a voting member.

c. The Administrator of the U.S. Environmental Protection Agency or his/her designee as a non voting member.

d. WRAP federal members shall provide a mechanism for coordination and participation by their national, regional and local units.

e. All designations by federal agencies shall be made in writing to the WRAP.

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K. Geographic Enhancements


51.309(f)(4) Geographic Enhancement. In accordance with the provisions under paragraph (f)(1) of this section, the annex may include a geographic enhancement to the program provided for in paragraph (d)(4) of this section to address the requirement under § 51.302(c) related to Best Available Retrofit Technology for reasonably attributable impairment from the pollutants covered by the milestones or the backstop market trading program. The geographic enhancement program may include an appropriate level of reasonably attributable impairment which may require additional emission reductions over and above those achieved under the milestones defines in paragraph (f)(1)(i) of this section.



The requirements for geographic enhancement are discussed on page 35757 in the Preamble to the RHR. These requirements are related to Section 51.309(f)(1) that describes requirements for the Annex, which adopts an alternative measure to regional haze BART. Geographic enhancement is a voluntary approach that can be included in the Annex for addressing reasonably attributable visibility impairment (RAVI) for stationary sources, under the provisions of Section 51.302(c). RAVI is different from regional haze in that it addresses “hot spots” or situations where visibility impairment in a Class I area is reasonably attributable to a single source or small group of sources in relatively close proximity to the Class I area. The geographic enhancement approach would allow states or tribes to use the efficiencies and reduced cost provided by the market trading program in the Annex to accommodate situations where RAVI needs to be addressed.


K. Geographic Enhancement.

(a) Procedure for addressing Reasonably Attributable Visibility Impairment under the Regional Haze Rule. Pursuant to 40 CFR 51.309(f)(4), the [name of tribe] shall use the following process to address reasonably attributable visibility impairment (RAVI) in any Class I area, and the potential need for Best Available Retrofit Technology (BART), as specified in 40 CFR § 302(c):

(1) The [name of tribe] and [list applicable Federal Land Managers] have agreed on the principles that will be followed for addressing RAVI within the context of regional SO2 milestones and a backstop emission trading program that have been developed to address regional haze. The Federal Land Managers have an obligation to protect the National Parks and Wilderness Areas that have been designated as mandatory federal Class I areas. In the course of certifying impairment, the Federal Land Managers may make recommendations to the EPA, or to

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the [name of tribe] if it has a TIP, regarding a source or sources to which impairment may be reasonably attributable. Within the context of established regional milestones for SO2 and a backstop trading program, the Federal Land Managers agree to use the following screening process in making these recommendations as part of the certification process:

(i) The [Federal Land Management Agency] determines that sulfate concentrations are not decreasing since the year 2000, based on ambient monitoring, and

(ii) There are BART-eligible sources of sulfur dioxide within 100 miles of the mandatory Federal Class I area, and

(iii) The BART-eligible sources have not installed control technology to reduce sulfur dioxide emissions at a rate equivalent to capture 85% of potential annual emissions.

(2) In approximately 2009 to 2010, but no later than December 2010, the [name of tribe] will conduct a public meeting to facilitate the exchange of information regarding current visibility monitoring data at mandatory Class I areas in [state] or in nearby states within 100 miles of any BART-eligible sources located within the tribe’s jurisdiction. (If a tribe however, implements a TIP after the dates above, the requirements may change. A tribe should consult with their regional EPA office for more details). The information will include visibility trends, as well as the type of impairment that is occurring at individual areas (haze, episodic impairment, etc.). The goal of this meeting is to provide information to sources and to the market so that potential problems could be addressed in the most cost-effective manner. For example, a large utility company with multiple units may use this information in decisions about where to apply limited resources when deciding to install new control technology on some of their plants.

(3) If a Federal Land Manager certifies impairment, the [name of tribe] or EPA will fulfill its obligation to determine attribution and, if necessary, determine BART for the applicable source or group of sources in accordance with [refer to tribal or federal rules that adopt the long-standing RA BART provisions of federal visibility rule].

(i) The WESTAR report entitled “Recommendations for Making Attribution Determinations in the Context of Reasonably Attributable BART,” (May 2003) supplemented by new techniques and information available at the time of review, will be used to provide a toolbox of appropriate technical criteria and techniques for determining attribution. The WESTAR report is included in the Technical Support Documentation for this plan.

(ii) If attribution is determined, then the following alternative remedy solutions will be considered when determining BART for the applicable source:

(A) BART-level controls could be installed on the attributed source or group of sources; “and” or “or”

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(B) SO2 emission reductions that may be more cost-effective or have other air quality benefits could be required at nearby sources, in lieu of or in combination with, controlling the attributed source to achieve greater visibility improvements than the application of BART.


See WESTAR report “Recommendations for Making Attribution Determinations in the Context of Reasonably Attributable BART,” (May 2003). This report recommends approaches for determining if visibility impairment is reasonably attributable to a source or group of sources, often known as reasonably attributable visibility impairment (RAVI). The report was prepared by the WESTAR Council under contract to the WRAP.

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L. Reasonable Progress for Additional Class I Areas


51.309(g) Additional Class I areas. The following submittals must be made by Transport Region States implementing the provisions of this section as the basis for demonstrating reasonable progress for additional Class I areas in the Transport Region States. If a Transport Region State submits an implementation plan which is approved by EPA as meeting the requirements of this section, it will be deemed to comply with the requirements for reasonable progress for the period from approval of the plan to 2018.

(1) In the plan submitted for the 16 Class I areas no later than December 31, 2003, a declaration indicating whether other Class I areas will be addressed under § 51.308 or paragraphs (g)(2) and (3) of this section.

(2) In a plan submitted no later than December 31, 2008, provide a demonstration of expected visibility conditions for the most impaired and least impaired days at the additional mandatory Class I Federal area(s) based on emissions projections from the long-term strategies in the implementation plan. This demonstration may be based on assessments conducted by the States and/or a regional planning body.

(3) In a plan submitted no later than December 31, 2008, provide revisions to the plan submitted under paragraph (c) of this section, including provisions to establish reasonable progress goals and implement any additional measures necessary to demonstrate reasonable progress for the additional mandatory Federal Class I areas. These revisions must comply with the provisions of § 51.308(d)(1) through (4).

(4) The following provisions apply for Transport Region States establishing reasonable progress goals and adopting any additional measures for Class I areas other than the 16 Class I areas under paragraphs (g)(2) and (3) of this section.

(i) In developing long-term strategies pursuant to § 51.308(d)(3), the State may build upon the strategies implemented under paragraph (d) of this section, and take full credit for the visibility improvement achieved through these strategies.

(ii) The requirement under § 51.308(e) related to Best Available Retrofit Technology for regional haze is deemed to be satisfied for pollutants addressed by the milestones and backstop trading program if, in establishing the emission reductions milestones under paragraph (f) of this section, it is shown that greater reasonable progress will be achieved for these Class I areas than would be achieved through the application of source-specific BART emission limitations under § 51.308(e)(1).

(iii) The Transport Region State may consider whether any strategies necessary to achieve the reasonable progress goals required by paragraph (g)(3) of this section are incompatible with the strategies implemented under paragraph (d) of this section to the extent the State adequately demonstrates that the incompatibility is related to the costs of the compliance, the time necessary for compliance, the energy and no air quality environmental impacts of compliance, or the remaining useful life of any existing source subject to such requirements.


If a tribe adopts all or part of the 309 programs, that adoption constitutes an agreement to meet the requirements of those program elements including all applicable deadlines (e.g., SIP/TIP revisions and progress reports) with respect to the program elements adopted. These

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commitments or deadlines should be worked out up front and clearly identified in the program submittal and the EPA approval.

The requirements for reasonable progress for additional Class I areas are discussed on page 35758 in the Preamble to the RHR. Section 309 of the RHR requires that TIPs address the 16 Class I areas on the Colorado Plateau. Other Class I areas within the nine transport region states do not need to be addressed until the 2008 SIP submittal. Although tribes are not required to do so, as states must in 2008 in accordance with 51.309(g), it is recommended that tribes also adhere to the same deadline for regional consistency.

The rest of the section describes the requirements for addressing other Class I areas in the 2008 TIP for tribes that follow Section 309. This must be a modeling demonstration including an analysis sufficient to meet the requirements defined in 51.308(d)(1). The tribe may elect to use the control package adopted for the mandatory 16 Class I areas if it can demonstrate that BART or better reductions will be met through 2018. The tribe may elect to select alternative controls to complete the 309 package and adopt that package. The tribe has the option to go beyond the 16 Class I areas and address the other Class I areas in its first TIP submittal, if it so chooses, and combine into one TIP both the 16 Class I areas and other Class I areas.


L. Reasonable Progress for Additional Class I Areas.

(a) Declaration for other Class I areas. Pursuant to 40 CFR 51.309(g)(1), the [name of tribe] declares it will follow <Section 308> <Section 309(g)(2)> in developing an implementation plan for the ___Class I area(s) in the State(s) of [name(s)]. These Class I areas are as follows:

list the Class I areas to be addressed under Section 309 in the TIP

NOTE: subsection (b) is optional, and only applicable to tribes that address “other” Class I areas in their initial TIP submittal. See Section 309(g) for all applicable requirements.

(b) Other Class I areas to be included in the TIP submittal. In addition to the 16 Class I areas on the Colorado Plateau, the [name of tribe] is including in the TIP submittal pursuant to 40 CFR 51.309(g)(2), (3), and (4) that reasonable progress goals and a demonstration of these goals will be met for the following Class I areas located in [State]:

list the Class I areas to be addressed in the TIP Appendix K of this implementation plan identifies the long-term strategies the [name of tribe] will use to show reasonable progress in the Class I areas listed above. This appendix also contains a demonstration of expected visibility conditions for the most impaired and least impaired days for each of these Class I areas, based on emission projections from long-term strategies.

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None if additional Class I areas are to be addressed in 2008 or in a later TIP.

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IV. APPENDICES

Master List of TIP Appendices (A through T)

Appendix A: Projection of Improvement in 16 Class I Areas. Appendix B: Description of the Clean Air Corridor. Appendix C: NOx and PM Assessment Report. Appendix D: 2003 Interim Progress Report. Appendix E-1: Description of Prescribed Fire Programs. Appendix E-2: Description of Process to Identify and Remove Administrative Barriers to

the Use of Non-burning Alternatives. Appendix E-3: Evaluation of Enhanced Smoke Management Programs. Appendix E-4: Annual Emission Goals. Appendix F: Dust Impact Assessment and Contribution to Impairment. Appendix G: Summary of Renewable Energy and Energy Conservation Programs

within the Tribe’s jurisdiction. Appendix H: Evaluation of Additional Recommendations from the GCVTC. Appendix I-1: Tribal Planning and Coordination with States and Tribes. Appendix I-2: Participating States and Tribes and Emissions Management Strategies in

the SIP and TIP. Appendix J: Summary of Geographic Enhancement Provisions in the Annex. Appendix K: Long-term Strategies and Visibility Improvement Expected for Additional

Class I areas. Appendix L-1: Description of Comprehensive Emissions Tracking Program for Clean Air

Corridor (CAC). Appendix L-2: Mobile Source Emission Trends. Appendix L-3: Fire Emission Inventory and Tracking Program. Appendix L-4: Road Dust Emission Inventory and Tracking Program. Appendix L-5: Stationary Source Emission Inventory and Tracking. Appendix L-6: Western Emissions Backstop (WEB) Emissions and Allowance Tracking

System (EATS) Analysis. Appendix M: Complete Citation of Stationary Source Requirements in Section 309(f)

and 309(h).Appendix N: General Definitions in the Regional Haze Rule.Appendix O: Western Backstop S02 Trading Program—Model Rule (See Section C,

Stationary Sources of the TIP Template).Appendix P: EPA Completeness Criteria for the Regional Haze SIP.Appendix Q: Description of Tribal Emissions Inventory Software Solution(TEISS)Appendix R: List of Eligible Tribes.Appendix S: Fact Sheet. EPA’s Interim Air Quality Policy on Wild Land and

Prescribed Fires.Appendix T: EPA’s Air Quality Policy on Wildland and Prescribed Fires.

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Note: The following section provides a brief description of what each appendix should actually contain for the TIP. Following this list will be Appendices: M, N, O, P, Q, R, S and T.

Appendix A: Projection of Improvement in 16 Class I Areas. Summarize the results of the WRAP modeling results for the 20% worst and 20% best days in the 16 Class I areas, resulting from the application of 309 control strategies. See Chapter 2 of the TSD report.

Appendix B: Description of the Clean Air Corridor. This appendix needs to describe the findings of the WRAP Policy Paper on Clean Air Corridors and the supporting technical work described in Chapter 3 of the TSD, in terms of how the boundary of the CAC was determined, how no significant emissions growth is expected both inside and outside the CAC, and how no other CACs could be identified by the WRAP. (Note: Tribes can either provide a detailed summary of the WRAP Policy Paper on Clean Air Corridors, or provide a brief summary and attach a copy of the paper in their TIP.)

Description of Comprehensive Emissions Tracking Program. See Appendix L-1 under #13, Summary of Clean Air Corridor Emission Inventory and Tracking Programs.

Appendix C: NOx and PM Assessment Report. This appendix needs to provide a detailed description of the WRAP report related to the assessment of control strategies for stationary sources of NOx and PM, and the degree of visibility improvement that would result.

Appendix D: 2003 Interim Progress Report. This appendix needs to outline the regional and local mobile source strategies identified on pages 41-45 of the GCVTC 1996 Report, and then describe the status of implementing these strategies, including whether any progress has been made in implementing them within the tribe’s jurisdiction.

Mobile Source Emission Trends. See Appendix L-2.

Appendix E-1: Description of Prescribed Fire Programs. This appendix needs to identify all the prescribed fire programs within the tribe’s jurisdiction, and then describe the following: (1) an assessment of the degree to which the tribe could (or could not) contribute to visibility impairment in the 16 Class I areas; (2) if the tribe could contribute, does it currently consider this in its planning and application; (3) does the tribal program contain the seven basic smoke management elements listed in the rule; and (4) describe any improvements the tribe is making to these programs to meet the rule, and if not, the reason why.

Fire Emissions Inventory and Tracking System. See Appendix L-3.

Appendix E-2: Description of Process to Identify and Remove Administrative Barriers to the Use of Non-burning Alternatives. Describe the process by which the tribe will identify and remove barriers to the use of non-burning alternatives, related to agricultural and forestry burning. The tribe will first need to identify existing administrative barriers, summarize the current use of alternatives within the tribe’s jurisdiction, and then provide an assessment of the potential for overcoming the barriers to alternative use. Include a list of key entities, a

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description of the process, letters of agreement and other mechanisms for implementing the process.

Two documents prepared by the WRAP may be used in describing the tribe’s strategy: the Nonburning Alternatives for Vegetative and Fuel Management, and the Burning Management Alternatives on Agricultural Lands in the Western United States. A description of how these documents will be evaluated where considering non-burning alternatives is one approach that the tribe can take to address this rule requirement.

Appendix E-3: Evaluation of Enhanced Smoke Management Programs. This appendix is similar to the assessment in Appendix E-1 regarding the seven basic smoke management elements. First, describe the current smoke management programs within the tribe’s jurisdiction and the magnitude of burning controlled under these programs. Then describe whether these programs are consistent with the WRAP Enhanced Smoke Management Program Policy. This policy identifies options for determining the level of ESMP needed. Describe any changes made to the tribe’s smoke management programs based on an evaluation of this policy.

Appendix E-4: Annual Emission Goals. Describe how annual emission goals will be established for agricultural and forestry burning programs within the tribe’s jurisdiction using the WRAP Annual Emission Goals Policy. This description should include: (1) identifying the Emission Reduction Techniques currently being used to minimize fire emissions in these programs; (2) the procedure that will be used for tracking and verifying the use of ERTs; and (3) changes being made to implement this procedure.

Appendix F: Dust Impact Assessment and Contribution to Impairment. (See also Appendix L-4 under #13, Summary of Road Dust Emission Inventory and Tracking Program.) Summarize the discussion in Chapter 7 of the TSD on (1) paved and unpaved road dust emission inventories for 1996 and 2018; and (2) the results of the modeling. Describe the significance level that was evaluated. If possible, emphasize any discussion that pertains to road dust emissions and modeling for the tribe’s jurisdiction, rather than transport region states in general.

Appendix G: Summary of Renewable Energy and Energy Conservation Programs within the Tribe’s jurisdiction. This appendix needs to describe the pollution prevention (P2) work that the tribe has conducted to meet this rule requirement. The description of P2 work should include (1) the tables listed in Chapter G Template Section, paragraphs (a) thru (d) and (g); (2) the assessment of potential for renewable energy in paragraph (e); and (3) the projections of renewable goals, efficiency and activities in paragraph (f); (4) a description of the programs within the tribe’s jurisdiction that are helping achieve the GCVTC 10/20 goals per paragraph (g); (5) reports and discussion papers on determining contribution of renewable energy goals and counting programs to meet goals, and the economic analyses of meeting these goals; (6) recommendations for increasing renewable energy production, and (7) economic analysis of meeting renewable energy and energy efficiency goals. Also include the summary of the modeling analysis in Chapter 8 of the TSD related to meeting the 10/20 goals.

Appendix H: Evaluation of Additional Recommendations from the GCVTC. This appendix needs to identify the additional GCVTC recommendations not incorporated into Section 309, and

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describe if any are practicable or feasible in adopting into the regional haze TIP. It will be necessary to review the Commission’s 1996 report Recommendations for Improving Western Vistas, Chapter III, on pages 28-65. This does not have to be an exhaustive evaluation in terms of reviewing each and every additional recommendation, and justifying why no new programs or measures are feasible. If there are some programs or measures that can be implemented, or if similar ones are already being implemented, these need to be summarized. Also describe any future implementation that is anticipated.

Appendix I-1: Tribal Planning and Coordination with States and Tribes. Summarize briefly the tribe’s participation in the WRAP related to developing the 309 TIP to address visibility impairment in the 16 Class I areas. List the other tribes and states that also participated in this effort. If the tribe developed any regional haze strategies for the 16 Class I areas outside of the WRAP process, a description will need to be provided. The description will need to identify the participating state/tribe or states/tribes, individual tribal apportionment of emissions and visibility impairment for all affected Class I areas, the contribution to emissions being addressed by the tribe, and how compliance will be measured.

Appendix I-2: Participating States and Tribes and Emissions Management Strategies in the SIP and TIP. Provide a description of the participating states and tribes, emission management strategies, and Class I areas affected by these strategies. Appendix J: Summary of Geographic Enhancement Provisions in the Annex. If the tribe has any sources subject to BART (RAVI or Regional Haze), it must include provisions for these sources or they may be deferred to the EPA. Currently, there are only four sources in existence in the west. If a tribe joins the 309 Annex, it will need to decide if it will enter into a similar memorandum of agreement (MOA) with the federal land managers (FLMs). This is, however, not mandatory and it is currently unknown if this would hold any sort of advantage for a tribe. If the tribe does not have any sources subject to BART, this section will not apply.

Appendix K: Long-term Strategies and Visibility Improvement Expected for Additional Class I areas. This appendix is optional and only applies to tribes that elect to address additional mandatory Class I areas beyond the original 16, as part of the initial TIP submittal. Describe the 10-year long-term strategy to show reasonable progress, including a demonstration of expected visibility conditions for the most and least impaired days for each of the additional Class I areas.

The following is a summary of each of the emission inventory and tracking requirements in Section 309 for clean air corridors, mobile sources, fire sources, road dust and stationary sources.

Appendix L-1: Description of Comprehensive Emissions Tracking Program for Clean Air Corridor (CAC). Describe the system that the WRAP Emissions Forum has developed for conducting comprehensive emissions tracking for the CAC. Oregon, Idaho, Nevada, Utah and also tribes within these states will also need to provide more details on how the tracking program will be applied to the portion of the CAC in their own area.

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Appendix L-2: Mobile Source Emission Trends. List all the new federal engine and fuel standards recently adopted by the EPA and how the tribe intends to submit emission inventories that will demonstrate that mobile source emission levels are declining for each listed pollutant, in 2008, 2013, and 2018. Appendix L-3: Fire Emission Inventory and Tracking Program. Describe how the tribe intends to implement an emission inventory and tracking system for fire sources for VOC, NOx, Elemental Carbon and Organic Carbon, and PM fine, using the WRAP Fire Tracking System Policy. Describe any changes made by the tribe to improve its current system to be consistent with this policy.

Appendix L-4: Road Dust Emission Inventory and Tracking Program. (See also Appendix F). Describe the process that will be used by the WRAP to compile and track road dust emissions in each state and tribe, and how these emissions will be evaluated by the tribe (working with assistance from the WRAP) in the future to determine if road dust is a significant contributor to visibility impairment.

Appendix L-5: Stationary Source Emission Inventory and Tracking. Section C provides most of the information on emissions inventory and tracking methods related to stationary sources that will be used by the tribe. In this appendix, the tribe needs to describe the process the WRAP will be following at the regional level to determine compliance with the SO2 milestones. In addition, the tribe will need to provide a summary of the SO2 emission reductions achieved from 1990 to 2000, as described in the template language in Section 3C(d) of this document. This information can be found in the report entitled Year 2000 Point Source SO2 Emissions Analysis - 9 State Western Region Report, E.H. Pechan & Associates, Inc. for the Western Governors’ Association; Denver, CO, May 2002.

Appendix L-6: Western Emissions Backstop (WEB) Emissions and Allowance Tracking System (EATS) Analysis. This report was prepared by the WESTAR Model Rule/MOU Working Group, and is referred to in Section C, Stationary Sources, in the Template Language. This report describes how emissions, allocations, and transactions will occur if the backstop trading program is triggered. The tribe will need to include this report as a technical support document to the TIP.

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Appendix M. Complete Citation of Stationary Source Requirements in Section 309(f) and 309(h).

1. Section 309(f). The following is the rule language related to the Annex.

(f) Annex to the Commission Report.

(1) A Transport Region State may choose to comply with the provisions of this section and by doing so shall satisfy the requirements of Sec. 51.308(b) through (e) only if the Grand Canyon Visibility Transport Commission (or a regional planning body formed to implement the Commission recommendations) submits a satisfactory annex to the Commission Report no later than October 1, 2000. To be satisfactory, the Annex must contain the following elements:

(i) The annex must contain quantitative emissions milestones for stationary source sulfur dioxide emissions for the reporting years 2003, 2008, 2013 and 2018. The milestones must provide for steady and continuing emissions reductions for the 2003-2018 time period consistent with the Commission's definition of reasonable progress, its goal of 50 to 70 percent reduction in sulfur dioxide emissions from 1990 actual emission levels by 2040, applicable requirements under the CAA, and the timing of implementation plan assessments of progress and identification of deficiencies which will be due in the years 2008, 2013, and 2018. The milestones must be shown to provide for greater reasonable progress than would be achieved by application of best available retrofit technology (BART) pursuant to Sec. 51.308(e)(2) and would be approvable in lieu of BART.

(ii) The annex must contain documentation of the market trading program or other programs to be implemented pursuant to paragraph (d)(4) of this section if current programs and voluntary measures are not sufficient to meet the required emission reduction milestones. This documentation must include model rules, memoranda of understanding, and other documentation describing in detail how emission reduction progress will be monitored, what conditions will require the market trading program to be activated, how allocations will be performed, and how the program will operate.

(2) The Commission may elect, at the same time it submits the annex, to make recommendations intended to demonstrate reasonable progress for other mandatory Class I areas (beyond the original 16) within the Transport Region States, including the technical and policy justification for these additional mandatory Class I Federal areas in accordance with the provisions of paragraph (g) of this section.

(3) The EPA will publish the annex upon receipt. If EPA finds that the annex meets the requirements of paragraph (f)(1) of this section and assures reasonable progress, then, after public notice and comment, EPA will amend the requirements of this section to incorporate the provisions of the annex. If EPA finds that the annex does not meet the requirements of paragraph (f)(1) of this section, or does not assure reasonable progress, or if EPA finds that the annex is not received, then each Transport Region State must submit an implementation plan for regional haze meeting all of the requirements of Sec. 51.308.

(4) In accordance with the provisions under paragraph (f)(1) of this section, the annex may include a geographic enhancement to the program provided for in paragraph (d)(4) of this section to address the requirement under Sec. 51.302(c) related to Best Available Retrofit Technology for reasonably attributable impairment from the pollutants covered by the milestones or the backstop market trading program. The geographic enhancement program may include an appropriate level of reasonably attributable impairment which may require additional emission reductions over and above those achieved under the milestones defines in paragraph (f)(1)(i) of this section.

2. Section 309(h). The following is new regulatory language to the Regional Haze Rule to Incorporate Sulfur Dioxide Milestones and Backstop Emissions Trading Program, 67 FR 33784, June 5, 2003. These requirements supplement those for stationary sources, under Section 309(d)(4) “Implementation of stationary source reductions”.

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(h) Emissions Reduction Program for Major Industrial Sources of Sulfur Dioxide. The first implementation plan submission must include a stationary source emissions reductions program for major industrial sources of sulfur dioxide that meets the following requirements:

(1) Regional sulfur dioxide milestones. The plan must include the milestones in Table 1, and provide for the adjustments in paragraphs (h)(1)(i) through (iv) of this section. Table 1 follows:

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Table 1.--Sulfur Dioxide Emissions Milestones

Column 1 Column 2 Column 3 Column 4

For the year . . .

. . . if BHP San Manuel and Phelps Dodge Hidalgo resume operation, the maximum regional sulfur dioxide milestone is . . .

. . . if neither BHP San Manuel nor Phelps Dodge Hidalgo resumes operation, the minimum regional sulfur dioxide milestone is . . .

. . . and the emission inventories for these years will determine whether emissions are greater than or less than the milestone:

2003................................. 2004................................. 2005................................. 2006.................................2007................................. 2008................................. 2009................................. 2010................................. 2011................................. 2012................................. 2013.................................2014................................. 2015................................. 2016................................. 2017................................. 2018................................. Each year after 2018.............

720,000 tons........... 720,000 tons........... 720,000 tons........... 720,000 tons........... 720,000 tons........... 718,333 tons........... 716,667 tons........... 715,000 tons........... 715,000 tons........... 715,000 tons........... 695,000 tons........... 675,000 tons........... 655,000 tons........... 655,000 tons........... 655,000 tons........... 510,000 tons........... no more than 510,000 tons unless the milestones are replaced with a different program that meets any BART and reasonable progress requirements established in Sec. 51.309.

682,000 tons........... 682,000 tons........... 682,000 tons........... 682,000 tons........... 682,000 tons........... 680,333 tons........... 678,667 tons........... 677,000 tons........... 677,000 tons........... 677,000 tons........... 659,667 tons........... 642,333 tons........... 625,000 tons........... 625,000 tons........... 625,000 tons........... 480,000 tons........... no more than 480,000 tons unless the milestones are replaced with a different program that meets any BART and reasonable progress requirements established in Sec. 51.309.

2003. Average of 2003 and 2004. Average of 2003, 2004 and 2005. Average of 2004, 2005 and 2006. Average of 2005, 2006 and 2007. Average of 2006, 2007 and 2008.Average of 2007, 2008 and 2009. Average of 2008, 2009 and 2010. Average of 2009, 2010 and 2011.Average of 2010, 2011 and 2012. Average of 2011, 2012 and 2013. Average of 2012, 2013 and 2014. Average of 2013, 2014 and 2015. Average of 2014, 2015 and 2016. Average of 2015, 2016 and 2017. Year 2018 only. 3-year average of the year and the two previous years, or any alternative provided in any future plan revisions under Sec. 51.308(f).

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(i) Adjustment for States and Tribes Which Choose Not to Participate in the Program, and for Tribes that opt into the program after the 2003 deadline. If a State or Tribe chooses not to submit an implementation plan under the option provided in Sec. 51.309, or if EPA has not approved a State or Tribe's implementation plan by the date of the draft determination required by Sec. 51.309(h)(3)(ii), the amounts for that State or Tribe which are listed in Table 2 must be subtracted from the milestones that are included in the implementation plans for the remaining States and Tribes. For Tribes that opt into the program after 2003, the amounts in Table 2 or 4 will be automatically added to the milestones that are included in the implementation plans for the participating States and Tribes, beginning with the first year after the tribal implementation plan implementing Sec. 51.309 is approved by the Administrator. The amounts listed in Table 2 are for purposes of adjusting the milestones only, and they do not represent amounts that must be allocated under any future trading program. Table 2 follows:

TABLE 2.—AMOUNTS SUBTRACTED FROM THE MILESTONES FOR STATES AND TRIBES WHICH DO NOT EXERCISE THE OPTION PROVIDED BY SEC. 51.309

State or Tribe 2003 2004 2005 2006 2007 2008 2009 20101. Arizona...................................... 117,372 117,372 117,372 117,372 117,372 117,941 118,511 119,0802. California................................... 37,343 37,343 37,343 37,784 37,343 36,363 35,382 34,4023. Colorado..................................... 98,897 98,897 98,897 98,897 98,897 98,443 97,991 97,5374. Idaho........................................ 18,016 18,016 18,016 18,016 18,016 17,482 16,948 16,4145. Nevada....................................... 20,187 20,187 20,187 20,187 20,187 20,282 20,379 20,4746. New Mexico................................... 84,624 84,624 84,624 84,624 84,624 84,143 83,663 83,1827. Oregon....................................... 26,268 26,268 26,268 26,268 26,268 26,284 26,300 26,3168. Utah......................................... 42,782 42,782 42,782 42,782 42,782 42,795 42,806 42,8199. Wyoming...................................... 155,858 155,858 155,858 155,858 155,858 155,851 155,843 155,83610. Navajo Nation............................... 53,147 53,147 53,147 53,147 53,147 53,240 53,334 53,42711. Shoshone-Bannock Tribe of the Fort Hall Reservation............................... 4,994 4,994 4,994 4,994 ,994 4,994 4,994 4,99412. Ute Indian Tribe of the Uintah and Ouray Reservation............................. 1,129 1,129 1,129 1,129 1,129 1,131 1,133 1,13513. Wind River Reservation...................... 1,384 1,384 1,384 1,384 1,384 1,384 1,384 1,384

State or Tribe 2011 2012 2013 2014 2015 2016 2017 20181. Arizona...................................... 119,080 119,080 116,053 113,025 109,998 109,998 109,998 82,3022. California................................... 34,402 34,402 33,265 32,128 30,991 30,991 30,991 27,4913. Colorado..................................... 97,537 97,537 94,456 91,375 88,294 88,294 88,294 57,6754. Idaho........................................ 16,414 16,414 15,805 15,197 14,588 14,588 14,588 13,2275. Nevada....................................... 20,474 20,474 20,466 20,457 20,449 20,449 20,449 20,2326. New Mexico................................... 83,182 83,182 81,682 80,182 78,682 78,682 78,682 70,0007. Oregon....................................... 26,316 26,316 24,796 23,277 21,757 21,757 21,757 8,2818. Utah......................................... 42,819 42,819 41,692 40,563 39,436 39,436 39,436 30,7469. Wyoming...................................... 155,836 155,836 151,232 146,629 142,025 142,025 142,025 97,75810. Navajo Nation............................... 53,427 53,427 52,707 51,986 51,266 51,266 51,266 44,77211. Shoshone-Bannock Tribe of the Fort Hall Reservation............................ 4,994 4,994 4,994 4,994 4,994 4,994 4,994 4,994 12. Ute Indian Tribe of the Uintah and Ouray Reservation.............................. 1,135 1,135 1,135 1,135 1,135 1,135 1,135 1,135 13. Northern Arapaho and Shoshone Tribes of the Wind River Reservation.......…………………….. 1,384 1,384 1,384 1,384 1,384 1,384 1,384 1,384

(ii) Adjustment for Future Operation of Copper Smelters.

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(A) The plan must provide for adjustments to the milestones in the event that Phelps Dodge Hidalgo and/or BHP San Manuel resume operations or that other smelters increase their operations.

(B) The plan must provide for adjustments to the milestones according to Tables 3a and 3b except that if either the Hidalgo or San Manuel smelters resumes operation and is required to obtain a permit under 40 CFR 52.21 or 40 CFR 51.166, the adjustment to the milestone must be based upon the levels allowed by the permit. In no instance may the adjustment to the milestone be greater than 22,000 tons for the Phelps Dodge Hidalgo, greater than 16,000 tons for BHP San Manuel, or more than 30,000 tons for the combination of the Phelps Dodge Hidalgo and BHP San Manuel smelters for the years 2013 through 2018. Tables 3a and 3b follow:

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TABLE 3A.--ADJUSTMENTS TO THE MILESTONES FOR FUTURE OPERATIONS OF COPPER SMELTERS

Scenario If this happens… And this happens . . .. . . then you calculate the milestone by adding this amount to the values in column 3 of Table 1

1..................

2..................

3..................

4..................

5..................

6..................

7..................

8..................

Phelps Dodge Hidalgo resumes operation, but BHP San Manuel does not.

Phelps Dodge Hidalgo resumes operation, but BHP San Manuel does not.

BHP San Manuel Manuel resumes operation, but Phelps Dodge Hidalgo does not

BHP San Manuel resumes operation, but Phelps Dodge Hidalgo does not

Both Phelps Dodge Hidalgo and BHP San Manuel resume operations.

Both Phelps Dodge Hidalgo and BHP San Manuel resume operations.

Both Phelps Dodge Hidalgo and BHP San Manuel resumes operations.

Both Phelps Dodge Hidalgo and BHP San Manuel do not resume operations.

Phelps Dodge Hidalgo resumes production consistent with past operations and emissions.

Phelps Dodge Hidalgo resumes operation in a substantially different manner such that emissions will be less than for past operations (an example would be running only one portion of the plant to produce sulfur acid only).

BHP San Manuel resumes production consistent with past operations and emissions.

BHP San Manuel resumes operations in a substantially different manner such that emissions will be less than for past operations (an example would be running only one portion of the plant to produce sulfur acid only)

Both smelters resume production consistent with past operations and emissions.

Phelps Dodge Hidalgo resumes production consistent with past operations and emissions, but BHP San Manuel resumes operaion in a substantially different manner such that emissions will be less than for past operations (an example would be running only one portion of the plant to produce sulfur acid only).

BHP San Manuel resume production consistent with the past operations and emissions, ut Phelps Dodge Hidalgo resumes operations in a substantially different manner such that emissions will be less than for past operations (an example would be running only one portion of the plant to produce sulfur acid only).

……………………………………………………

A. Beginning with the year that production resumes, and for each year up to the year 2012, the milestone increases by:

(1) 22,000 tons PLUS(2) Any amounts identified in Table 3b.B. For the years 2013 through 2018, the

milestone increases by this amount or by 30,000 tons, whichever is less.

A. Beginning with the year that production resumes, and for each year up to the year 2012, the milestone increases by:

(1) Expected emissions for Phelps Dodge Hidalgo (not to exceed 22,000 tons). PLUS(2) Any amounts identified in Table 3b.B. For the years 2013 through 2018, the milestone increases by this amount or by 30,000 tons, whichever is less.A. 16,000 tons PLUSB. Any amounts identified in Table 3b.

A. Expected emissions for BHP (not to exceed 16,000 tons) PLUS

B. Any amounts identified in Table 3b.

A. Beginning with the year that production resumes, and for each year up to the year 2012, the milestone increase by 38,000 tons.B. For the years 2013 through 2018, the milestone increases by 30,000 tons.

A. For the year that production resumes, and for each year up to the year 2012, the milestone increases by:

(1) 22,000 PLUS(2) Expected emissions for San Manuel (not to

exceed 16,000 tons).B. For the years 2013 through 2018, the

milestone increases by this same amount, or by 30,000 tons, whichever is less.

A. For the year that production resumes, and for each year up to the year 2012, milestone increases by:(1) 16,000 PLUS(2) Expected Hidalgo emissions (not to exceed 22,000 tons).B. For the years 2013 through 2018, the milestone increases by this same amount, or by 30,000 tons, whichever is less.A. Any amounts identified in Table 3b.

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TABLE 3B.—ADJUSTMENTS FOR CERTAIN COPPER SMELTERS WHICH OPERATE ABOVE BASELINE LEVELS[In tons]

Where it applies in table 3a, if the following smelter . . .

Complies with existing permits but has actual annual emissions that exceed the following baseline level . . .

. . . the milestone increases by the difference between actual emissions and the baseline level, or the following amount, whichever is less

Asarco Hayden………………………………………………………………………………………………… BHP San Manuel………………………………………………………………………………………………Kennecott Salt Lake…………………………………………………………………………………………Phelps Dodge Chino…………………………………………………………………………………………Phelps Dodge Hidalgo………………………………………………………………………………………Phelps Dodge Miami…………………………………………………………………………………………

23,00016,0001,00016,00022,0008,000

3,0001.500100

3,0004,0002,000

(iii) Adjustments for changes in emission monitoring or calculation methods. The plan must provide for adjustments to the milestones to reflect changes in sulfur dioxide emission monitoring or measurement methods for a source that is included in the program, including changes identified under paragraph (h)(2)(iii)(D) of this section. Any such adjustment based upon changes to emissions monitoring or measurement methods must be made in the form of an implementation plan revision that complies with the procedural requirements of Sec. 51.102 and Sec. 51.103. The implementation plan revision must be submitted to the Administrator no later than the first due date for a periodic report under paragraph (d)(10) of this section following the change in emission monitoring or measurement method.

(iv) Adjustments for changes in flow rate measurement methods for affected sources under 40 CFR 72.1. For the years between 2003 and 2017, the implementation plan must provide for adjustments to the milestones for sources using the methods contained in 40 CFR part 60, appendix A, Methods 2F, 2G, and 2H. For any year for which such an adjustment has not yet been made to the milestone, the implementation plan must provide for an adjustment to the emissions reporting to ensure consistency. The implementation plan must provide for adjustments to the milestones by no later than the date of the periodic plan revision required under Sec. 51.309(d)(10).

(v) Adjustments due to enforcement actions arising from settlements. The implementation plan must provide for adjustments to the milestones, as specified in paragraph (h)(1)(vii) and (viii) of this section, if:

(A) An agreement to settle an action, arising from allegations of a failure of an owner or operator of an emissions unit at a source in the program to comply with applicable regulations which were in effect during the base year, is reached between the parties to the action; (B) The alleged failure to comply with applicable regulations affects the assumptions that were used in calculating the source's base year and forecasted sulfur dioxide emissions; and (C) The settlement includes or recommends an adjustment to the milestones.

(vi) Adjustments due to enforcement actions arising from administrative or judicial orders. The implementation plan must also provide for adjustments to the milestones as directed by any final administrative or judicial order, as specified in paragraph (h)(1)(vii) and (viii) of this section. Where the final administrative or judicial order does not include a reforecast of the source's baseline, the State or Tribe shall evaluate whether a reforecast of the source's baseline emissions is appropriate. (vii) Adjustments for enforcement actions. The plan must provide that, based on paragraph (h)(1)(v) and (vi) of this section, the milestone must be decreased by an appropriate amount based on a reforecast of the source's decreased sulfur dioxide emissions. The adjustments do not become effective until after

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the source has reduced its sulfur dioxide emissions as required in the settlement agreement, or administrative or judicial order. All adjustments based upon enforcement actions must be made in the form of an implementation plan revision that complies with the procedural requirements of Secs. 51.102 and 51.103.

(viii) Documentation of adjustments for enforcement actions. In the periodic plan revision required under 51.309(d)(10), the State or Tribe shall include the following documentation of any adjustment due to an enforcement action:

(A) Identification of each source under the State or Tribe's jurisdiction which has reduced sulfur dioxide emissions pursuant to a settlement agreement, or an administrative or judicial order; (B) For each source identified, a statement indicating whether the milestones were adjusted in response to the enforcement action; (C) Discussion of the rationale for the State or Tribe's decision to adjust or not to adjust the milestones; and (D) If extra SO2 emissions reductions (over and above those reductions needed for compliance with the applicable regulations) were part of an agreement to settle an action, a statement indicating whether such reductions resulted in any adjustment to the milestones or allowance allocations, and a discussion of the rationale for the State or Tribe's decision on any such adjustment.

(ix) Adjustment based upon program audits. The plan must provide for appropriate adjustments to the milestones based upon the results of program audits. Any such adjustment based upon audits must be made in the form of an implementation plan revision that complies with the procedural requirements of Secs. 51.102 and 51.103. The implementation plan revision must be submitted to the Administrator no later than the first due date after the audit for a periodic report under paragraph (d)(10) of this section.

(x) Adjustment for individual sources opting into the program. The plan may provide for adjustments to the milestones for any source choosing to participate in the program even though the source does not meet the 100 tons per year criterion for inclusion. Any such adjustments must be made in the form of an implementation plan revision that complies with the procedural requirements of Secs. 51.102 and 51.103.

(2) Requirements for monitoring, recordkeeping and reporting of actual annual emissions of sulfur dioxide--(i) Sources included in the program. The implementation plan must provide for annual emission monitoring and reporting, beginning with calendar year 2003, for all sources with actual emissions of sulfur dioxide of 100 tons per year or more as of 2003, and all sources with actual emissions of 100 tons or more per year in any subsequent year. States and Tribes may include other sources in the program, if the implementation plan provides for the same procedures and monitoring as for other sources in a way that is federally enforceable.

(ii) Documentation of emissions calculation methods. The implementation plan must provide documentation of the specific methodology used to calculate emissions for each emitting unit included in the program during the base year. The implementation plan must also provide for documentation of any change to the specific methodology used to calculate emissions at any emitting unit for any year after the base year.

(iii) Recordkeeping. The implementation plan must provide for the retention of records for at least 10 years from the establishment of the record. If a record will be the basis for an adjustment to the milestone as provided for in paragraph (h)(1) of this section, that record must be retained for at least 10 years from the establishment of the record, or 5 years after the date of the implementation plan revision which reflects the adjustment, whichever is longer. (iv) Completion and submission of emissions reports. The implementation plan must provide for the annual collection of emissions data for sources included within the program, quality assurance of the data, public review of the data, and submission of emissions reports to the Administrator and to each State and Tribe which has submitted an implementation plan under this section. The implementation plan must provide for submission of the emission reports by no later than September 30 of each year, beginning with reports due September 30, 2004

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for emissions from calendar year 2003. For sources for which changes in emission quantification methods require adjustments under paragraph (h)(1)(iii) of this section, the emissions reports must reflect the method in place before the change, for each year until the milestone has been adjusted. If each of the States which have submitted an implementation plan under this section have identified a regional planning organization to coordinate the annual comparison of regional SO2 emissions against the appropriate milestone, the implementation plan must provide for reporting of this information to the regional planning body. (v) Exceptions reports. The emissions report submitted by each State and Tribe under paragraph (h)(2)(ii) of this section must provide for exceptions reports containing the following:

(A) Identification of any new or additional sulfur dioxide sources greater than 100 tons per year that were not contained in the previous year emissions report; (B) Identification of sources shut down or removed from the previous year emissions report; (C) Explanation for emissions variations at any covered source that exceed plus or minus 20 percent from the previous year's emissions report; (D) Identification and explanation of changed emissions monitoring and reporting methods at any source. The use of any changed emission monitoring or reporting methods requires an adjustment to the milestones according to paragraph (h)(1)(iii) of this section.

(vi) Reporting of emissions for the Mohave Generating Station for the years 2003 through 2006. For the years 2003, 2004, 2005, and for any part of the year 2006 before installation and operation of sulfur dioxide controls at the Mohave Generating Station, emissions from the Mohave Generating Station will be calculated using a sulfur dioxide emission factor of 0.15 pounds per million BTU.

(vii) Special provision for the year 2013. The implementation plan must provide that in the emissions report for calendar year 2012, which is due by September 30, 2013 under paragraph (h)(2)(iv) of this section, each State has the option of including calendar year 2018 emission projections for each source, in addition to the actual emissions for each source for calendar year 2012.

(3) Annual comparison of emissions to the milestone. (i) The implementation plan must provide for a comparison each year of annual SO2 emissions for the region against the appropriate milestone. In making this comparison, the State or Tribe must make the comparison, using its annual emissions report and emissions reports from other States and Tribes reported under paragraph (h)(2)(iv) of this section.

(ii) The implementation plan must provide for the State or Tribe to make available to the public a draft report comparing annual emissions to the milestone by December 31 of each year. The first draft report, comparing annual emissions in 2003 to the year 2003 milestone will be due December 31, 2004.

(iii) The implementation plan must provide for the State or Tribe to submit to the Administrator a final determination of annual emissions by March 31 of the following year. The final determination must state whether or not the annual emissions for the year exceed the appropriate milestone.

(iv) A State or Tribe may delegate its responsibilities to prepare draft reports and reports supporting the final determinations under paragraphs (h)(3)(i) through (iii) of this section to a regional planning organization designated by each State or Tribe submitting an approvable plan under this section.

(v) Special considerations for year 2012 report. If each State or Tribe submitting an approvable plan under this section has included calendar year 2018 emission projections under paragraph (h)(2)(vii) of this section, then the report for the year 2012 milestone which is due by December 31, 2013 under paragraph (h)(3)(ii) of this section may also include a comparison of the regional year 2018 emissions projection with the milestone for calendar year 2018. If the report indicates

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that the year 2018 milestone will be exceeded, then the State or Tribe may choose to implement the market trading program beginning in the year 2018, if each State or Tribe submitting an approvable plan under this section agrees.

(vi) Independent review. The implementation plan must provide for reviews of the annual emissions reporting program by an independent third party. This independent review is not required if a determination has been made under paragraph (h)(3)(iii) of this section to implement the market trading program. The independent review shall be completed by the end of 2006, and every 5 years thereafter, and shall include an analysis of:

(A) The uncertainty of the reported emissions data; (B) Whether the uncertainty of the reported emissions data is likely to have an adverse impact on the annual determination of emissions relative to the milestone; and, (C) Whether there are any necessary improvements for the annual administrative process for collecting the emissions data, reporting the data, and obtaining public review of the data.

(4) Market trading program. The implementation plan must provide for implementation of a market trading program if the determination required by paragraph (h)(3)(iii) of this section indicates that a milestone has been exceeded. The implementation plan must provide for the option of implementation of a market trading program if a report under paragraph (h)(3)(v) of this section indicates that projected emissions for the year 2018 will exceed the year 2018 milestone. The implementation plan must provide for a market trading program whose provisions are substantively the same for each State or Tribe submitting an approvable plan under this section. The implementation plan must include the following market trading program provisions:

(i) Allowances. For each source in the program, the implementation plan must either identify the specific allocation of allowances, on a tons per year basis, for each calendar year from 2009 to 2018 or the formula or methodology that will be used to calculate the allowances if the program is triggered. The implementation plan must provide that eligible renewable energy resources that begin operation after October 1, 2000 will receive 2.5 tons of SO2 allowances per megawatt of installed nameplate capacity per year. Allowance allocations for renewable energy resources that begin operation prior to the program trigger will be retroactive to the time of initial operation. The implementation plan may provide for an upper limit on the number of allowances provided for eligible renewable energy resources. The total of the tons per year allowances across all participating States and Tribes, including the renewable energy allowances, may not exceed the amounts in Table 4 of this paragraph, less a 20,000 ton amount that must be set aside for use by Tribes. The implementation plan may include procedures for redistributing the allowances in future years, if as the amounts in Table 4 of this paragraph, less a 20,000 ton amount, are not exceeded. The implementation plan must provide that any adjustment for a calendar year applied to the milestones under paragraphs (h)(1)(i) through (vii) of this section must also be applied to the amounts in Table 4. Table 4 follows:

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Table 4.--Total Amount of Allowances by Year

For this year:

If the two smelters resume operations, the total number of allowances issued by States and Tribes may not exceed this amount:

If the two smelters do not resume operations, the total number of allowances issued by States and Tribes may not exceed this amount:

2009………………………………………………………………2010………………………………………………………………2011………………………………………………………………2012………………………………………………………………2013………………………………………………………………2014………………………………………………………………2015………………………………………………………………2016………………………………………………………………2017………………………………………………………………2018………………………………………………………………

715,000715,000715,000715,000655,000655,000655,000655,000655,000510,000

677,000677,000677,000677,000625,000625,000625,000625,000625,000480,000

(ii) Compliance with allowances. The implementation plan must provide that, beginning with the compliance period 6 years following the calendar year for which emissions exceeded the milestone and for each compliance period thereafter, the owner or operator of each source in the program must hold allowances for each ton of sulfur dioxide emitted by the source.

(iii) Emissions quantification protocols. The implementation plan must include specific emissions quantification protocols for each source category included within the program, including the identification of sources subject to part 75 of this chapter. For sources subject to part 75 of this chapter, the implementation plan may rely on the emissions quantification protocol in part 75. For source categories with sources in more than one State or tribal area submitting an implementation plan under this section, each State or Tribe should use the same protocol to quantify emissions for sources in the source category. The protocols must provide for reliability (repeated application obtains results equivalent to EPA-approved test methods), and replicability (different users obtain the same or equivalent results that are independently verifiable). The protocols must include procedures for addressing missing data, which provide for conservative calculations of emissions and provide sufficient incentives for sources to comply with the monitoring provisions. If the protocols are not the same for sources within a given source category, and where the protocols are not based upon part 75 or equivalent methods, the State or Tribes must provide a demonstration that each such protocol meets all of the criteria of this paragraph.

(iv) Monitoring and Recordkeeping. The implementation plan must include monitoring provisions which are consistent with the emissions quantification protocol. Monitoring required by these provisions must be timely and of sufficient frequency to ensure the enforceability of the program. The implementation plan must also include requirements that the owner or operator of each source in the program keep records consistent with the emissions quantification protocols, and keep all records used to determine compliance for at least 5 years. For source owners or operators which use banked allowances, all records relating to the banked allowance must be kept for at least 5 years after the banked allowances are used.

(v) Tracking system. The implementation plan must provide for submitting data to a centralized system for the tracking of allowances and emissions. The implementation plan must provide that all necessary information regarding emissions, allowances, and transactions is publicly available in a secure, centralized data base. In the system, each allowance must be uniquely identified. The system must allow for frequent updates and include enforceable procedures for recording data.

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(vi) Authorized account representative. The implementation plan must include provisions requiring the owner or operator of each source in the program to identify an authorized account representative. The implementation plan must provide that all matters pertaining to the account, including, but not limited to, the deduction and transfer of allowances in the account, and certifications of the completeness and accuracy of emissions and allowances transactions required in the annual report under paragraph (h)(4)(vii) of this section shall be undertaken only by the authorized account representative.

(vii) Annual report. The implementation plan must include provisions requiring the authorized account representative for each source in the program to demonstrate and report within a specified time period following the end of each calendar year that the source holds allowances for each ton per year of SO2 emitted in that year. The implementation plan must require the authorized account representative to submit the report within 60 days after the end of each calendar year, unless an alternative deadline is specified consistent with emission monitoring and reporting procedures.

(viii) Allowance transfers. The implementation plan must include provisions detailing the process for transferring allowances between parties.

(ix) Emissions banking. The implementation plan may provide for the banking of unused allowances. Any such provisions must state whether unused allowances may be kept for use in future years and describe any restrictions on the use of any such allowances. Allowances kept for use in future years may be used in calendar year 2018 only if the implementation plan ensures that such allowances would not interfere with the achievement of the year 2018 amount in Table 4 in paragraph (c)(4)(i) of this section.

(x) Penalties. The implementation plan must:

(A) Provide that if emissions from a source in the program exceed the allowances held by the source, the source's allowances will be reduced by an amount equal to two times the source's tons of excess emissions, (B) Provide for appropriate financial penalties for excess emissions, either $5000 per ton (year 2000 dollars) or an alternative amount that is the same for each participating State and Tribe and that substantially exceeds the expected cost of allowances, (C) Ensure that failure to comply with any program requirements (including monitoring, recordkeeping, and reporting requirements) are violations which are subject to civil and criminal remedies provided under applicable State or tribal law and the Clean Air Act, that each day of the control period is a separate violation, and that each ton of excess emissions is a separate violation. Any allowance reduction or penalty assessment required under paragraphs (h)(4)(x)(A) and (B) of this section shall not affect the liability of the source for remedies under this paragraph.

(xi) Provisions for periodic evaluation of the trading program. The implementation plan must provide for an evaluation of the trading program no later than 3 years following the first full year of the trading program, and at least every 5 years thereafter. Any changes warranted by the evaluation should be incorporated into the next periodic implementation plan revision required under paragraph (d)(10) of this section. The evaluation must be conducted by an independent third party and must include an analysis of:

(A) Whether the total actual emissions could exceed the values in Sec. 51.309(h)(4)(i), even though sources comply with their allowances; (B) Whether the program achieved the overall emission milestone it was intended to reach; (C) The effectiveness of the compliance, enforcement and penalty provisions; (D) A discussion of whether States and Tribes have enough resources to implement the trading program; (E) Whether the trading program resulted in any unexpected beneficial effects, or any unintended detrimental effects; (F) Whether the actions taken to reduce sulfur dioxide have led to any unintended increases in other pollutants; (G) Whether there are any changes needed in emissions monitoring and reporting protocols, or in the administrative procedures for program administration and tracking; and

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(H) The effectiveness of the provisions for interstate trading, and whether there are any procedural changes needed to make the interstate nature of the program more effective.

(5) Other provisions--(i) Permitting of affected sources. The implementation plan must provide that for sources subject to part 70 or part 71 of this chapter, the implementation plan requirements for emissions reporting and for the trading program under paragraph (h) of this section must be incorporated into the part 70 or part 71 permit. For sources not subject to part 70 or part 71 of this chapter, the requirements must be incorporated into a permit that is enforceable as a practical matter by the Administrator, and by citizens to the extent permitted under the Clean Air Act.

(ii) Integration with other programs. The implementation plan must provide that in addition to the requirements of paragraph (h) of this section, any applicable restrictions of Federal, State, and tribal law remain in place. No provision of paragraph (h) of this section should be interpreted as exempting any source from compliance with any other provision of Federal, State, tribal or local law, including an approved implementation plan, a Federally enforceable permit, or any other Federal regulations.

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1. Section 309(f). The following is the rule language related to the Annex.

(f) Annex to the Commission Report.

(1) A Transport Region State may choose to comply with the provisions of this section and by doing so shall satisfy the requirements of §51.308(b)-(e) only if the Grand Canyon Visibility Transport Commission (or a regional planning body formed to implement the Commission recommendations) submits a satisfactory annex to the Commission Report no later than October 1, 2000. To be satisfactory, the Annex must contain the following elements:

(i) The annex must contain quantitative emissions milestones for stationary source sulfur dioxide emissions for the reporting years 2003, 2008, 2013 and 2018. The milestones must provide for steady and continuing emissions reductions for the 2003-2018 time period consistent with the Commission's definition of reasonable progress, its goal of 50 to 70 percent reduction in sulfur dioxide emissions from 1990 actual emission levels by 2040, applicable requirements under the CAA, and the timing of implementation plan assessments of progress and identification of deficiencies which will be due in the years 2008, 2013, and 2018. The milestones must be shown to provide for greater reasonable progress than would be achieved by application of best available retrofit technology (BART) pursuant to Sec. 51.308(e)(2) and would be approvable in lieu of BART.

(2) The Commission may elect, at the same time it submits the annex, to make recommendations intended to demonstrate reasonable progress for other mandatory Class I areas (beyond the original 16) within the Transport Region States, including the technical and policy justification for these additional mandatory Class I Federal areas in accordance with the provisions of §51.309(g).

(3) The EPA will publish the annex upon receipt. If EPA finds that the annex meets the requirements of paragraph (f)(1) of this section and assures reasonable progress, then, after public notice and comment, EPA will amend the requirements of this section to incorporate the provisions of the annex. If EPA finds that the annex does not meet the requirements of paragraph (f)(1) of this section, or does not assure reasonable progress, or if EPA finds that the annex is not received, then each Transport Region State must submit an implementation plan for regional haze meeting all of the requirements of Sec. 51.308.

(4) In accordance with the provisions under §51.309(f)(1), the annex may include a geographic enhancement to the program provided for in §51.309(d)(4) to address the requirement under §51.302(c) related to Best Available Retrofit Technology for reasonably attributable impairment from the pollutants covered by the milestones or the backstop market trading program. The geographic enhancement program may include an appropriate level of reasonably attributable impairment which may require additional emission reductions over and above those achieved under the milestones defines in §51.309(f)(1)(i).

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Appendix N: General Definitions in the Regional Haze Rule

The following are definitions from 40 CFR § 301 and 40 CFR § 309 that states may want to incorporate into their Section 309 regional haze implementation plans.

Applicable definitions in Section 51.301:

1. BART-eligible source means an existing stationary facility as defined in this section.

2. Best Available Retrofit Technology (BART) means an emission limitation based on the degree of reduction achievable through the application of the best system of continuous emission reduction for each pollutant which is emitted by an existing stationary facility. The emission limitation must be established, on a case-by-case basis, taking into consideration the technology available, the costs of compliance, the energy and nonair quality environmental impacts of compliance, any pollution control equipment in use or in existence at the source, the remaining useful life of the source, and the degree of improvement in visibility which may reasonably be anticipated to result from the use of such technology.

3. Deciview means a measurement of visibility impairment. A deciview is a haze index derived from calculated light extinction, such that uniform changes in haziness correspond to uniform incremental changes in perception across the entire range of conditions, from pristine to highly impaired. The deciview haze index is calculated based on the following equation (for the purposes of calculating deciview, the atmospheric light extinction coefficient must be calculated from aerosol measurements):

Deciview haze index = 10 1ne (bext/10 Mm-1).Where bext = the atmospheric light extinction coefficient, expressed in inverse megameters (Mm-1).

4. Existing stationary facility means any of the following stationary sources of air pollutants, including any reconstructed source, which was not in operation prior to August 7, 1962, and was in existence on August 7, 1977, and has the potential to emit 250 tons per year or more of any air pollutant. In determining potential to emit, fugitive emissions, to the extent quantifiable, must be counted.

Fossil-fuel fired steam electric plants of more than 250 million British thermal units per hour heat input,Coal cleaning plants (thermal dryers),Kraft pulp mills,Portland cement plants,Primary zinc smelters,Iron and steel mill plants,Primary aluminum ore reduction plants,Primary copper smelters,Municipal incinerators capable of charging more than 250 tons of refuse per day,Hydrofluoric, sulfuric, and nitric acid plants,Petroleum refineries,Lime plants,Phosphate rock processing plants,Coke oven batteries,

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Sulfur recovery plants,Carbon black plants (furnace process),Primary lead smelters,Fuel conversion plants,Sintering plants,Secondary metal production facilities,Chemical process plants,Fossil-fuel boilers of more than 250 million British thermal units per hour heat input,Petroleum storage and transfer facilities with a capacity exceeding 300,000 barrels,Taconite ore processing facilities,Glass fiber processing plants, andCharcoal production facilities.

5. Federal Class I area means any Federal land that is classified or reclassified Class I.

6. Federal Land Manager means the Secretary of the department with authority over the Federal Class I area (or the Secretary's designee) or, with respect to Roosevelt-Campobello International Park, the Chairman of the Roosevelt-Campobello International Park Commission.

7. Federally enforceable means all limitations and conditions which are enforceable by the Administrator under the Clean Air Act including those requirements developed pursuant to parts 60 and 61 of this title, requirements within any applicable State Implementation Plan, and any permit requirements established pursuant to Sec. 52.21 of this chapter or under regulations approved pursuant to part 51, 52, or 60 of this title.

8. Implementation plan means, for the purposes of this part, any State Implementation Plan, Federal Implementation Plan, or Tribal Implementation Plan.

9. Indian tribe or tribe means any Indian tribe, band, nation, or other organized group or community, including any Alaska Native village, which is federally recognized as eligible for the special programs and services provided by the United States to Indians because of their status as Indians.

10. In existence means that the owner or operator has obtained all necessary preconstruction approvals or permits required by Federal, State, or local air pollution emissions and air quality laws or regulations and either has (1) begun, or caused to begin, a continuous program of physical on-site construction of the facility or (2) entered into binding agreements or contractual obligations, which cannot be cancelled or modified without substantial loss to the owner or operator, to undertake a program of construction of the facility to be completed in a reasonable time.

11. Least impaired days means the average visibility impairment (measured in deciviews) for the twenty percent of monitored days in a calendar year with the lowest amount of visibility impairment.

12. Major stationary source and major modification mean major stationary source and major modification, respectively, as defined in Sec. 51.166.

13. Mandatory Class I Federal Area means any area identified in part 81, subpart D of this title.

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14. Most impaired days means the average visibility impairment (measured in deciviews) for the twenty percent of monitored days in a calendar year with the highest amount of visibility impairment.

15. Natural conditions includes naturally occurring phenomena that reduce visibility as measured in terms of light extinction, visual range, contrast, or coloration.

16. Potential to emit means the maximum capacity of a stationary source to emit a pollutant under its physical and operational design. Any physical or operational limitation on the capacity of the source to emit a pollutant including air pollution control equipment and restrictions on hours of operation or on the type or amount of material combusted, stored, or processed, shall be treated as part of its design if the limitation or the effect it would have on emissions is federally enforceable. Secondary emissions do not count in determining the potential to emit of a stationary source.

17. Reasonably attributable means attributable by visual observation or any other technique the State deems appropriate.

18. Reasonably attributable visibility impairment means visibility impairment that is caused by the emission of air pollutants from one, or a small number of sources.

19. Regional haze means visibility impairment that is caused by the emission of air pollutants from numerous sources located over a wide geographic area. Such sources include, but are not limited to, major and minor stationary sources, mobile sources, and area sources.

20. State means ``State'' as defined in section 302(d) of the CAA.

21. Stationary Source means any building, structure, facility, or installation which emits or may emit any air pollutant.

22. Visibility impairment means any humanly perceptible change in visibility (light extinction, visual range, contrast, coloration) from that which would have existed under natural conditions.

Definitions in Section 51.309:

1. 16 Class I areas means the following mandatory Class I Federal areas on the Colorado Plateau: Grand Canyon National Park, Sycamore Canyon Wilderness, Petrified Forest National Park, Mount Baldy Wilderness, San Pedro Parks Wilderness, Mesa Verde National Park, Weminuche Wilderness, Black Canyon of the Gunnison Wilderness, West Elk Wilderness, Maroon Bells Wilderness, Flat Tops Wilderness, Arches National Park, Canyonlands National Park, Capital Reef National Park, Bryce Canyon National Park, and Zion National Park.

2. Transport Region State means one of the States that is included within the Transport Region addressed by the Grand Canyon Visibility Transport Commission (Arizona, California, Colorado, Idaho, Nevada, New Mexico, Oregon, Utah, and Wyoming).

3. Commission Report means the report of the Grand Canyon Visibility Transport Commission entitled ``Recommendations for Improving Western Vistas,'' dated June 10, 1996.

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4. Fire means wildfire, wildland fire (including prescribed natural fire), prescribed fire, and agricultural burning conducted and occurring on Federal, State, and private wildlands and farmlands.

5. Milestone means the maximum level of annual regional sulfur dioxide emissions for a given year, assessed annually consistent with paragraph (h)(2) of this section beginning in the year 2003.

6. Mobile Source Emission Budget means the lowest level of VOC, NOx, SO2, elemental and organic carbon, and fine particles which are projected to occur in any area within the transport region from which mobile source emissions are determined to contribute significantly to visibility impairment in any of the 16 Class I areas.

7. Geographic enhancement means a method, procedure, or process to allow a broad regional strategy, such as a milestone or backstop market trading program designed to achieve greater reasonable progress than BART for regional haze, to accommodate BART for reasonably attributable impairment.

8. BHP San Manuel means: (i) The copper smelter located in San Manuel, Arizona which operated during 1990, but whose operations were suspended during the year 2000, (ii) The same smelter in the event of a change of name or ownership.

9. Phelps Dodge Hidalgo means: (i) The copper smelter located in Hidalgo, New Mexico which operated during 1990, but whose operations were suspended during the year 2000, (ii) The same smelter in the event of a change of name or ownership.

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Appendix O: Western Backstop SO2 Trading Program - Model Rule. (See Section C, Stationary Sources.)

Note of Special Interest: At the time that the RH TIP Template was developed, the EPA was reviewing State 309 SIPs. The EPA has not yet determined if states deviated from the Model SIP/TIP and Model Rule for the backstop trading program. Depending on the final outcome, it is unknown whether these changes would need to be incorporated into this template. Because of this, the tribe should check with their Regional EPA Office to determine if any changes were made to the backstop trading program that are different than what was included here.

NOTE: This is the 8/13/03 final version, prepared by the WESTAR Model Rule/MOU Working Group.

[The following document is a model rule to implement regional SO2 milestones and a backstop trading program in accordance with section 309 of the regional haze rule. The regional haze rule establishes the mandatory requirements that must be met by a state implementation plan and establishes provisions that potentially may be used in a tribal implementation plan. This model rule was developed through the broad stakeholder process of the WRAP as a template to facilitate consistent, multi-jurisdictional implementation of section 309. The template does not establish the only acceptable way to implement section 309, but it does have the benefit of extensive review and discussion by the many stakeholders involved in the WRAP process, including EPA review and comment. A state or tribe that develops alternate language will need to demonstrate to the other participating states and tribes and EPA that their plan and accompanying rules will respect the sovereignty of other participating states and tribes; satisfies the regional haze rule; be enforceable; be consistent with the emissions and allowance tracking provisions and trading provisions in implementation plans developed by other participating states and tribes; and be administratively practicable.]

Western Backstop SO2 Trading Program Model Rule

August 13, 2003 (final draft)

[Note: This Model Rule covers only the post-trigger phase of the Western Backstop SO2 Trading Program (“WEB Trading Program”). The Model SIP/TIP covers both the pre-trigger and post-trigger phases of the program, and is known as the SO2 Milestones and Backstop Trading Program. The Model SIP/TIP and the Model Rule should be reviewed together in order to fully understand the complete WEB Trading Program. As each participating 309 State develops its state’s rule, care should be taken to include or reference any local or delegated authority that may have responsibilities under the state’s rule (most notably – local governmental units with Title V permitting authority). Delegation agreements should be examined for any relevant revisions necessary to assure the program is conducted as the rule specifies.]

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A. Purpose

1. This Rule implements the Western Backstop SO2 Trading Program (“WEB Trading Program”) provisions required under the federal Regional Haze Rule, 40 CFR 51.309, and [state or tribe]’s Regional Haze Implementation Plan.

2. Nothing in this Rule waives any requirement otherwise in effect or subsequently required under another program, including Rules governing new sources.

B. Definitions

The definitions in this part apply only to this Rule:

Account Certificate of Representation means the completed and signed submission required to designate an Account Representative for a WEB source or an Account Representative for a general account.

Account Representative means the individual who is authorized through an Account Certificate of Representation to represent owners and operators of the WEB source with regard to matters under the WEB Trading Program or, for a general account, who is authorized through an Account Certificate of Representation to represent the persons having an ownership interest in allowances in the general account with regard to matters concerning the general account.

Act means the federal Clean Air Act, as amended, 42 U.S.C. 7401, et seq.

Actual Emissions means total annual sulfur dioxide emissions determined in accordance with Section I of this Rule, or determined in accordance with [refer to state or tribal inventory rule] for sources that are not subject to Section I of this Rule.

Allocate means to assign allowances to a WEB source through section C1 of the Implementation Plan.

Allowance means the limited authorization under the WEB Trading Program to emit one ton of SO2 during a specified control period or any control period thereafter subject to the terms and conditions for use of unused allowances as established by this Rule.

Allowance limitation means the tonnage of SO2 emissions authorized by the allowances available for compliance deduction for a WEB source for a control period under Section L1 of this Rule on the allowance transfer deadline for that control period.

Emissions and Allowance Tracking System means the system developed by [state or tribe] where allowances under the WEB Trading Program are recorded, held, transferred and deducted.

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Emissions and Allowance Tracking System account means an account in the Emissions and Allowance Tracking System established for purposes of recording, holding, transferring, and deducting allowances.

Allowance transfer deadline means the deadline established in Section J.2 of the Model Rule when allowances must be submitted for recording in a WEB source’s compliance account in order to demonstrate compliance for that control period.

Compliance account means an account established in the Emissions and Allowance Tracking System under Section H1 of this Rule for the purpose of recording allowances that a WEB source might hold to demonstrate compliance with its allowance limitation.

Compliance certification means a submission to [state or tribe] by the Account Representative as required under Section L2 of this Rule to report a WEB source’s compliance or noncompliance with this Rule.

Control period means the period beginning January 1 of each year and ending on December 31 of the same year, inclusive.

Emissions tracking database means the central database where SO2 emissions for WEB sources as recorded and reported in accordance with this Rule are tracked to determine compliance with allowance limitations.

Emission unit means any part of a stationary source that emits or would have the potential to emit any pollutant submitted to regulations under the Clean Air Act.

Existing source means, a stationary source that commenced operation before the Program Trigger Date.

Fugitive emissions are those emissions that could not reasonably pass through a stack, chimney, vent, or other functionally equivalent opening.

General account means an account established in the Emissions and Allowance Tracking System under Section H of this Rule for the purpose of recording allowances held by a person that are not to be used to show compliance with an allowance limitation.

Milestone means the maximum level of stationary source regional sulfur dioxide emissions for each year from 2003 to 2018, established according to the procedures in Section A of the SO2 Milestones and Backstop Trading Program Implementation Plan.

New WEB Source means a WEB source that commenced operation on or after the Program Trigger Date.

New Source Set-aside means a pool of allowances that are available for allocation to new sources in accordance with the provisions of Section C1.3 of the SO2 Milestones and Backstop Trading Program Implementation Plan.

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Owner or operator means any person who is an owner or who operates, controls or supervises a WEB source, and includes but is not be limited to any holding company, utility system or plant manager.

Potential to emit means the maximum capacity of a stationary source to emit any air pollutant under its physical and operational design. Any physical or operational limitation on the capacity of a source to emit an air pollutant, including air pollution control equipment and restrictions on hours of operation or on the type or amount of material combusted, stored or processed, shall be treated as part of its design if the limitation is enforceable by the EPA Administrator.

Program trigger date means the date that [state or tribe] determines that the WEB Trading Program has been triggered in accordance with the provisions of Section A2 of the SO2

Milestones and Backstop Trading Program Implementation Plan.

Program trigger years means the years shown in Table 1, column 3, of the SO2 Milestones and Backstop Trading Program Implementation Plan for the applicable milestone if the WEB Trading Program is triggered as described in Section A of the SO2 Milestones and Backstop Trading Program Implementation Plan.

Renewable Energy Resource means a resource that generates electricity by non-nuclear and non-fossil technologies that results in low or no air emissions. The term includes electricity generated by wind energy technologies; solar photovoltaic and solar thermal technologies; geothermal technologies; technologies based on landfill gas and biomass sources, and new low-impact hydropower that meets the Low-Impact Hydropower Institute criteria. Biomass includes agricultural, food and wood wastes. The term does not include pumped storage or biomass from municipal solid waste, black liquor, or treated wood.

Retired source means a WEB source that has received a retired source exemption as provided in Section D3 of this Rule. Any retired source resuming operations under D3(d) of this Rule, must submit its exemption as part of its registration materials.

Serial number means, when referring to allowances, the unique identification number assigned to each allowance by the Tracking Systems Administrator, in accordance with Section G2.

SO2 emitting unit means any equipment that is located at a WEB source and that emits SO2.

Stationary source means any building, structure, facility or installation that emits or may emit any air pollutant subject to regulation under the Clean Air Act.

Submit means sent to the appropriate authority under the signature of the Account Representative. For purposes of determining when something is submitted, an official U.S. Postal Service postmark, or equivalent electronic time stamp, shall establish the date of submittal.

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Ton means 2000 pounds and, for any control period, any fraction of a ton equaling 1000 pounds or more shall be treated as one ton and any fraction of a ton equaling less than 1000 pounds shall be treated as zero tons.

Tracking System Administrator means the person designated by [state or tribe] as the administrator of the Emissions and Allowance Tracking System and the emission tracking database.

WEB source means a stationary source that meets the applicability requirements of Section D of this Rule.

Western Backstop SO2 Trading Program (“WEB Trading Program”) refers to this Rule, triggered as a backstop in accordance with the provisions in the SO2 Milestones and Backstop Trading Program Implementation Plan, if necessary, to ensure that regional SO2 emissions are reduced.

C. WEB Trading Program Trigger

1. Except as provided in C2, this Rule shall become effective on the program trigger date that is established in accordance with the procedures outlined in the SO2 Milestones and Backstop Trading Program Implementation Plan.

2. Section M of this Rule, Special Penalty Provisions for Year 2018, shall become effective on January 1, 2018 and shall remain effective until the provisions of section M have been fully implemented.

D. WEB Trading Program Applicability

1. General Applicability

This Rule applies to any stationary source or group of stationary sources that are located on one or more contiguous or adjacent properties and which are under the control of the same person or persons under common control, belonging to the same industrial grouping, and that are described in paragraphs (a) through (d) of this subsection. A stationary source or group of stationary sources shall be considered part of a single industrial grouping if all of the pollutant emitting activities at such source or group of sources on contiguous or adjacent properties belong to the same Major Group (i.e., all have the same two-digit code) as described in the Standard Industrial Classification Manual, 1987.

The following are WEB sources:

(a) All BART-eligible sources as defined in 40 CFR 51.301 that are BART-eligible due to SO2 emissions.

(b) All stationary sources not meeting the criteria of D1(a) of this Rule that have actual SO2 emissions of 100 tons or more per year in the Program Trigger Years or any

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subsequent year. The fugitive emissions of a stationary source shall not be considered in determining whether it is a WEB source unless the source belongs to one of the following categories of stationary source:

(i) Coal cleaning plants (with thermal dryers); (ii) Kraft pulp mills; (iii) Portland cement plants; (iv) Primary zinc smelters; (v) Iron and steel mills; (vi) Primary aluminum ore reduction plants; (vii) Primary copper smelters; (viii) Municipal incinerators capable of charging more than 250 tons of refuse per day; (ix) Hydrofluoric, sulfuric, or nitric acid plants; (x) Petroleum refineries; (xi) Lime plants; (xii) Phosphate rock processing plants; (xiii) Coke oven batteries; (xiv) Sulfur recovery plants;(xv) Carbon black plants (furnace process); (xvi) Primary lead smelters; (xvii) Fuel conversion plants;(xviii) Sintering plants; (xix) Secondary metal production plants; (xx) Chemical process plants; (xxi) Fossil-fuel boilers (or combination thereof) totaling more than 250 million British thermal units per hour heat input; (xxii) Petroleum storage and transfer units with a total storage capacity exceeding 300,000 barrels; (xxiii) Taconite ore processing plants; (xxiv) Glass fiber processing plants; (xxv) Charcoal production plants; (xxvi) Fossil-fuel-fired steam electric plants of more than 250 million British thermal units per hour heat input; or(xxvii) Any other stationary source category, which as of August 7, 1980 is being regulated under Section 111 or 112 of the Act.

(c) A new source that begins operation after the Program Trigger Date and has the potential to emit 100 tons or more of SO2 per year.

(d) [State or tribe] may determine on a case-by-case basis, with concurrence from the EPA Administrator, that a source defined in D1(b) is not a WEB source if the source:

(1) In each of the previous five years had actual SO2 emissions of less than 100 tons per year, and

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(2) Had actual SO2 emissions of 100 tons or more in a single year due to a temporary emission increase that was caused by a sudden, infrequent and not reasonably preventable failure of air pollution control equipment, failure of process equipment, or a failure to operate in a normal or usual manner;

(3) Took timely and reasonable action to minimize the temporary emission increase; and

(4) Has corrected the failure of air pollution control equipment, process equipment, or process by the time of the [state or tribe]’s determination under this section; or

(5) Had to switch fuels or feedstocks on a temporary basis and as a result of an emergency situation or unique and unusual circumstances besides cost of such fuels or feedstocks.

(6) A temporary emission increase due to poor maintenance or careless operation does not meet the criteria of this section.

2. Duration of Program Participation

Except as provided for in Section D3 of this Rule, once a source is subject to the WEB Trading Program, it will remain in the program every year thereafter.

3. Retired Source Exemption

(a) Application

Any WEB that is retired shall apply for a retired source exemption. The WEB source may only be considered retired if all SO2 emitting units at the source are retired. The application shall contain the following information:

(1) Identification of the WEB source, including plant name and an appropriate identification code in a format specified by the [state or tribe].

(2) Name of Account Representative.

(3) Description of the status of the WEB source, including the date that the WEB source was retired.

(4) Signed certification that the WEB source is . retired and will comply with the requirements of Section D3 of this Rule.

(5) Verification that the WEB source has a general account where any unused allowances or future allocations will be recorded.

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(b) Notice

The retired source exemption becomes effective when [state or tribe] notifies the source that the retired source exemption has been granted. [For example, state or tribe could include a provision requiring the permitting authority to notify the source.]

(c) Responsibilities of Retired Sources:

(1) A retired source shall be exempt from Sections I and L of this Rule, except as provided below.

(2) A retired source shall not emit any SO2 after the date the retired source exemption is effective.

(3) A source shall submit SO2 emissions reports, as required by Section I8 of this Rule for any time period the source was operating prior to the effective date of the retired source exemption. The retired source shall be subject to the compliance provisions of Section L of this Rule, including the requirement to hold allowances in the source’s compliance account to cover all SO2 emissions prior to the date the source was permanently retired.

(4) A retired source that is still in existence but no longer emitting SO2 shall, for a period of five years from the date the records are created, retain records demonstrating the effective date of the retired source exemption for purposes of this Rule.

(d) Resumption of Operations

(1) Should a retired source desire to resume operation, the retired source must submit registration materials as follows:

(i) If the source is required to obtain a new source review permit or operating permit under [refer to applicable permitting Rules] prior to resuming operation, then registration information as described in Section F1 of this Rule and a copy of the retired source exemption must be submitted with the application required under [refer to applicable permitting Rules];

(ii) If the source is not required to obtain a new source review permit or operating permit under [refer to applicable permitting Rules] prior to resuming operation, then registration information as described in Section F1 of this Rule and a copy of the retired source exemption must be submitted to [state or tribe] at least ninety days prior to resumption of operation.

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(2) The retired source exemption shall automatically expire on the day the source resumes operation.

(e) Loss of Future Allowances

A WEB source that is retired and that does not apply to [state or tribe] for a retired source exemption within ninety days of the date that the source is retired shall forfeit any unused and future allowances. The abandoned allowances shall be retired by the Tracking System Administrator.

Note: This is not intended to be a punitive action, but a method to correct the number of allowances being tracked by the state. [State or tribe] will need to establish due process procedures for forfeiting these “abandoned” allowances in a manner that is consistent with the administrative procedures process. This provision is intended to address sources that go out of business, leave no forwarding address, and truly abandon their allowances. It is assumed that [state or tribe] will have a process to notify sources that their allowances may be forfeited so this provision does not lead to forfeiture just because the deadline was missed.

E. Account Representative for WEB Sources

Each WEB source must identify one Account Representative and may also identify an alternate Account Representative who may act on behalf of the Account Representative. Any representation, action, inaction or submission by the alternate Account Representative will be deemed to be a representation, action, inaction or submission by the Account Representative.

1. Identification and Certification of an Account Representative.

(a) The Account Representative and any Alternate Account Representative shall be appointed by an agreement that makes the representations, actions, inactions or submissions of the Account Representative and any alternate binding on the owners and operators of the WEB source.

(b) The Account Representative shall submit to [state or tribe] and the Tracking System Administrator a signed and dated Account Certificate of Representation (Certificate) that contains the following elements:

(1) Identification of the WEB source by plant name, state and an appropriate identification code in a format specified by the [state or tribe];

(2) The name, address, e-mail (if available), telephone and facsimile number of the Account Representative and any alternate;

(3) A list of owners and operators of the WEB source;

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(4) Information to be part of the emission tracking system database in accordance with the Implementation Plan. The specific data elements shall be as specified by the [state or tribe] to be consistent with the data system structure, and may include basic facility information that may appear in other reports and notices submitted by the WEB source, such as county location, industrial classification codes, and similar general facility information.

(5) The following certification statement:

“I certify that I was selected as the Account Representative or alternate Account Representative, as applicable, by an agreement binding on the owners and operators of the WEB source. I certify that I have all the necessary authority to carry out my duties and responsibilities under the WEB Trading Program on behalf of the owners and operators of the WEB source and that each such owner and operator shall be fully bound by my representations, actions, inactions, or submissions and by any decision or order issued to me by the [state or tribe] regarding the WEB Trading Program.”

(c) Upon receipt by the [state or tribe] of the complete Certificate, the Account Representative and any alternate Account Representative represents and, by his or her representations, actions, inactions, or submissions, legally binds each owner and operator of the WEB source in all matters pertaining to the WEB Trading Program. The owners and operators shall be bound by any decision or order issued by [state or tribe] regarding the WEB Trading Program.

(d) No WEB Emissions and Allowance Tracking System account shall be established for the WEB source until the Tracking System Administrator has received a complete Certificate. Once the account is established, the Account Representative shall make all submissions concerning the account, including the deduction or transfer of allowances.

2. Requirements and Responsibilities

(a) The responsibilities of the Account Representative include, but are not limited to, the transferring of allowances, and the submission of monitoring plans, registrations, certification applications, SO2 emissions data and compliance reports as required by this Rule, and representing the source in all matters pertaining to the WEB Trading Program.

(b) Each submission under this program shall be signed and certified by the Account Representative for the WEB source. Each submission shall include the following truth and accuracy certification statement by the Account Representative:

“I am authorized to make this submission on behalf of the owners and operators of the WEB source for which the submission is made. I certify

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under penalty of law that I have personally examined, and am familiar with, the statements and information submitted in this document and all its attachments Based on my inquiry of those individuals with primary responsibility for obtaining the information, I certify that the statements and information are to the best of my knowledge and belief true, accurate, and complete. I am aware that there are significant penalties for submitting false statements and information or omitting required statements and information, including the possibility of fine or imprisonment.”

3. Changing the Account Representative or Owners and Operators

(a) Changes to the Account Representative or the alternate Account Representative

The Account Representative or alternate Account Representative may be changed at any time by sending a complete superseding Certificate to the [state or tribe] and the Tracking System Administrator under Section E1(c) of this Rule, with the change taking effect upon receipt of such Certificate by the [state or tribe]. Notwithstanding any such change, all representations, actions, inactions, and submissions by the previous Account Representative or alternate prior to the time and date when the Tracking System Administrator receives the superseding Certificate shall be binding on the new Account Representative and the owners and operators of the WEB source.

(b) Changes in Owners and Operators

(1) Within thirty days of any change in the owners and operators of the WEB source, including the addition of a new owner or operator, the Account Representative shall submit a revised Certificate amending the list of owners and operators to include such change.

(2) In the event a new owner or operator of a WEB source is not included in the list of owners and operators submitted in the Certificate, such new owner or operator shall be deemed to be subject to and bound by the Certificate, the representations, actions, inactions, and submissions of the Account Representative of the WEB source, and the decisions, orders, actions, and inactions of [state or tribe] as if the new owner or operator were included in such list.

F. Registration

1. Deadlines

(a) Each source that is a WEB source on or before the Program Trigger Date shall register by submitting the initial Certificate required in Section E1 of this Rule to the [state or tribe] no later than 180 days after the Program Trigger Date.

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(b) Any existing source that becomes a WEB source after the Program Trigger Date shall register by submitting the initial Certificate required in Section E1 of this Rule to the [state or tribe] by September 30 of the year following the inventory year in which the source exceeded the emission threshold.

(c) Any new WEB source shall register by submitting the initial Certificate required in Section E1 of this Rule to the [state or tribe] prior to the commencement of operation.

2. Integration into Permits

(a) Any allocation, transfer or deduction of allowance to or from the compliance account of a WEB source shall not require revision of the WEB source’s operating permit.

(b) Any WEB source that is not required to have a permit under [state or tribe’s New Source Review Rule] at any time after this Rule becomes effective must at all times possess a permit that includes the requirements of [state or tribe’s market trading rule]. If it does not possess a Title V permit under [state or tribe’s Title V rule], it may do so by obtaining or modifying a permit under [state or tribe’s New Source Review Rule] to incorporate the requirements of [state or tribe’s market trading rule]. The source must at all times possess a permit that includes these requirements.

G. Allowance Allocations

1. The Tracking System Administrator will record the allowances for each WEB source in the compliance account for a WEB source once the allowances are allocated by the [state or tribe] under Section C1 of the SO2 Milestones and Backstop Trading Program Implementation Plan. If applicable, the Tracking System Administrator will record a portion of the SO2 allowances for a WEB source in a special reserve compliance account to account for any allowances to be held in accordance with Section I1(b) of this Rule.

2. The Tracking System Administrator will assign a serial number to each allowance in accordance with Section C2 of the SO2 Milestones and Backstop Trading Program Implementation Plan.

3. All allowances shall be allocated, recorded, transferred, or used as whole allowances. To determine the number of whole allowances, the number of allowances shall be rounded down for decimals less than 0.50 and rounded up for decimals of 0.50 or greater.

4. An allowance is not a property right, and is a limited authorization to emit one ton of SO2 valid only for the purpose of meeting the requirements of this Rule. No provision of this WEB Trading Program or other law should be construed to limit the authority of the United States or [state or tribe] to terminate or limit such authorization.

5. Early Reduction Bonus Allocation.

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Any WEB source that reduces permitted annual SO2 emissions to a level that is below the floor level allocation established for that source in Section C1 of the SO2 Milestones and Backstop Trading Program Implementation Plan between 2003 and the program trigger year may apply to [state or tribe] for an early reduction bonus allocation. The application must be submitted no later than ninety days after the Program Trigger Date. Any WEB source that applies and receives early reduction bonus allocations must retain the records referenced below for a minimum of five years after the early reduction bonus allowance is certified in accordance with Section C1.1(a)(3) of the Implementation Plan.

The application for an early reduction bonus allocation must contain the following information:

(a) Copies of all permits or other enforceable documents that include annual SO2 emissions limits for the WEB source during the period the WEB source was generating the early reductions. Such permits or enforceable documents require monitoring for SO2

emissions that meets the requirements in Sections I1(a) and I1(c) of this Rule.

Note: the early reduction bonus allocation needs to address sources that are not using Part 75 equipment monitoring.

(b) Copies of emissions monitoring reports, for the period the WEB source was generating the early reductions, that documents the actual annual SO2 emissions and demonstrates that the actual annual SO2 emissions were below the floor level allocation established for that source in Section C1 of the SO2 Milestones and Backstop Trading Program Implementation Plan.

(c) Demonstration that the floor level established for the source in accordance with Section C1 of the SO2 Milestones and Backstop Trading Program Implementation Plan was calculated using data that are consistent with the new monitoring methodology. If new monitoring techniques will change the floor level for the source, then a demonstration of the new floor level based on new monitoring techniques should be included in the application.

6. Request for allowances for new WEB sources or modified WEB Sources.

(a) A new WEB source or an existing WEB source that has increased production capacity through a permitted change in operations [refer to state or tribal NSR Rules] may apply to [state or tribe] for an allocation from the new source set-aside, as outlined in Section C1.3 of the Implementation Plan.

(1) A new WEB source is eligible to apply for an annual allocation equal to the permitted annual SO2 emission limit for that source after the source has commenced operation.

(2) An existing WEB source is eligible to apply for an annual allocation equal to the permitted annual SO2 emission limit for that source that is attributable to any

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amount of production capacity that is greater than the permitted production capacity for that source as of January 1, 2003.

(3) A source that has received a retired source exemption under Section D3 of this Rule is not eligible to apply for an allocation from the new source set-aside.

(b) The application for an allocation from the new source set-aside must contain the following information:

(1) Demonstration that shows the permitted production capacity of the source before and after the new permit;

(2) For new WEB sources, documentation of the actual date of the commencement of operation and a copy of the permit.

H. Establishment of Accounts

1. Emissions and Allowance Tracking System Accounts

All WEB sources are required to open a compliance account. Any person may open a general account for holding and transferring allowances. To open either type of account, an application that contains the following information shall be submitted:

(a) The name, mailing address, e-mail address, telephone number, facsimile number of the Account Representative. For a compliance account, include a copy of the Account Certificate of Representation of the Account Representative and any alternate as required in Section E1(b) of this Rule. For a general account, include the Account Certificate of Representation of the Account Representative and any alternate as required in Section H3(b) of the Rule.

(b) The WEB source or organization name;

(c) The type of account to be opened; and

(d) A signed certification of truth and accuracy by the Account Representative according to Section E2(b) of this Rule for compliance accounts and for general accounts, certification of truth and accuracy by the Account Representative according to Section H4 of this Rule.

2. Account Representative for General Accounts

For a general account, one Account Representative must be identified and an alternate Account Representative may be identified and may act on behalf of the Account Representative. Any representation, action, inaction or submission by the alternate Account Representative will be deemed to be a representation, action, inaction or submission by the Account Representative.

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3. Identification and Certification of an Account Representative for General Accounts

(a) The Account Representative shall be appointed by an agreement that makes the representations, actions, inactions or submissions of the Account Representative binding on all persons who have an ownership interest with respect to allowances held in the general account.

(b) The Account Representative shall submit to [state or tribe] and the Tracking System Administrator a signed and dated Account Certificate of Representation (Certificate) that contains the following elements:

(1) The name, address, e-mail (if available), telephone and facsimile number of the Account Representative and any alternate;

(2) The organization name;

(3) The following certification statement:

“I certify that I was selected as the Account Representative or alternate Account Representative, as applicable, by an agreement binding on all persons who have an ownership interest in allowances in the general account with regard to matters concerning the general account. I certify that I have all the necessary authority to carry out my duties and responsibilities under the WEB Trading Program on behalf of said persons and that each such person shall be fully bound by my representations, actions, inactions, or submissions and by any decision or order issued to me by the [state or tribe] regarding the general account.”

(c) Upon receipt by the [state or tribe] of the complete Certificate, the Account Representative represents and, by his or her representations, actions, inactions, or submissions, legally binds each person who has an ownership interest in allowances held in the general account with regard in all matters concerning the general account. Such persons shall be bound by any decision or order issued by [state or tribe]

(d) No WEB Emissions and Allowance Tracking System general account shall be established until the Tracking System Administrator has received a complete Certificate. Once the account is established, the Account Representative shall make all submissions concerning the account, including the deduction or transfer of allowances.

4. Requirements and Responsibilities

Each submission for the general account shall be signed and certified by the Account Representative for the general account. Each submission shall include the following truth and accuracy certification statement by the Account Representative:

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“I am authorized to make this submission on behalf of all person who have an ownership interest in allowances held in the general account. I certify under penalty of law that I have personally examined, and am familiar with, the statements and information submitted in this document and all its attachments. Based on my inquiry of those individuals with primary responsibility for obtaining the information, I certify that the statements and information are to the best of my knowledge and belief true, accurate, and complete. I am aware that there are significant penalties for submitting false statements and information or omitting required statements and information, including the possibility of fine or imprisonment.”

5. Changing the Account Representative

The Account Representative or alternate Account Representative may be changed at any time by sending a complete superseding Certificate to the [state or tribe] and the Tracking System Administrator under section H3(b) of this rule, with the change taking effect upon receipt of such Certificate by the [state or tribe]. Notwithstanding any such change, all representations, actions, inactions, and submissions by the previous Account Representative or alternate prior to the time and date when the [state or tribe] receives the superseding Certificate shall be binding on the new Account Representative and all person having ownership interest with respect to allowances held in the general account.

6. Changes to the Account

Any change to the information required in the application for an existing account under H1 of this Rule shall require a revision of the application.

I. Monitoring, Recordkeeping and Reporting

1. General Requirements

(a) For each SO2 emitting unit at a WEB source the owner or operator shall comply with the following, as applicable, to monitor and record SO2 mass emissions:

(1) If a unit is subject to 40 CFR Part 75 under a requirement separate from the WEB Trading Program, the unit shall meet the requirements contained in Part 75 with respect to monitoring, recording and reporting SO2 mass emissions. [as necessary, insert state/tribe rule language to address changes to 40 CFR Part 75.]

(2) If a unit is not subject to 40 CFR Part 75 under a requirement separate from the WEB Trading Program, a unit shall use one of the following monitoring methods, as applicable:

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(A) A continuous emission monitoring system (CEMS) for SO2 and flow that complies with all applicable monitoring provisions in 40 CFR Part 75;

(B) If the unit is a gas- or oil-fired combustion device, the excepted monitoring methodology in Appendix D to 40 CFR Part 75, or, if applicable, the low mass emissions (LME) provisions (with respect to SO2 mass emissions only) of section 75.19 of 40 CFR Part 75;

(C) One of the optional WEB protocols, if applicable, in Appendix A to this Rule; or

(D) A petition for site-specific monitoring that the source submits for approval by [state or tribe], and approval by the U.S. Environmental Protection Agency in accordance with Section I8(e) of this Rule (relating to petitions).

(3) A permanently retired unit shall not be required to monitor under this Section if such unit was permanently retired and had no emissions for the entire period for which the WEB source implements this paragraph (3) and the Account Representative certifies in accordance with Section L2 of this Rule that these conditions were met.

(b) Notwithstanding paragraph (a) of this Section, the owner or operator of a unit that meets one of the conditions of paragraph (b)(1) may elect to have the provisions of this paragraph (b) apply to that unit.

(1) Any of the following units may implement this paragraph (b):

(A) Any smelting operation where all of the emissions from the operation are not ducted to a stack; or

(B) Any flare, except to the extent such flares are used as a fuel gas combustion device at a petroleum refinery.

(C) Any other type of unit without add-on SO2 control equipment, if no control level was assumed for the WEB source in establishing the floor level (and reducible allocation) provided in Section C1 of the Implementation Plan.

(2) For each unit covered by this paragraph (b), the Account Representative shall submit a notice to request that this paragraph (b) apply to one or more SO2 emitting units at a WEB source. The notice shall be submitted in accordance with the compliance dates specified in Section I6(a) of this Rule, and shall include the following information (in a format specified by [state or tribe] with such additional, related information as may be requested):

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(A) A notice of all units at the applicable source, specifying which of the units are to be covered by this paragraph (b);

(B) Consistent with the emission estimation methodology used to determine the floor level (and reducible allocation) for the source in accordance with Section C1 of the Implementation Plan, the portion of the WEB source's overall allowance allocation that is attributable to any unit(s) covered by this paragraph; and

(C) An identification of any such units that are permanently retired.

(3) For each new unit at an existing WEB source for which the owner or operator seeks to comply with this paragraph (b) and for which the Account Representative applies for an allocation under the new source set-aside provisions of Section G6 of this Rule, the Account Representative shall submit a modified notice under paragraph (b)(2) that includes such new SO2 emitting unit(s). The modified notice shall be submitted in accordance with the compliance dates in Section I6(a) of this Rule, but no later than the date on which a request is submitted under Section G6 of this Rule for allocations from the set-aside.

(4) [State or tribe] shall evaluate the information submitted by the WEB source in paragraphs (b)(2) and (b)(3), and may issue a notice to the source to exclude any units that do not qualify under this paragraph (b) or to adjust the portion of allowances attributable to units that do qualify to be consistent with the emission estimation methodology used to establish the floor level (and reducible allocation) for the source. Any such notice shall be provided within 180 days after the date on which the notice from the WEB source was received.

(5) [State or tribe] shall hold allowances equal to the adjusted portion of the WEB source's allowances under paragraphs (b)(2), (b)(3), and (b)(4) in an account maintained by [state or tribe], provided that no such hold back of the WEB source's allocation will be required for any unit that is permanently retired.

(6) The Account Representative for a WEB source shall submit an annual emissions statement for each unit under this paragraph (b). The WEB source shall maintain operating records sufficient to estimate annual emissions in a manner consistent with the emission estimation methodology used to establish the floor level (and reducible allocation) for the source. [State or tribe] will retire the allowances held under paragraph (b)(5) to account for the emissions from such units. In addition, if the estimated emissions from all such units at the WEB source are greater than the allowances held under paragraph (b)(5) for the WEB source, the Account Representative will report the excess amount as part of the cumulative annual emissions report for the WEB source and be required to use

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other allowances in the compliance account for the WEB source to account for such emissions, in accordance with Section I8 of this Rule.

(7) The remaining provisions of this Section I shall not apply to units covered by this paragraph except where otherwise noted.

(8) A WEB source may opt to modify the monitoring for an SO2 emitting unit to use monitoring under Section I1(a) of this Rule, but any such monitoring change must take effect on January 1 of the next compliance year. In addition, the Account Representative must submit an initial monitoring plan at least 180 days prior to the date on which the new monitoring will take effect and a detailed monitoring plan in accordance with Section I2 of this Rule. The Account Representative shall also submit a revised notice under paragraph (b)(2) at the same time that the initial monitoring plan is submitted.

(c) For any monitoring method that the owner or operator uses under this Section (including paragraph (b)), the owner or operator (and, as applicable, the Account Representative) shall implement, certify, and use such method in accordance with this Section, and record and report the data from such method as required in this Section. In addition, the owner or operator (and, as applicable, the Account Representative) may not:

(1) Use an alternative monitoring system, alternative reference method or another alternative for the required monitoring method without having obtained prior written approval in accordance with Section I8(e) of this Rule (relating to petitions);

(2) Operate an SO2 emitting unit so as to discharge, or allow to be discharged, SO2 emissions to the atmosphere without accounting for these emissions in accordance with the applicable provisions of this Section;

(3) Disrupt the approved monitoring method or any portion thereof, and thereby avoid monitoring and recording SO2 mass emissions discharged into the atmosphere, except for periods of recertification or periods when calibration, quality assurance testing or maintenance is performed in accordance with the applicable provisions of this Section; or

(4) Retire or permanently discontinue use of an approved monitoring method, except under one of the following circumstances:

(A) During a period when the unit is exempt from the requirements of this Section, including retirement of a unit as addressed in Section I1(a)(3);

(B) The owner or operator is monitoring emissions from the unit with another certified monitoring method approved under this Section for use

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at the unit that provides data for the same parameter as the retired or discontinued monitoring method; or

(C) The Account Representative submits notification of the date of certification testing of a replacement monitoring system in accordance with this Section, and the owner or operator recertifies thereafter a replacement monitoring system in accordance with the applicable provisions of this Section.

2. Monitoring Plan

(a) General Provisions. The owner or operator of an SO2 emitting unit that uses a monitoring method under Section I1(a)(2) of this Rule shall meet the following requirements:

(1) Prepare and submit to [state or tribe] an initial monitoring plan for each monitoring method that the owner or operator uses to comply with this Section. In accordance with paragraph I2(c) of this Rule, the plan shall contain sufficient information on the units involved, the applicable method, and the use of data derived from that method to demonstrate that all unit SO2 emissions are monitored and reported. The plan shall be submitted in accordance with the compliance dates specified in Section I5 of this Rule.

(2) Prepare, maintain and submit to [state or tribe] a detailed monitoring plan at least 45 days prior to the first day of certification testing. The plan will contain the applicable information required by paragraph I2(d) of this Rule. [State or tribe] may require that the monitoring plan (or portions thereof) be submitted electronically. The [state or tribe] also may require that the plan be submitted on an ongoing basis in electronic format as part of the quarterly report submitted under Section I8(a) of this Rule or resubmitted separately within 30 days after any change is made to the plan in accordance with the following paragraph (a)(3).

(3) Whenever the owner or operator makes a replacement, modification, or change in one of the systems or methodologies provided for in Section I1(a)(2), including a change in the automated data acquisition and handling system or in the flue gas handling system, that affects information reported in the monitoring plan (e.g., a change to serial number for a component of a monitoring system), then the owner or operator shall update the monitoring plan.

(b) The owner or operator of an SO2 emitting unit that uses a method under Section I1(a)(1) of this Rule (a unit subject to 40 CFR Part 75 under a program other than this WEB Trading Program) shall meet the requirements of Section I2(a)-(f) by preparing, maintaining and submitting a monitoring plan in accordance with the requirements of 40 CFR Part 75, provided that the owner or operator also shall submit the entire monitoring plan to [state or tribe] upon request.

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(c) Initial Monitoring Plan. The Account Representative shall submit an initial monitoring plan for each SO2 emitting unit (or group of units sharing a common methodology) that, except as otherwise specified in an applicable provision in Appendix A, contains the following information:

(1) For all SO2 emitting units involved in the monitoring plan:

(A) Plant name and location;

(B) Plant and unit identification numbers assigned by [state or tribe];

(C) Type of unit (or units for a group of units using a common monitoring methodology);

(D) Identification of all stacks or pipes associated with the monitoring plan;

(E) Types of fuel(s) fired (or sulfur containing process materials used in the SO2 emitting unit), and the fuel classification of the unit if combusting more than one type of fuel and using a 40 CFR Part 75 methodology;

(F) Type(s) of emissions controls for SO2 installed or to be installed, including specifications of whether such controls are pre-combustion, post-combustion, or integral to the combustion process;

(G) Maximum hourly heat input capacity, or process throughput capacity, if applicable;

(H) Identification of all units using a common stack; and

(I) Indicator of whether any stack identified in the plan is a bypass stack.

(2) For each unit and parameter required to be monitored, identification of monitoring methodology information, consisting of monitoring methodology, monitor locations, substitute data approach for the methodology, and general identification of quality assurance procedures. If the proposed methodology is a site-specific methodology submitted pursuant to Section I1(a)(2)(D) of this Rule, the description under this paragraph shall describe fully all aspects of the monitoring equipment, installation locations, operating characteristics, certification testing, ongoing quality assurance and maintenance procedures, and substitute data procedures.

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(3) If the WEB source intends to petition for a change to any specific monitoring requirement otherwise required under this Section, such petition may be submitted as part of the initial monitoring plan.

(4) [State or tribe] may issue a notice of approval or disapproval of the initial monitoring plan based on the compliance of the proposed methodology with the requirements for monitoring in this Section. Except for any petition contained in the initial monitoring plan, if such notice is not issued within 180 days after the date on which [state or tribe] received the initial monitoring plan, the plan shall be deemed approved.

(d) Detailed Monitoring Plan. The Account Representative shall submit a detailed monitoring plan that, except as otherwise specified in an applicable provision in Appendix A, shall contain the following information:

(1) Identification and description of each monitoring component (including each monitor and its identifiable components, such as analyzer and/or probe) in a CEMS (e.g., SO2 pollutant concentration monitor, flow monitor, moisture monitor), a 40 CFR Part 75, Appendix D monitoring system (e.g., fuel flowmeter, data acquisition and handling system), or a protocol in Appendix A, including:

(A) Manufacturer, model number and serial number;

(B) Component/system identification code assigned by the facility to each identifiable monitoring component, such as the analyzer and/or probe;

(C) Designation of the component type and method of sample acquisition or operation (e.g., in situ pollutant concentration monitor or thermal flow monitor);

(D) Designation of the system as a primary or backup system;

(E) First and last dates the system reported data;

(F) Status of the monitoring component; and

(G) Parameter monitored.

(2) Identification and description of all major hardware and software components of the automated data acquisition and handling system, including:

(A) Hardware components that perform emission calculations or store data for quarterly reporting purposes (provide the manufacturer and model number); and

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(B) Software components (provide the identification of the provider and model/version number).

(3) Explicit formulas for each measured emissions parameter, using component/system identification codes for the monitoring system used to measure the parameter that links the system observations with the reported concentrations and mass emissions. The formulas must contain all constants and factors required to derive mass emissions from component/system code observations and an indication of whether the formula is being added, corrected, deleted, or is unchanged. The owner or operator of a low mass emissions unit for which the owner or operator is using the optional low mass emissions excepted methodology in section 75.19(c) of 40 CFR Part 75 is not required to report such formulas.

(4) Inside cross-sectional area (ft2) at flow monitoring location (for units with flow monitors, only).

(5) If using CEMS for SO2 and flow, for each parameter monitored: scale, maximum potential concentration (and method of calculation), maximum expected concentration (if applicable) (and method of calculation), maximum potential flow rate (and method of calculations), span value, full-scale range, daily calibration units of measure, span effective date/hour, span inactivation date/hour, indication of whether dual spans are required, default high range value, flow rate span, and flow rate span value and full scale value (in scfh) for each unit or stack using SO2 or flow component monitors.

(6) If the monitoring system or excepted methodology provides for use of a constant, assumed, or default value for a parameter under specific circumstances, then include the following information for each value of such parameter:

(A) Identification of the parameter;

(B) Default, maximum, minimum, or constant value, and units of measure for the value;

(C) Purpose of the value;

(D) Indicator of use during controlled/uncontrolled hours;

(E) Types of fuel;

(F) Source of the value;

(G) Value effective date and hour;

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(H) Date and hour value is no longer effective (if applicable); and

(I) For units using the excepted methodology under section 75.19 of 40 CFR Part 75, the applicable SO2 emission factor.

(7) Unless otherwise specified in section 6.5.2.1 of Appendix A to 40 CFR Part 75, for each unit or common stack on which hardware CEMS are installed:

(A) The upper and lower boundaries of the range of operation (as defined in section 6.5.2.1 of Appendix A to 40 CFR Part 75), or thousand of lb/hr of steam, or ft/sec (as applicable);

(B) The load or operating level(s) designated as normal in section 6.5.2.1 of Appendix A to 40 CFR Part 75, or thousands of lb/hr of steam, or ft/sec (as applicable);

(C) The two load or operating levels (i.e., low, mid, or high) identified in section 6.5.2.1 of Appendix A to 40 CFR Part 75 as the most frequently used;

(D) The date of the data analysis used to determine the normal load (or operating) level(s) and the two most frequently-used load (or operating) levels; and

(E) Activation and deactivation dates when the normal load or operating level(s) change and are updated.

(8) For each unit that is complying with 40 CFR Part 75 for which the optional fuel flow-to-load test in section 2.1.7 of appendix D to 40 CFR Part 75 is used:

(A) The upper and lower boundaries of the range of operation (as defined in section 6.5.2.1 of Appendix A to 40 CFR Part 75), expressed in thousand of lb/hr of steam;

(B) The load level designated as normal, pursuant to section 6.5.2.1 of Appendix A to 40 CFR Part 75, expressed in thousands of lb/hr of steam; and

(C) The date of the load analysis used to determine the normal load level.

(9) Information related to quality assurance testing, including (as applicable): identification of the test strategy; protocol for the relative accuracy test audit; other relevant test information; calibration gas levels (percent of span) for the calibration error test and linearity check; calculations for determining maximum

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potential concentration, maximum expected concentration (if applicable), maximum potential flow rate, and span;

(10) If applicable, apportionment strategies under sections 75.10 through 75.18 of 40 CFR Part 75.

(11) Description of site locations for each monitoring component in a monitoring system, including schematic diagrams and engineering drawings and any other documentation that demonstrates each monitor location meets the appropriate siting criteria. For units monitored by a continuous emission monitoring system, diagrams shall include:

(A) A schematic diagram identifying entire gas handling system from unit to stack for all units, using identification numbers for units, monitor components, and stacks corresponding to the identification numbers provided in the initial monitoring plan and paragraphs (d)(1) and (3). The schematic diagram must depict the height of any monitor locations. Comprehensive and/or separate schematic diagrams shall be used to describe groups of units using a common stack.

(B) Stack and duct engineering diagrams showing the dimensions and locations of fans, turning vanes, air preheaters, monitor components, probes, reference method sampling ports, and other equipment that affects the monitoring system location, performance, or quality control checks.

(12) A data flow diagram denoting the complete information handling path from output signals of CEMS components to final reports.

(e) In addition to supplying the information in paragraphs (c) and (d) above, the owner or operator of an SO2 emitting unit using either of the methodologies in paragraph I.1(a)(2)(B) of this Section shall include the following information in its monitoring plan for the specific situations described:

(1) For each gas-fired or oil-fired SO2 emitting unit for which the owner or operator uses the optional protocol in appendix D to 40 CFR Part 75 for SO2 mass emissions, the Account Representative shall include the following information in the monitoring plan:

(A) Parameter monitored;

(B) Type of fuel measured, maximum fuel flow rate, units of measure, and basis of maximum fuel flow rate (i.e., upper range value or unit maximum) for each fuel flowmeter;

(C) Test method used to check the accuracy of each fuel flowmeter;

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(D) Submission status of the data;

(E) Monitoring system identification code;

(F) The method used to demonstrate that the unit qualifies for monthly GCV sampling or for daily or annual fuel sampling for sulfur content, as applicable;

(G) A schematic diagram identifying the relationship between the unit, all fuel supply lines, the fuel flowmeter(s), and the stack(s). The schematic diagram must depict the installation location of each fuel flowmeter and the fuel sampling location(s). Comprehensive and/or separate schematic diagrams shall be used to describe groups of units using a common pipe;

(H) For units using the optional default SO2 emission rate for "pipeline natural gas" or "natural gas" in appendix D to 40 CFR Part 75, the information on the sulfur content of the gaseous fuel used to demonstrate compliance with either section 2.3.1.4 or 2.3.2.4 of appendix D to 40 CFR Part 75;

(I) For units using the 720 hour test under section 2.3.6 of appendix D to 40 CFR Part 75 to determine the required sulfur sampling requirements, report the procedures and results of the test; and

(J) For units using the 720 hour test under section 2.3.5 of appendix D to 40 CFR Part 75 to determine the appropriate fuel GCV sampling frequency, report the procedures used and the results of the test.

(2) For each SO2 emitting unit for which the owner or operator uses the low mass emission excepted methodology of section 75.19 to 40 CFR Part 75, the designated representative shall include the following information in the monitoring plan that accompanies the initial certification application:

(A) The results of the analysis performed to qualify as a low mass emissions unit under section 75.19(c) to 40 CFR Part 75. This report will include either the previous three years actual or projected emissions. The following items should be included:

(i) Current calendar year of application;

(ii) Type of qualification;

(iii) Years one, two, and three;

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(iv) Annual measured, estimated or projected SO2 mass emissions for years one, two, and three; and

(v) Annual operating hours for years one, two, and three.

(B) A schematic diagram identifying the relationship between the unit, all fuel supply lines and tanks, any fuel flowmeter(s), and the stack(s). Comprehensive and/or separate schematic diagrams shall be used to describe groups of units using a common pipe;

(C) For units which use the long term fuel flow methodology under section 75.19(c)(3) to 40 CFR Part 75, a diagram of the fuel flow to each unit or group of units and a detailed description of the procedures used to determine the long term fuel flow for a unit or group of units for each fuel combusted by the unit or group of units;

(D) A statement that the unit burns only gaseous fuel(s) and/or fuel oil and a list of the fuels that are burned or a statement that the unit is projected to burn only gaseous fuel(s) and/or fuel oil and a list of the fuels that are projected to be burned;

(E) A statement that the unit meets the applicability requirements in sections 75.19(a) and (b) to 40 CFR Part 75 with respect to SO2 emissions; and

(F) Any unit historical actual, estimated and projected SO2 emissions data and calculated SO2 emissions data demonstrating that the unit qualifies as a low mass emissions unit under sections 75.19(a) and (b) to 40 CFR Part 75.

(3) For each gas-fired unit the Account Representative shall include the following in the monitoring plan: current calendar year, fuel usage data as specified in the definition of gas-fired in section 72.2 of 40 CFR Part 72, and an indication of whether the data are actual or projected data.

(f) An operating permit for a WEB source issued in accordance with Title V of the Clean Air Act shall require a source to maintain a detailed monitoring plan in accordance with this Part, but the specific elements of the plan shall not be part of the permit, and modifications to the elements of the plan shall not require a permit modification.

3. Certification/Recertification

(a) All monitoring systems are subject to initial certification and recertification testing as specified in 40 CFR Part 75 or Appendix A to this Rule, as applicable. Certification or recertification of a monitoring system by the U.S. Environmental Protection Agency

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for a WEB source that is subject to 40 CFR Part 75 under a requirement separate from this Rule shall constitute certification under the WEB Trading Program.

(b) The owner or operator of an SO2 emitting unit not otherwise subject to 40 CFR Part 75 that monitors SO2 mass emissions in accordance with 40 CFR Part 75 to satisfy the requirements of this Section shall perform all of the tests required by that regulation and shall submit the following:

(1) A test notice, not later than 21 days before the certification testing of the monitoring system, provided that [state or tribe] may establish additional requirements for adjusting test dates after this notice as part of the approval of the initial monitoring plan under paragraph I2(c) of this Rule; and

(2) An initial certification application within 45 days after testing is complete. A monitoring system will be considered provisionally certified while the application is pending, and the system shall be deemed certified if [state or tribe] does not approve or disapprove the system within six months after the date on which the application is submitted.

4. Ongoing Quality Assurance and Quality Control

The WEB source shall satisfy the applicable quality assurance and quality control requirements of Part 75 or, if the WEB source is subject to a WEB protocol in Appendix A, the applicable quality assurance and quality control requirements in Appendix A on and after the date that certification testing commences.

5. Substitute Data Procedures

(a) For any period after certification testing is complete in which valid data are not being recorded by a monitoring system specified in this Rule, missing or invalid data shall be replaced with substitute data in accordance with 40 CFR Part 75 or, if the WEB source is subject to a WEB protocol in Appendix A, with substitute data in accordance with Appendix A.

(b) For an SO2 emitting unit that does not have a certified (or provisionally certified) monitoring system in place as of the beginning of the first control period for which the unit is subject to the WEB Trading Program, the owner or operator shall:

(1) If the owner or operator will use a CEMS to comply with this Section, substitute the maximum potential concentration of SO2 for the unit and the maximum potential flow rate, as determined in accordance with 40 CFR Part 75. The procedures for conditional data validation under section 75.20(b)(3) may be used for any monitoring system under this Rule that uses these 40 CFR Part 75 procedures, as applicable;

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(2) If the owner or operator will use the 40 CFR Part 75 Appendix D methodology, substitute the maximum potential sulfur content, density or gross calorific value for the fuel and the maximum potential fuel flow rate, in accordance with section 2.4 of Appendix D to 40 CFR Part 75;

(3) If the owner or operator will use the 40 CFR Part 75 LME methodology, substitute the SO2 emission factor required for the unit as specified in 40 CFR 75.19 and the maximum rated hourly heat input, as defined in 40 CFR 72.2; or

(4) If using a protocol in Appendix A to this Rule, follow the procedures in the applicable protocol.

6. Compliance Dates

(a) The initial monitoring plan shall be submitted by the following dates:

(1) For each source that is a WEB source on or before the Program Trigger Date, the monitoring plan shall be submitted 180 days after such Program Trigger Date.

(2) For any existing source that becomes a WEB source after the Program Trigger Date, the monitoring plan shall be submitted by September 30 of the year following the inventory year in which the source exceeded the emissions threshold.

(3) For any new WEB source, the monitoring plan shall be included with the permit application for New Source Review. [State or tribe shall modify the language as necessary to conform with their new source review rules.]

(b) Emission monitoring systems shall be installed, operational and shall have met all of the certification testing requirements of this Section I (including any referenced in Appendix A) by the following dates:

(1) For each source that is a WEB source on or before the Program Trigger Date, two years prior to the start of the first control period as described in Section L of this Rule.

(2) For any existing source that becomes a WEB source after the Program Trigger Date, one year after the due date for the monitoring plan under I1(c)(2) of this Rule.

(3) For any new WEB source, the earlier of 90 unit operating days or 180 calendar days after the date the new source commences operation.

7. Recordkeeping

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(a) Except as provided in Section I7(b), the WEB source shall keep copies of all reports, registration materials, compliance certifications, sulfur dioxide emissions data, quality assurance data, and other submissions under this Rule for a period of five years. Unless otherwise requested by the WEB source and approved by [state or tribe], the copies shall be kept on site.

(b) The WEB source shall keep all Account Certificates of Representation on site at the source through the year 2018.

(c) The WEB source shall keep records of all operating hours, quality assurance activities, fuel sampling measurements, hourly averages for SO2, stack flow, fuel flow, or other continuous measurements, as applicable, and any other applicable data elements specified in this Section or in Appendix A to this Rule. The WEB source shall maintain the applicable records specified in 40 CFR Part 75 for any SO2 emitting unit that uses a Part 75 monitoring method to meet the requirements of this Section.

8. Reporting

(a) Quarterly Reports. For each SO2 emitting unit, the Account Representative shall submit a quarterly report within thirty days after the end of each calendar quarter. The report shall be in a format specified by [state or tribe] and shall be submitted in a manner compatible with the emissions tracking database designed for the WEB Trading Program. [State or tribe] may require the WEB source to submit hourly and quality assurance activity information comparable to quarterly reports under 40 CFR Part 75. If the owner or operator submits a quarterly report under 40 CFR Part 75 to the U.S. EPA Administrator, no additional report under this paragraph (a) shall be required, provided, however, that [state or tribe] may require that a copy of that report (or a separate statement of quarterly and cumulative annual SO2 mass emissions) be submitted separately to [state or tribe].

(b) Annual Report. Based on the quarterly reports, each WEB source shall submit an annual statement of total annual SO2 emissions for all SO2 emitting units at the source. The annual report shall contain four elements: total emissions for all units monitored in accordance with Section I1(a) of this Rule; total emissions for all units with emissions estimated in accordance with Section I1(b) of this Rule; the number of tons, if any, of SO2 emissions estimated under Section I1(b) of this Rule that are subject to deduction of allowances from the source's compliance account in accordance with Section I1(b)(6); and the total number of SO2 tons subject to deduction of allowances from the source's compliance account in accordance with Section L of this Rule. The annual report shall be submitted within 30 days after the end of a control period.

(c) [State or tribe] may direct that any monitoring plan, report, certification/recertification, or emissions data required to be submitted under this Section be submitted to the Tracking System Administrator.

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(d) [State or tribe] may review and reject any report submitted under this Section I7 that contains errors or fails to satisfy the requirements of this Section, and the Account Representative shall resubmit the report to correct any deficiencies.

(e) Petitions. A WEB source may petition for an alternative to any requirement specified in Section I1(a)(2). The petition shall require approval of [state or tribe] and the U.S. EPA Administrator. Any petition submitted under this paragraph shall include sufficient information for the evaluation of the petition, including, at a minimum, the following information:

(1) Identification of the WEB source and applicable SO2 emitting unit(s);

(2) A detailed explanation of why the proposed alternative is being suggested in lieu of the requirement;

(3) A description and diagram of any equipment and procedures used in the proposed alternative, if applicable;

(4) A demonstration that the proposed alternative is consistent with the purposes of the requirement for which the alternative is proposed and is consistent with the purposes of this Rule and that any adverse effect of approving such alternative will be de minimis; and

(3) Any other relevant information that [state or tribe] may require.

(f) For any monitoring plans, reports, or other information submitted under Section I of this Rule, the Account Representative shall ensure that, where applicable, identifying information is consistent with the identifying information provided in the most recent certificate of representation for the WEB source submitted under Section E of this Rule.

J. Allowance Transfers

1. Procedure

To transfer allowances, the Account Representative shall submit the following information to the Tracking System Administrator:

(a) The transfer account number(s) identifying the transferor account;

(b) The transfer account number(s) identifying the transferee account;

(c) The serial number of each allowance to be transferred; and

(d) The transferor’s Account Representative’s name and signature and date of submission.

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2. Deadline

The allowance transfer deadline is midnight Pacific Standard Time March 1 of each year (or if this date is not a business day, midnight of the first business day thereafter) following the end of the control period. By this time, the transfer of the allowances into the WEB source’s compliance account must be correctly submitted to the Tracking System Administrator in order to demonstrate compliance under Section L1 of the rule for that control period.

3. Retirement of Allowances

To transfer allowances for the purpose of retirement, the Account Representative shall submit the following information to the Tracking System Administrator:

(a) The transfer account number(s) identifying the transferor account;

(b) The serial number of each allowance to be retired; and

(c) The transferor’s Account Representative’s name and signature and date of submission accompanied by a signed statement acknowledging that each retired allowance as no longer available for future transfers from or to any account.

K. Use of Allowances from a Previous Year

1. Any allowance that is held in a compliance account or general account will remain in such an account unless and until the allowance is deducted in conjunction with the compliance process, or transferred to another account.

2. In order to demonstrate compliance under section L1 of this rule for a control period, WEB sources shall only use allowances allocated for that current control period or any previous year.

3. If flow control procedures for the current control period have been triggered as outlined in Section C4.2 of the SO2 Milestones and Backstop Trading Program Implementation Plan, then the use of allowances that were allocated for any previous year will be limited as follows:

(a) The number of allowances that are held in each compliance account and general account as of the allowance transfer deadline for the immediately previous year and that were allocated for any previous year will be determined.

(b) The number determined in (a) will be multiplied by the flow control ratio established in accordance with Section C4.2 of the SO2 Milestones and Backstop Trading Program Implementation Plan to determine the number of allowances that were allocated for a previous year that can be used without restriction for the current control period.

(c) Allowances that were allocated for a previous year in excess of the number determined in (b) may also be used for the current control period. If such allowances are

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used to make a deduction, two allowances must be deducted for each deduction of one allowance required under Section L of this Rule.

4. Special provisions for the year 2018. After compliance with the 2017 allowance limitation has been determined in accordance with Section L1 of this Rule, allowances allocated for any year prior to 2018 shall not be used for determining compliance with the 2018 allowance limitation or any future allowance limitation.

L. Compliance

1. Compliance with Allowance Limitations

(a) The WEB source must hold allowances, in accordance with Section L1(b) and Section K of this Rule, as of the allowance transfer deadline in the WEB source’s compliance account (together with any current control year allowances held in the WEB source’s special reserve compliance account under Section I1(b) of this Rule) in an amount not less than the total SO2 emissions for the control period from the WEB source, as determined under the monitoring and reporting requirements of Section I of this Rule.

(1) For each source that is a WEB source on or before the Program Trigger Date, the first control period is the calendar year that is six years following the calendar year for which SO2 emissions exceeded the milestone in accordance with procedures in Section A of the SO2 Milestones and Backstop Trading Program Implementation Plan.

(2) For any existing source that becomes a WEB source after the Program Trigger Date, the first control period is the calendar year that is four years following the inventory year in which the source exceeded the SO2 emissions threshold.

(3) For any new WEB source after the Program Trigger Date the first control period is the first full calendar year that the source is in operation.

(4) If the WEB Trading Program is triggered in accordance with the 2013 review procedures in section A4 of the SO2 Milestones and Backstop Trading Program implementation plan, the first control period for each source that is a WEB source on or before the Program Trigger Date is the year 2018.

(b) Allowance transfer deadline

An allowance may only be deducted from the WEB source’s compliance account if:

(1) the allowance was allocated for the current control period or meets the requirements in Section K of this Rule for use of allowances from a previous control period, and

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(2) the allowance was held in the WEB source’s compliance account as of the allowance transfer deadline for the current control period, or was transferred into the compliance account by an allowance transfer correctly submitted for recording by the allowance transfer deadline for the current control period.

(c) Compliance with allowance limitations shall be determined by comparing the following two numbers:

(1) the monitored SO2 emissions data reported by the source to [state or tribe], in accordance with Section I of this Rule, and recorded in the emissions tracking database and

(2) the allowance allocations and transfers recorded in the Emissions and Allowance Tracking System, adjusted in accordance with Section K of this Rule.

(d) To the extent consistent with Section K of this Rule, allowances shall be deducted for a WEB source for compliance with the allowance limitation as directed by the WEB source’s Account Representative. Deduction of any other allowances as necessary for compliance with the allowance limitation shall be on a first-in, first-out accounting basis in the order of the date and time of their recording in the WEB source’s compliance account, beginning with the allowances allocated to the WEB source and continuing with the allowances transferred to the WEB source’s compliance account from another compliance account or general account. The allowances held by the [state or tribe] for compliance at a WEB source pursuant to Section I1(b) of this Rule shall be deducted as specified in that Section.

2. Certification of Compliance

(a) For each control period in which a WEB source is subject to the allowance limitation, the Account Representative of the source shall submit to [state or tribe] a Compliance Certification report for the source.

(b) The Compliance Certification report shall be submitted no later than the allowance transfer deadline of each control period, and shall contain the following:

(1) Identification of each WEB source;

(2) At the Account Representative’s option, the serial numbers of the allowances that are to be deducted from a source’s compliance account for compliance with the allowance limitation; and

(3) The Compliance Certification report according to subpart (c) of this section.

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(c) In the Compliance Certification report, the Account Representative shall certify, based on reasonable inquiry of those persons with primary responsibility for operating the WEB source in compliance with the WEB Trading Program, whether the WEB source for which the compliance certification is submitted was operated during the control period covered by the report in compliance with the requirements of the WEB Trading Program applicable to the source including:

(1) Whether the WEB source operated in compliance with the SO2 allowance limitation;

(2) Whether SO2 emissions data has been submitted to [states or tribe] in accordance with Section I1of this Rule and other applicable guidance, for review, revision as necessary, and finalization for forwarding to the SO2

Emissions and Allowance Tracking System for recording;

(3) Whether the monitoring plan that governs the WEB source has been maintained to reflect the actual operation and monitoring of the source, and contains all information necessary to attribute SO2 emissions to the source, in accordance with Section I1 of this Rule;

(4) Whether all the SO2 emissions from the WEB source if applicable, were monitored or accounted for either through the applicable monitoring or through application of the appropriate missing data procedures;

(5) If applicable, whether any SO2 emitting unit for which the WEB source is not required to monitor in accordance with Section I1A(3) of this rule remained permanently retired and had no emissions for the entire applicable period; and

(6) Whether there were any changes in the method of operating or monitoring the WEB source that required monitor recertification. If there were any such changes, the report must specify the nature, reason, and date of the change, the method to determine compliance status subsequent to the change, and specifically, the method to determine SO2 emissions.

3. Penalties for any WEB source exceeding its allowance limitations

(a) Allowance deduction penalties

If emissions from a WEB source exceed the allowance limitation for a control period, as determined in accordance with Section L1 of this Rule, the source’s allowances held in its compliance account will be reduced by an amount equal to two times the source’s tons of excess emissions. If the compliance account does not have sufficient allowances allocated for that control period, the required number of allowances will be deducted from the WEB source’s compliance account regardless of the control period for which they were allocated, once allowances are recorded in the account.

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(2) Any allowance deduction required under this Section shall not affect the liability of the owners and operators of the WEB source for any fine, penalty or assessment or their obligation to comply with any other remedy, for the same violation, as ordered under the Clean Air Act, implementing regulations or applicable state or tribal law..

(b) Financial penalties

A financial penalty of $5,000 per ton of SO2 emissions in excess of the WEB source’s allowance limitation shall be levied.

4. Liability

(a) WEB Source liability for non-complianceSeparate and regardless of any automatic penalties assessed for allowance deduction penalty and financial penalty, a WEB source that violates any requirement of this Rule, including monitoring record keeping and reporting requirements, is subject to civil and criminal penalties under [state or tribe] law and the Clean Air Act. Each day of the control period is a separate violation, and each ton of SO2 emissions in excess of a source’s allowance limitation is a separate violation.

(b) General liability[State or tribe] may or may not be able to adopt the liability provisions. If a state has existing liability Rules, those can be referenced in this location.]

(1) Any provision of the WEB Trading Program that applies to a source or an Account Representative shall apply also to the owners and operators of such source.

(2) Any person who violates any requirement or prohibition of the WEB Trading Program will be subject to enforcement pursuant to applicable state, tribal or federal law.

(3) Any person who knowingly makes a false material statement in any record, submission, or report under this WEB Trading Program shall be subject to criminal enforcement pursuant to the applicable state, tribal or federal law.

M. Special Penalty Provisions for the 2018 Milestone

1. If the WEB Trading Program is triggered as outlined in Section A of the SO2 Milestones and Backstop Trading Program Implementation Plan, and the first control period will not occur until after the year 2018, the following provisions shall apply for the 2018 emissions year.

(a) All WEB sources shall register, and open a compliance account within 180 days after the Program Trigger Date, in accordance with Sections F1 and H of this Rule.

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(b) The Tracking System Administrator will record the allowances for the 2018 control period for each WEB source in the source’s compliance account once [state or tribe] allocates the 2018 allowances under Section C1 and D1 of the SO2 Milestones and Backstop Trading Program Implementation Plan.

(c) The allowance transfer deadline is midnight Pacific Standard Time on May 30, 2021. WEB sources may transfer allowances as provided in Section J1 of this Rule until the allowance transfer deadline.

(d) A WEB source must hold allowances allocated for 2018 including those transferred into the compliance account by an allowance transfer correctly submitted by the allowance transfer deadline, in an amount not less than the WEB source’s total SO2 emissions for 2018. Emissions are determined using the pre-trigger monitoring provisions in Section B of the SO2 Milestones and Backstop Trading Program Implementation Plan, and [refer to state or tribe emission inventory or equivalent rule].

(e) An allowance deduction penalty and financial penalty shall be assessed and levied in accordance with Sections K4, L1(d) and L3 of this Rule, except that SO2 emissions shall be determined under Section M1(d) of this Rule.

2. If the program has been triggered and provision M1 is implemented, the provisions of M3 of this Rule shall apply for each year after the 2018 emission year until:

(a) The first control period under the WEB trading program; or

(c) [State or Tribe] determined, in accordance with section A3.10 of the Implementation Plan, that the 2018 SO2 milestone has been met.

3. If provision M1 was implemented, the following shall apply to each emissions year after the 2018 emissions year:

(a) The Tracking System Administrator will record the allowances for the control period for the specific year for each WEB source in the source’s compliance account once [state or tribe] allocates the allowances under Section C1 of the SO2 Milestones and Backstop Trading Program Implementation Plan.

(b) The allowance transfer deadline is midnight Pacific Standard Time on March 1 of each year (or if this date is not a business day, midnight of the first business day thereafter) following the end of the specific emissions year. WEB sources may transfer allowances as provided in Section J1 of this Rule until the allowance transfer deadline.

(c) A WEB source must hold allowances allocated for that specific emissions year, or any year after 2018, including those transferred into the compliance account by an allowance transfer correctly submitted by the allowance transfer deadline, in an amount

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not less than the WEB source’s total SO2 emissions for the specific emissions year. Emissions are determined using the pre-trigger monitoring provisions in Section B of the SO2 Milestones and Backstop Trading Program Implementation Plan, and [refer to state or tribe emission inventory or equivalent rule].

(d) An allowance deduction penalty and financial penalty shall be assessed and levied in accordance with Sections K4, L1(d) and L3 of this Rule, except that SO2 emissions shall be determined under Section M3(c) of this Rule.

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APPENDIX A: WEB MODEL RULE MONITORING PROTOCOLS

Protocol WEB-1: SO2 Monitoring of Fuel Gas Combustion Devices

1. Applicability

(a) The provisions of this protocol are applicable to fuel gas combustion devices at petroleum refineries.

(b) Fuel gas combustion devices include boilers, process heaters, and flares used to burn fuel gas generated at a petroleum refinery.

(c) Fuel gas means any gas which is generated and combusted at a petroleum refinery. Fuel gas does not include: (1) natural gas, unless combined with other gases generated at a petroleum refinery, (2) gases generated by a catalytic cracking unit catalyst regenerator, (3) gases generated by fluid coking burners, (4) gases combusted to produce sulfur or sulfuric acid, or (5) process upset gases generated due to startup, shutdown, or malfunctions.

2. Monitoring Requirements

(a) Except as provided in paragraphs (b) and (c) of this Section 2, fuel gas combustion devices shall use a continuous fuel gas monitoring system (CFGMS) to determine the total sulfur content (reported as H2S) of the fuel gas mixture prior to combustion, and continuous fuel flow meters to determine the amount of fuel gas burned.

(1) Fuel gas combustion devices having a common source of fuel gas may be monitored for sulfur content at one location, if monitoring at that location is representative of the sulfur content of the fuel gas being burned in any fuel gas combustion device.

(2) The CFGMS shall meet the performance requirements in Performance Specification 2 in Appendix B to 40 CFR Part 60, and the following:

(i) Continuously monitor and record the concentration by volume of total sulfur compounds in the gaseous fuel reported as ppmv H2S.

(ii) Have the span value set so that the majority of readings fall between 10 and 95% of the range.

(iii) Record negative values of zero drift.

(iv) Calibration drift shall be 5.0% of the span.

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(v) Methods 15A, 16, or approved alternatives for total sulfur, are the reference methods for the relative accuracy test. The relative accuracy test shall include a bias test in accordance with paragraph 4(c) of this section.

(3) All continuous fuel flow meters shall comply with the applicable provisions of Appendix D to 40 CFR Part 75.

(4) The hourly mass SO2 emissions shall be calculated using the following equation:

E = (CS)(Qf)(K)

where: E = SO2 emissions in lbs/hrCS = Sulfur content of the fuel gas as H2S(ppmv)Qf = Fuel gas flow rate (scfh) K = 1.660 x 10-7 (lb/scf)/ppmv

(b) In place of a CFGMS in paragraph (a) of this Section 2, fuel gas combustion devices having a common source of fuel gas may be monitored with an SO2 CEMS and flow CEMS at only one location, if the CEMS monitoring at that location is representative of the SO2 emission rate (lb SO2/scf fuel gas burned) of all applicable fuel gas combustion devices. Continuous fuel flow meters shall be used in accordance with paragraph (b), and the fuel gas combustion device monitored by a CEMS shall have separate fuel metering.

(1) Each CEMS for SO2 and flow shall comply with the operating requirements, performance specifications, and quality assurance requirements of 40 CFR Part 75.

(2) All continuous fuel flow meters shall comply with the applicable provisions of Appendix D to 40 CFR Part 75.

(3) The SO2 mass emissions for all the fuel gas combustion devices monitored by this approach shall be determined by the ratio of the amount of fuel gas burned by the CEMS-monitored fuel gas combustion device to the total fuel gas burned by all applicable fuel gas combustion devices using the following equation:

Et = (Em)(Qt)/(Qm)

where: Et = Total SO2 emissions in lbs/hr from applicable fuel gas combustion devices.Em = SO2 emissions in lbs/hr from the CEMS-monitored fuel gas combustion device.

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Qt = Fuel gas flow rate (scfh) from applicable fuel gas combustion devices.Qm = Fuel gas flow rate (scfh) from the CEMS-monitored fuel gas combustion device.

(c) In place of a CFGMS in paragraph (a) of this section, fuel gas combustion devices having a common source of fuel gas may be monitored with an SO2 - diluent CEMS at only one location, if the CEMS monitoring at that location is representative of the SO2 emission rate (lb SO2/mmBtu) of all applicable fuel gas combustion devices. If this option is selected, the owner or operator shall conduct fuel gas sampling and analysis for gross calorific value (GCV), and shall use continuous fuel flow metering in accordance with paragraph (a) of this Section 2, with separate fuel metering for the CEMS-monitored fuel gas combustion device.

(1) Each SO2-diluent CEMS shall comply with the applicable provisions for SO2

monitors and diluent monitors in 40 CFR Part 75, and shall use the procedures in section 3 of Appendix F to Part 75 for determining SO2 emission rate (lb/mmBtu) by substituting the term SO2 for NOx in that section.

(2) All continuous fuel flow meters and fuel gas sampling and analysis for GCV to determine the heat input rate from the fuel gas shall comply with the applicable provisions of Appendix D to 40 CFR Part 75.

(3) The SO2 mass emissions for all the fuel gas combustion devices monitored by this approach shall be determined by the ratio of the fuel gas heat input to the CEMS-monitored fuel gas combustion device to the total fuel gas heat input to all applicable fuel gas combustion devices using the following equation:

Et = (Em)(Ht)/(Hm)

where: Et = Total SO2 emissions in lbs/hr from applicable fuel gas combustion devices.Em = SO2 emissions in lb/mmBtu from the CEMS - monitored fuel gas combustion device.Ht = Fuel gas heat input (mmBtu/hr) from applicable fuel gas combustion devices.Hm = Fuel gas heat input (mmBtu/hr) from the CEMS - monitored fuel gas combustion device.

3. Certification/Recertification Requirements

All monitoring systems are subject to initial certification and recertification testing as follows:

(a) The owner or operator shall comply with the initial testing and calibration requirements in Performance Specification 2 in Appendix B of 40 CFR Part 60 and paragraph 2 (a)(2) of this section for each CFGMS.

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(b) Each CEMS for SO2 and flow or each SO2-diluent CEMS shall comply with the testing and calibration requirements specified in 40 CFR Part 75, section 75.20 and Appendices A and B, except that each SO2-diluent CEMS shall meet the relative accuracy requirements for a NOx-diluent CEMS (lb/mmBtu).

(c) A continuous fuel flow meter shall comply with the testing and calibration requirements in 40 CFR Part 75, Appendix D.

4. Quality Assurance/Quality Control Requirements

(a) A quality assurance/quality control (QA/QC) plan shall be developed and implemented for each CEMS for SO2 and flow or the SO2-diluent CEMS in compliance with Appendix B of 40 CFR Part 75.

(b) A QA/QC plan shall be developed and implemented for each continuous fuel flow meter and fuel sampling and analysis in compliance with Appendix B of 40 CFR Part 75.

(c) A QA/QC plan shall be developed and implemented for each CFGMS in compliance with sections 1 and 1.1 of Appendix B of 40 CFR Part 75, and the following:

(1) Perform a daily calibration error test of each CFGMS at two gas concentrations, one low level and one high level. Calculate the calibration error as described in Appendix A to 40 CFR Part 75. An out of control period occurs whenever the error is greater than 5.0% of the span value.

(2) In addition to the daily calibration error test, an additional calibration error test shall be performed whenever a daily calibration error test is failed, whenever a monitoring system is returned to service following repairs or corrective actions that may affect the monitor measurements, or after making manual calibration adjustments.

(3) Perform a linearity test once every operating quarter. Calculate the linearity as described in Appendix A to 40 CFR Part 75. An out of control period occurs whenever the linearity error is greater than 5.0 percent of a reference value, and the absolute value of the difference between average monitor response values and a reference value is greater than 5.0 ppm.

(4) Perform a relative accuracy test audit once every four operating quarters. Calculate the relative accuracy as described in Appendix A to 40 CFR Part 75. An out of control period occurs whenever the relative accuracy is greater than 20.0% of the mean value of the reference method measurements.

(5) Using the results of the relative accuracy test audit, conduct a bias test in accordance with Appendix A to 40 CFR Part 75, and calculate and apply a bias

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adjustment factor if required.

5. Missing Data Procedures

(a) For any period in which valid data are not being recorded by an SO2 CEMS or flow CEMS specified in this section, missing or invalid data shall be replaced with substitute data in accordance with the requirements in Subpart D of 40 CFR Part 75.

(b) For any period in which valid data are not being recorded by an SO2-diluent CEMS specified in this section, missing or invalid data shall be replaced with substitute data on a rate basis (lb/mmBtu) in accordance with the requirements for SO2 monitors in Subpart D of 40 CFR Part 75.

(c) For any period in which valid data are not being recorded by a continuous fuel flow meter or for fuel gas GCV sampling and analysis specified in this section, missing or invalid data shall be replaced with substitute data in accordance with missing data requirements in Appendix D to 40 CFR Part 75.

(d) For any period in which valid data are not being recorded by the CFGMS specified in this section, hourly missing or invalid data shall be replaced with substitute data in accordance with the missing data requirements for units performing hourly gaseous fuel sulfur sampling in section 2.4 of Appendix D to 40 CFR Part 75.

6. Monitoring Plan and Reporting Requirements

In addition to the general monitoring plan and reporting requirements of Section I of this Rule, the owner or operator shall meet the following additional requirements:

(a) The monitoring plan shall identify each group of units that are monitored by a single monitoring system under this Protocol WEB-1, and the plan shall designate an identifier for the group of units for emissions reporting purposes. For purpose of submitting emissions reports, no apportionment of emissions to the individual units within the group is required.

(b) If the provisions of paragraphs 2(b) or (c) are used, provide documentation and an explanation to demonstrate that the SO2 emission rate from the monitored unit is representative of the rate from non-monitored units.

Protocol WEB-2: Predictive Flow Monitoring Systems for Kilns with Positive Pressure Fabric Filter

1. Applicability

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The provisions of this protocol are applicable to cement kilns or lime kilns that (1) are controlled by a positive pressure fabric filter, and (2) have operating conditions upstream of the fabric filter that the WEB source documents would reasonably prevent reliable flow monitor measurements.

2. Monitoring Requirements

(a) A cement or lime kiln with a positive pressure fabric filter shall use a predictive flow monitoring system (PFMS) to determine the hourly kiln exhaust gas flow.

(b) A PFMS is the total equipment necessary for the determination of exhaust gas flow using process or control device operating parameter measurements and a conversion equation, a graph, or computer program to produce results in cubic feet per hour.

(c) The PFMS shall meet the following performance specifications:

(1) The PFMS must allow for the automatic or manual determination of failed monitors. At a minimum a daily determination must be performed.

(2) The PFMS shall have provisions to check the calibration error of each parameter that is individually measured. The owner or operator shall propose appropriate performance specifications in the initial monitoring plan for all parameters used in the PFMS comparable to the degree of accuracy required for other monitoring systems used to comply with this Rule. The parameters shall be tested at two levels, low: 0 to 20% of full scale, and high: 50 to 100% of full scale. The reference value need not be certified.

(3) The relative accuracy of the PFMS must be < 10.0% of the reference method average value, and include a bias test in accordance with paragraph 4(c) of this section.

3. Certification Requirements

The PFMS is subject to initial certification testing as follows:

(a) Demonstrate the ability of the PFMS to identify automatically or manually a failed monitor.

(b) Provide evidence of calibration testing of all monitoring equipment. Any tests conducted within the previous 12 months of operation that are consistent with the QA/QC plan for the PFMS are acceptable for initial certification purposes.

(c) Perform an initial relative accuracy test over the normal range of operating conditions of the kiln. Using the results of the relative accuracy test audit, conduct a bias test in accordance with Appendix A to 40 CFR Part 75, and calculate and apply a bias adjustment factor if required.

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4. Quality Assurance/Quality Control Requirements

A QA/QC plan shall be developed and implemented for each PFMS in compliance with sections 1 and 1.1 of Appendix B of 40 CFR Part 75, and the following:

(a) Perform a daily monitor failure check.

(b) Perform calibration tests of all monitors for each parameter included in the PFMS. At a minimum, calibrations shall be conducted prior to each relative accuracy test audit.

(c) Perform a relative accuracy test audit and accompanying bias test once every four operating quarters. Calculate the relative accuracy (and bias adjustment factor) as described in Appendix A to 40 CFR Part 75. An out of control period occurs whenever the flow relative accuracy is greater than 10.0% of the mean value of the reference method.

5. Missing Data

For any period in which valid data are not being recorded by the PFMS specified in this section, hourly missing or invalid data shall be replaced with substitute data in accordance with the flow monitor missing data requirements for non-load based units in Subpart D of 40 CFR Part 75.

6. Monitoring Plan Requirements

In addition to the general monitoring plan requirements of Section I of this Rule, the owner or operator shall meet the following additional requirements:

(a) The monitoring plan shall document the reasons why stack flow measurements upstream of the fabric filter are unlikely to provide reliable flow measurements over time.

(b) The initial monitoring plan shall explain the relationship of the proposed parameters and stack flow, and discuss other parameters considered and the reasons for not using those parameters in the PFMS. The [state or tribe] may require that the subsequent monitoring plan include additional explanation and documentation for the reasonableness of the proposed PFMS.

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Appendix P: EPA Completeness Criteria for the Regional Haze SIP

Appendix V to Part 51 -- Criteria for Determining the Completeness of Plan Submissions

1.0. Purpose

This appendix V sets forth the minimum criteria for determining whether a State implementation plan submitted for consideration by EPA is an official submission for purposes of review under § 51.103.

1.1 The EPA shall return to the submitting official any plan or revision thereof which fails to meet the criteria set forth in this appendix V, and request corrective action, identifying the component(s) absent or insufficient to perform a review of the submitted plan.

1.2 The EPA shall inform the submitting official whether or not a plan submission meets the requirements of this appendix V within 60 days of EPA's receipt of the submittal, but no later than 6 months after the date by which the State was required to submit the plan or revision. If a completeness determination is not made by 6 months from receipt of a submittal, the submittal shall be deemed complete by operation of law on the date 6 months from receipt. A determination of completeness under this paragraph means that the submission is an official submission for purposes of § 51.103.

2.0. Criteria

The following shall be included in plan submissions for review by EPA:

2.1. Administrative Materials

(a) A formal letter of submittal from the Governor or his designee, requesting EPA approval of the plan or revision thereof (hereafter "the plan").

(b) Evidence that the State has adopted the plan in the State code or body of regulations; or issued the permit, order, consent agreement (hereafter "document") in final form. That evidence shall include the date of adoption or final issuance as well as the effective date of the plan, if different from the adoption/issuance date.

(c) Evidence that the State has the necessary legal authority under State law to adopt and implement the plan.

(d) A copy of the actual regulation, or document submitted for approval and incorporation by reference into the plan, including indication of the changes made to the existing approved plan, where applicable. The submittal shall be a copy of the official State regulation /document signed, stamped, dated by the appropriate State official indicating that it is fully enforceable by the State. The effective date of the regulation/document shall, whenever possible, be indicated in the document itself.

(e) Evidence that the State followed all of the procedural requirements of the State's laws and constitution in conducting and completing the adoption/issuance of the plan.

(f) Evidence that public notice was given of the proposed change consistent with procedures approved by EPA, including the date of publication of such notice.

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(g) Certification that public hearings(s) were held in accordance with the information provided in the public notice and the State's laws and constitution, if applicable.

(h) Compilation of public comments and the State's response thereto.

2.2. Technical Support

(a) Identification of all regulated pollutants affected by the plan.

(b) Identification of the locations of affected sources including the EPA attainment/nonattainment designation of the locations and the status of the attainment plan for the affected areas(s).

(c) Quantification of the changes in plan allowable emissions from the affected sources; estimates of changes in current actual emissions from affected sources or, where appropriate, quantification of changes in actual emissions from affected sources through calculations of the differences between certain baseline levels and allowable emissions anticipated as a result of the revision.

(d) The State's demonstration that the national ambient air quality standards, prevention of significant deterioration increments, reasonable further progress demonstration, and visibility, as applicable, are protected if the plan is approved and implemented. For all requests to redesignate an area to attainment for a national primary ambient air quality standard, under section 107 of the Act, a revision must be submitted to provide for the maintenance of the national primary ambient air quality standards for at least 10 years as required by section 175A of the Act.

(e) Modeling information required to support the proposed revision, including input data, output data, models used, justification of model selections, ambient monitoring data used, meteorological data used, justification for use of offsite data (where used), modes of models used, assumptions, and other information relevant to the determination of adequacy of the modeling analysis.

(f) Evidence, where necessary, that emission limitations are based on continuous emission reduction technology.

(g) Evidence that the plan contains emission limitations, work practice standards and recordkeeping/reporting requirements, where necessary, to ensure emission levels.

(h) Compliance/enforcement strategies, including how compliance will be determined in practice.

(i) Special economic and technological justifications required by any applicable EPA policies, or an explanation of why such justifications are not necessary.

2.3. Exceptions

2.3.1. The EPA, for the purposes of expediting the review of the plan, has adopted a procedure referred to as "parallel processing." Parallel processing allows a State to submit the plan prior to actual adoption by the State and provides an opportunity for the State to consider EPA comments prior to submission of a final plan for final review and action. Under these circumstances, the plan submitted will not be able to meet all of the requirements of paragraph 2.1 (all requirements of paragraph 2.2 will apply). As a result, the following exceptions apply to plans submitted explicitly for parallel processing:

(a) The letter required by paragraph 2.1(a) shall request that EPA propose approval of the proposed plan by parallel processing.

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(b) In lieu of paragraph 2.1(b) the State shall submit a schedule for final adoption or issuance of the plan.

(c) In lieu of paragraph 2.1(d) the plan shall include a copy of the proposed/draft regulation or document, including indication of the proposed changes to be made to the existing approved plan, where applicable.

(d) The requirements of paragraphs 2.1(e)-2.1(h) shall not apply to plans submitted for parallel processing.

2.3.2. The exceptions granted in paragraph 2.3.1 shall apply only to EPA's determination of proposed action and all requirements of paragraph 2.1 shall be met prior to publication of EPA's final determination of plan approvability.

[55 FR 5830, Feb. 16, 1990, as amended at 56 FR 42219, Aug. 26, 1991; 56 FR 57288, Nov. 8, 1991]

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Appendix Q: Tribal Emissions Inventory Software Solution (TEISS)

Tribal Emissions Inventory Software Solution (TEISS) was developed in consultation with the Tribal Data Development workgroup of the WRAP. The main objective of TEISS is to make it easier for tribes to complete emission inventories for their lands without the assistance of a contractor. TEISS provides a guided, user friendly program that will help a tribe complete an emission inventory. It will provide guidance on how to identify sources of air pollution including point, area, and mobile sources for both criteria pollutants and hazardous air pollutants (HAPs, or air toxics), to include in an inventory. Then it suggests what kind of information the tribe needs to collect for the activity data for each source-type the tribe wants to include.1 Once the tribal staff has collected the activity data, they enter them into TEISS which then automatically calculates emissions estimates using EPA methods and emission factors. Tribal staff can also import data from other sources, such as the National Emission Inventory, to include as part of their inventory. For sources where no measurements are available, emissions can be based on processes using any of the hundreds of emissions estimation calculators for all processes contained in AP-42 and the Emissions Inventory Improvement Program (EIIP).2

After the data are entered and the calculations are done, TEISS creates several kinds of graphs and summary tables to aid in the presentation and interpretation of the data. It does not do a lot of analysis past the summary data displays. It does not do any emission forecasting for future-year inventories, although historical emissions tracking is possible. A tribe can import county-level area source emission estimates developed by the states or EPA for comparison purposes, but it will not apportion those estimates to reservations. It does enable electronic data sharing of essential information between tribes, states, and local and federal agencies. It has an integrated geographic information system (GIS) interface (no need to purchase GIS software) to allow tribal staff to look at maps of the reservation and the counties and states surrounding it and to show the locations of the sources included in the inventory. The GIS-based system allows for quick review and identification of emissions sources within a visual and spatial context.

Having an accurate and current emissions inventory can provide the tribe with tools for decision and policymaking on which emissions are the most effective to control.

1 Generally, activity data multiplied by emission factors produce emissions estimates. For example, vehicle miles traveled (VMT) multiplied by grams per mile emission factors (developed by EPA and others) produce grams (can be converted to pounds or tons) of pollutants.2? AP-42 is a standard EPA reference document Compilation of Air Pollutant Emission Factors, Volume I: Stationary Point and Area Sources, and Volume II: Mobile Sources used to develop emissions inventories. It is available on the web at http://www.epa.gov/ttn/chief/ap42/ (Volume I) and http://www.epa.gov/otaq/ap42.htm (Volume II).

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http://www.epa.gov/otaq/ap42.htm

http://www.epa.gov/ttn/chief/ap42/

Appendix R: List of Eligible Tribes

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By using the Federal Register (68 FR 68180, Friday, December 5, 2003), 185 federally recognized tribes were identified in the nine state western region.1 Each tribe is numbered and listed by the state. Where tribes are listed under more than one state, they have been placed under a multi-state category. Shading indicates a name change or a question of whether or not one tribe with multiple bands or rancherias would be counted as one tribe or more. See number 88 for an example.

Disclaimer: Although the Federal Register was used to compile the list below and other input was sought, we are not sure that the list is entirely accurate. Please send any comments to Bob Gruenig, National Tribal Environmental Council at [email protected]

ARIZONA (17)1. Ak Chin Indian Community of the Maricopa (Ak Chin) Indian Reservation Arizona2. Cocopah Tribe of Arizona3. Fort McDowell Yavapai Nation, Arizona (formerly the Fort McDowell Mohave-Apache Community

of the Fort McDowell Indian Reservation)4. Gila River Indian Community of the Gila River Indian Reservation, Arizona5. Havasupai Tribe of the Havasupai Reservation, Arizona6. Hopi Tribe of Arizona7. Hualapai Indian Tribe of the Hualapai Indian Reservation, Arizona8. Kaibab Band of Paiute Indians of the Kaibab Indian Reservation, Arizona9. Pascua Yaqui Tribe of Arizona10. Salt River Pima-Maricopa Indian Community of the Salt River Reservation, Arizona11. San Carlos Apache Tribe of the San Carlos Reservation, Arizona12. San Juan Southern Paiute Tribe of Arizona13. Tohono O’odham Nation of Arizona14. Tonto Apache Tribe of Arizona15. White Mountain Apache Tribe of the Fort Apache Reservation, Arizona16. Yavapai-Apache Nation of the Camp Verde Indian Reservation, Arizona17. Yavapai-Prescott Tribe of the Yavapai Reservation, Arizona

CALIFORNIA (104)18. Agua Caliente Band of Cahuilla Indians of the Aqua Caliente Indian Reservation, California19. Alturas Indian Rancheria, California20. Augustine Band of Cahuilla Mission of the Augustine Reservation, California21. Bear River Band of the Rohnerville Rancheria, California22. Berry Creek Rancheria of Maidu Indians of California23. Big Lagoon Rancheria, California24. Big Pine Band of Owens Valley Paiute Shoshone Indians of the Big Pine Reservation, California25. Big Sandy Rancheria of Mono Indians of California26. Big Valley Band of Pomo Indians of the Big Valley Rancheria, California27. Blue Lake Rancheria, California28. Bridgeport Paiute Indian Colony of California 29. Buena Vista Rancheria of Me-Wuk Indians of California30. Cabazon Band of Mission Indians, California (previously listed as the Cabazon Band of Cahuilla

Mission Indians of the Cabazon Reservation)31. Cachil DeHe Band of Wintun Indians of Colusa Indian Community of the Colusa Rancheria, California

1 The nine states include: Arizona, California, Colorado, Idaho, Nevada, New Mexico, Oregon, Utah and Wyoming.

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32. Cahuilla Band of Mission Indians of the Cahuilla Reservation, California33. Cahto Indian Tribe of the Laytonville Rancheria, California34. California Valley Miwok Tribe, California (formerly the Sheep Ranch Rancheria of Me-Wuk Indians of

California)35. Campo Band of Diegueno Mission Indians of the Campo Indian Reservation, California36. Capitan Grande Band of Diegueno Mission Indians of California37. Barona Group of Capitan Grande Band of Mission Indians of the Barona Reservation, California38. Viejas (Baron Long) Group of Capitan Grande Band of Mission Indians of the Viejas Reservation,

California39. Cedarville Rancheria, California40. Chemehuevi Indian Tribe of the Chemehuevi Reservation, California41. Cher-Ae Heights Indian Community of the Trinidad Rancheria42. Chicken Ranch Rancheria of Me-Wuk Indians, California43. Cloverdale Rancheria of Pomo Indians of California44. Cold Springs Rancheria of Mono Indians of California45. Cortina Indian Rancheria of Wintun Indians of California46. Coyote Valley Band of Pomo Indians of California47. Death Valley Timbi-Sha Shoshone Band of California48. Dry Creek Rancheria of Pomo Indians of California49. Elem Indian Colony of Pomo Indians of the Sulphur Bank Rancheria, California50. Elk Valley Rancheria, California51. Enterprise Rancheria of Maidu Indians of California52. Ewiiaapaayp Band of Kumeyaay Indians, California (formerly the Cuyapaipe Community of Diegueno

Mission Indians of the Cuyapaipe Reservation)53. Federated Indians of Graton Rancheria, California (formerly the Graton Rancheria)54. Fort Bidwell Indian Community of the Fort Bidwell Reservation of California55. Fort Independence Indian Community of Paiute Indians of the Fort Independence Reservation,

California56. Greenville Rancheria of Maidu Indians of California57. Grindstone Indian Rancheria of Wintun-Wailaki Indians of California58. Guidiville Rancheria of California59. Hoopa Valley Tribe, California60. Hopland Band of Pomo Indians of the Hopland Rancheria, California61. Inaja Band of Diegueno Mission Indians of the Inaja and Cosmit Reservation, California62. Ione Band of Miwok Indians 63. Jackson Rancheria of Me-Wuk Indians of California 64. Jamul Indian Village of California65. Karuk Tribe of California66. Kashia Band of Pomo Indians of the Stewarts Point Rancheria, California67. La Jolla Band of Luiseno Mission Indians of the La Jolla Reservation, California68. La Posta Band of Diegueno Mission Indians of the La Posta Indian Reservation, California69. Lower Lake Rancheria, California70. Los Coyotes Band of Cahuilla & Cupeno Indians of the Los Coyotes Reservation, California (formerly

the Los Coyotes Band of Cahuilla Mission Indians of the Los Coyotes Reservation)71. Lytton Rancheria of California72. Manchester Band of Pomo Indians of the Manchester-Point Arena Rancheria, California73. Manzanita Band of Diegueno Mission Indians of the Manzanita Reservation, California74. Mechoopda Indian Tribe of Chico Rancheria, California75. Mesa Grande Band of Diegueno Mission Indians of the Mesa Grande Reservation, California76. Middletown Rancheria of Pomo Indians of California77. Mooretown Rancheria of Maidu Indians of California78. Morongo Band of Cahuilla Mission Indians of the Morongo Reservation, California

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79. North Fork Rancheria of Mono Indians of California 80. Paiute-Shoshone Indians of the Bishop Community of the Bishop Colony, California81. Paiute-Shoshone Indians of the Lone Pine Community of the Lone Pine Reservation, California82. Pala Band of Luiseno Mission Indians of the Pala Reservation, California83. Paskenta Band of Nomlaki Indians of California 84. Pauma Band of Luiseno Mission Indians of the Pauma & Yuima Reservation, California85. Pechanga Band of Luiseno Mission Indians of the Pechanga Reservation, California86. Picayune Rancheria of Chukchansi Indians of California87. Pinoleville Rancheria of Pomo Indians of California88. Pit River Tribe, California (includes XL Ranch, Big Bend, Likely, Lookout, Montgomery Creek and

Roaring Creek Rancherias)89. Potter Valley Rancheria of Pomo Indians of California90. Quartz Valley Indian Community of the Quartz Valley Reservation of California91. Ramona Band or Village of Cahuilla Mission Indians of California92. Redding Rancheria, California93. Redwood Valley Rancheria of Pomo Indians of California94. Resighini Rancheria, California (formerly the Coast Indian Community of Yurok Indians of the

Resighini Rancheria)95. Rincon Band of Luiseno Mission Indians of the Rincon Reservation, California 96. Robinson Rancheria of Pomo Indians of California97. Round Valley Indian Tribes of the Round Valley Reservation, California (formerly the Covelo Indian

Community)98. Rumsey Indian Rancheria of Wintun Indians of California99. San Manual Band of Serrano Mission Indians of the San Manual Reservation, California100. San Pasqual Band of Diegueno Mission Indians of California101. Santa Rosa Indian Community of the Santa Rosa Rancheria, California102. Santa Rosa Band of Cahuilla Mission Indians of the Santa Rosa Reservation, California103. Santa Ynez Band of Chumash Mission Indians of the Santa Ynez Reservation, California104. Santa Ysabel Band of Diegueno Mission Indians of the Santa Ysabel Reservation, California105. Scotts Valley Band of Pomo Indians of California106. Sherwood Valley Rancheria of Pomo Indians of California107. Shingle Springs Band of Miwok Indians, Shingle Springs Rancheria (Verona Tract), California108. Smith River Rancheria, California109. Soboba Band of Luiseno Indians, California (formerly the Soboba Band of Luiseno Mission Indians of

the Soboba Reservation)110. Susanville Indian Rancheria, California111. Sycuan Band of Diegueno Mission Indians of California112. Table Bluff Reservation—Wiyot Tribe, California113. Table Mountain Rancheria of California114. Torres-Martinez Band of Cahuilla Mission Indians of California115. Tule River Indian Tribe of the Tule River Reservation, California116. Tuolumne Band of Me-Wuk Indians of the Tuolumne Band Rancheria of California117. Twenty-Nine Palms Band of Mission Indians of California118. United Auburn Indian Community of the Auburn Rancheria of California119. Upper Lake Band of Pomo Indians of Upper Lake Rancheria of California120. Utu Utu Gwaitu Paiute Tribe of the Benton Paiute Reservation, California121. Yurok Tribe of the Yurok Reservation, California

COLORADO (1)122.. Southern Ute Indian Tribe of the Southern Ute Reservation, Colorado

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IDAHO (4)123. Coeur D’Alene Tribe of the Coeur D. Alene Reservation, Idaho124. Kootenai Tribe of Idaho125. Nez Perce Tribe of Idaho126. Shoshone-Bannock Tribes of the Fort Hall Reservation of Idaho

NEW MEXICO (21)

127.Jicarilla Apache Nation, New Mexico (formerly the Jicarilla Apache Tribe of the Jicarilla Apache Indian Reservation)

128. Mescalero Apache Tribe of the Mescalero Reservation, New Mexico129. Pueblo of Acoma, New Mexico130. Pueblo of Cochiti, New Mexico131. Pueblo of Jemez, New Mexico132. Pueblo of Isleta, New Mexico133. Pueblo of Laguna, New Mexico134. Pueblo of Nambe, New Mexico135. Pueblo of Picuris, New Mexico136. Pueblo of Pojoaque, New Mexico137. Pueblo of San Felipe, New Mexico138. Pueblo of San Juan, New Mexico139. Pueblo of San Ildefonso, New Mexico140. Pueblo of Sandia, New Mexico141. Pueblo of Santa Ana, New Mexico142. Pueblo of Santa Clara, New Mexico143. Pueblo of Santo Domingo, New Mexico144. Pueblo of Taos, New Mexico145. Pueblo of Tesuque, New Mexico146. Pueblo of Zia, New Mexico147. Zuni Tribe of the Zuni Reservation, New Mexico

NEVADA (15)148. Duckwater Shoshone Tribe of the Duckwater Reservation, Nevada149. Ely Shoshone Tribe of Nevada150. Las Vegas Tribe of Paiute Indians of the Las Vegas Indian Colony, Nevada151. Lovelock Paiute Tribe of the Lovelock Indian Colony, Nevada

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152. Moapa Band of Paiute Indians of the Moapa River Indian Reservation, Nevada153. Paiute-Shoshone Tribe of the Fallon Reservation and Colony, Nevada154. Pyramid Lake Paiute Tribe of the Pyramid Lake Reservation, Nevada155. Reno-Sparks Indian Colony, Nevada156. Shoshone-Paiute Tribes of the Duck Valley Reservation, Nevada157. Summit Lake Paiute Tribe of Nevada

158.Te-Moak Tribe of Western Shoshone Indians of Nevada (Four constituent bands: Battle Mountain Band; Elko Band; South Fork Band and Wells Band)

159. Walker River Paiute Tribe of the Walker River Reservation, Nevada160. Winnemucca Indian Colony of Nevada161. Yerington Paiute Tribe of the Yerington Colony & Campbell Ranch, Nevada162. Yomba Shoshone Tribe of the Yomba Reservation, Nevada

OREGON (9)163. Burns Paiute Tribe of the Burns Paiute Indian Colony of Oregon164. Confederated Tribes of the Coos, Lower Umpqua and Siuslaw Indians of Oregon165. Confederated Tribes of the Grand Rhonda Community of Oregon166. Confederated Tribes of the Siletz Reservation, Oregon167. Confederated Tribes of the Umatilla Reservation, Oregon168. Confederated Tribes of the Warm Springs Reservation of Oregon169. Coquille Tribe of Oregon170. Cow Creek Band of Umpqua Indians of Oregon171. Klamath Indian Tribe of Oregon

UTAH (4)172. Northwestern Band of Shoshoni Nation of Utah (Washakie)

173.Paiute Indian Tribe of Utah (Cedar City Band of Paiutes, Kanosh Band of Paiutes, Koosharem Band of Paiutes, Indian Peaks Band of Paiutes, and Shivwits Band of Paiutes)

174. Skull Valley Band of Goshute Indians of Utah175. Ute Indian Tribe of the Uintah & Ouray Reservation, Utah

WYOMING (2)176. Arapahoe Tribe of the Wind River Reservation, Wyoming177. Shoshone Tribe of the Wind River Reservation, Wyoming

MULTI-STATE TRIBES (8)178. Arizona and California Colorado River Indian Tribes of the Colorado River Indian Reservation179. Arizona, New Mexico &

Utah Navajo Nation180. California and Arizona Quechan Tribe of the Fort Yuma Indian Reservation181. Arizona, California &

Nevada Fort Mojave Indian Tribe 182. Colorado, New Mexico &

Utah Ute Mountain Tribe of the Ute Mountain Reservation183.

Nevada & CaliforniaWashoe Tribe of Nevada & California (Carson Colony, Dresslerville Colony, Woodfords Community, & Washoe Ranches)

184. Nevada & OregonFort McDermitt Paiute and Shoshone Tribes of the Fort McDermitt Indian Reservation

185. Nevada & Utah Confederated Tribes of the Goshute Reservation

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Appendix S: Fact Sheet. EPA’s Interim Air Quality Policy on Wildland and Prescribed Fires.

5/17/98 FACT SHEETThe Environmental Protection Agency’s (EPA’s)

Interim Air Quality Policy on Wildland and Prescribed Fires

TODAY’S ACTION...

o The U.S. Environmental Protection Agency (EPA) is today issuing a national policy that addresses how best to achieve national clean air goals, including EPA’s national air quality standards for particulate matter, while improving the quality of wildland ecosystems (including forests and grasslands) through the increased use of fire.

o EPA worked in partnership with land management agencies in the U.S. Departments of Agriculture, Defense, and the Interior, State Foresters, State and Tribal air regulators, the Bureau of Indian Affairs and others to develop the Interim Air Quality Policy on Wildland and Prescribed Fires.

o EPA’s Policy provides incentives to States and Tribes to adopt and implement programs to minimize the public health and environmental impacts of smoke from fires that are managed to benefit resources or the environment, while providing the flexibility to tailor these programs to meet unique State and Tribal needs.

o EPA is issuing today’s action as an “interim” policy to provide immediate guidance to State and Tribal air quality and land managers on how best to manage fires on wildlands and meet air quality goals. EPA plans to revisit the Interim Air Quality Policy on Wildland and Prescribed Fires after finalizing issues related to agricultural burning and regional haze. EPA is currently working on a special U.S. Department of Agriculture taskforce to determine how best to treat air quality impacts from agricultural burning. EPA will work with the taskforce to refine the distinction between wildland fires, which are covered by this policy, and agricultural burning. In addition, EPA has not yet issued the final rules for implementing the Regional Haze Program. Therefore, EPA plans to reexamine this policy regarding the impact of wildland and prescribed fires on visibility and regional haze, once the Regional Haze program is finalized.

BACKGROUND: CHARTING A NEW COURSE FOR MANAGING FIRE

o In recognition of the serious problems caused by past management practices, including years of fire suppression activities, the Departments of Agriculture and the Interior jointly released the results of a Federal Wildland Fire Management Policy and Program Review in 1995. This report formally recognized the critical role fire plays in the maintenance of healthy wildland ecosystems and endorsed a significant increase in the use of planned or managed fire, called “prescribed” fire, as a normal land and resource management tool.

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Future plans to manage fire on wildlands must incorporate public health and environmental considerations, including air quality. Other federal agencies and stakeholders, including EPA, participated in preparing the Federal Wildland Fire Management Policy and Program Review and endorsed its recommendations.

THE ROLE OF FIRE IN NATURE

o Fire has always been an integral part of many healthy ecosystems. Fire allows the release of important nutrients from flammable “fuels” or debris (logs, fallen branches, etc.) on the forest floor into the soil. By naturally reducing the amount of undergrowth and debris, fire allows trees to grow taller and healthier, with less susceptibility to disease and insect infestation. In addition, prescribed fires can be managed or controlled to help reduce the intensity and magnitude of bigger wildfires by reducing the accumulation of flammable fuels in the forests.

o Despite its benefits to ecosystems, for many years fire was aggressively suppressed in our nation’s wildlands to protect public safety and property, and to prevent what was thought to be the destruction of our natural and cultural resources. The damaging effects of fire exclusion were difficult to recognize and mounted gradually and inconspicuously over decades.

o Fire exclusion practices have resulted in certain forests and grasslands plagued with a variety of problems, including overcrowding, resulting from the encroachment of species normally suppressed by fire; vulnerability of trees to insects and disease; and inadequate reproduction of certain species. In addition, heavy accumulation of fuel (such as dead vegetation on forests floors) can cause catastrophic wildfires, which threaten public safety, impair forest and ecosystem health, and degrade air quality.

o The lack of fire has also had unintended ecological effects, leading to the loss of habitat for rare species and the decline of ecosystems. Fire exclusion can lead to an alteration in natural community types and an important loss of biodiversity. Many plant and animal species are on the decline because they exist in fire-dependent habitats that have not burned in decades.

THE RELATIONSHIP BETWEEN FIRE AND AIR QUALITY

o How fire affects the quality of our air depends on many factors, including weather conditions, such as wind speed and direction; atmospheric stability; humidity; the scope and severity of the fire; and the type and quantity of fuels burned. Smoke contains a number of pollutants. Particulate matter in smoke is the main pollutant of concern because it can cause serious health problems, especially for people with respiratory illness. These health effects include increased respiratory symptoms and disease, decreased lung function, and even premature death. Smoke also adversely affects the clarity of our air, which in turn, affects the distance and sharpness with which we see objects. This is of particular concern in national parks, forests, and wilderness areas,

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where visibility impairment can block or “haze” our views and appreciation of scenic vistas.

o Unplanned or unwanted fires, such as catastrophic wildfires, can pose serious threats to public health and safety, as well as to air quality. Because these fires are uncontrolled, they can pose significant threats to the safety of firefighters and the general public and destroy property. The intense or extended periods of smoke associated with uncontrolled fires can also cause serious health problems and decrease visibility.

o Planned or prescribed fires, on the other hand, are used to minimize the emissions and adverse impacts of smoke on public health and the environment. Many techniques are used to manage the impacts from smoke, including scheduling burning during favorable weather conditions and controlling the amount of fuel and acreage burned. Some states already have programs in place to manage smoke from prescribed fire activities.

PROTECTING PUBLIC HEALTH & AIR QUALITY:EPA’S AIR QUALITY STANDARDS & PROGRAM FOR REGIONAL HAZE

o The Clean Air Act requires EPA to review (and revise, if necessary) national air quality standards at least once every five years to provide strong public health and environmental protection. After extensive scientific and public review, on July 18, 1997, EPA issued new national ambient air quality standards (NAAQS) for ground-level ozone and “fine” particulate matter (particles smaller than 2.5 micrometers in diameter, or PM2.5.) EPA is also retaining its current NAAQS for particulate matter (particles smaller than 10 micrometers in diameter, or PM10), however a more stable form of the standard was adopted. Ten micrometers are about one-seventh the diameter of a human hair.

o EPA’s updated standards represent a major step forward in public health protection. The new standards will protect 125 million Americans, including 35 million children, from the health hazards of air pollution. Each year, the updated ozone and particulate matter standards will prevent approximately 15,000 premature deaths, 350,000 cases of aggravated asthma, and 1 million cases of significantly decreased lung function in children.

o In conjunction with the new national air quality standards for ozone and particulate matter, EPA also proposed for public comment a new Regional Haze Program to improve visual air quality across broad regions of the nation, including 150 important natural areas, such as national parks and wilderness areas given special protection under the Clean Air Act. Pollutants that cause haze, primarily fine particles, can be transported long distances. Thus, haze occurs regionally throughout the U.S. The EPA believes that the most effective way to address visibility impairment is to establish a regional haze program in combination with the new standard for fine particulate matter.

o Under the auspices of the Federal Advisory Committee Act (FACA), EPA formed a subcommittee comprised of a wide range of stakeholders, including other Federal agencies, State and local governments, industry representatives, environmental groups, and others, to develop a common-sense strategy for implementing the new ozone and

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particulate matter air quality standards and the Regional Haze Program. These three issues are being examined together because of the likelihood that implementation strategies for the various programs could focus on the same or similar sources of air pollution. EPA has developed an implementation package designed to give States, Tribes, local governments, and business the flexibility they will need to meet protective health standards and requirements under the Regional Haze Program in a reasonable, cost-effective way.

WORKING IN PARTNERSHIP TO DEVELOP A NATIONAL POLICY ON WILDLAND AND PRESCRIBED FIRE

o In developing an implementation strategy for the new ozone and particulate matter air quality standards and the new Regional Haze Program, EPA and the FACA subcommittee considered a variety of issues, including how best to manage wildland and prescribed fire impacts (e.g., smoke) on air quality and visibility. To best address this issue, EPA worked in partnership with Federal Land Managers, including the Departments of Agriculture, Defense, and the Interior, State and Tribal air and land management agencies, and others, through a special FACA subcommittee workgroup, to develop a national air quality policy on wildland and prescribed fire. The policy workgroup examined how best to allow the increased use of fire in wildland ecosystems in the context of implementing new air quality standards for ozone and particulate matter, the new Regional Haze Program, and other Clean Air Act requirements.

WHAT ARE THE MAIN COMPONENTS OF THE POLICY?

o Fires that occur in the wildlands (generally undeveloped areas such as forests, grasslands, etc.) fall into two categories, (1) planned or prescribed fires which are purposely started to meet specific land management objectives, and (2) wildland fires which are all other non-structural fires in the wildlands, including unwanted wildfires. EPA’s interim policy applies to both wildland and prescribed fires that are managed to benefit resources or the environment.

o Air quality managers are encouraged to participate in public land use planning activities which involve selecting the most appropriate and beneficial methods for managing public lands, including the use of fire. Other land management methods or “treatments” include “mechanical” treatments (e.g., on-site chipping or crushing of logging waste) and “chemical” treatments (e.g., herbicides). Air quality managers are urged to evaluate the potential public health and environmental impacts of fire and other land management treatments to ensure that air quality and visibility concerns are adequately addressed.

o Wildland owners and managers are encouraged to notify air quality managers of plans to significantly increase their use of fire on wildlands; consider the air quality and visibility impacts from smoke and take appropriate steps to minimize the impacts; consider alternative treatments to fire, including mechanical and chemical treatments; and participate in planning and implementing State and Tribal smoke management programs.

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o Smoke management programs provide a basic framework of procedures and requirements for managing smoke from prescribed fires. Some states already have smoke management programs in place. The programs are usually developed by States and Tribes in cooperation with land owners and managers. EPA’s Policy describes the elements of a basic smoke management program, including (1) a process for granting approval to conduct prescribed burns; (2) methods for minimizing air pollutant emissions by considering alternative treatments and/or reducing fuel levels before burning; (3) outlining smoke management considerations for each burn, such as burning only during favorable weather conditions to minimize smoke intrusions; (4) plans to notify the public and reduce exposure should smoke intrusions occur; (5) public education and awareness programs; (6) surveillance and enforcement procedures for ensuring that smoke management programs are effective; and (7) procedures for periodically evaluating smoke management programs.

o EPA’s Policy provides incentives to States and Tribes to adopt and implement at least basic smoke management programs. While the Policy outlines the broad components that should be included in a smoke management program, it gives States and Tribes the flexibility to tailor these programs to meet their unique needs. The Policy does not limit the ability of States or Tribes to regulate the use of fire. If a current smoke management program is adequate to prevent fires from causing violations of the NAAQS, it does not have to be changed. Also, EPA’s Policy does not imply that a state’s current program should be relaxed if it has more components or if it is more stringent than the basic smoke management program outlined in this Policy.

o EPA will not designate an area as “nonattainment” (areas that do not meet EPA’s national air quality standards) when prescribed or wildland fires managed for resource or environmental benefits cause or significantly contribute to violations of the particulate matter standards if a State or Tribe has certified that they have implemented a basic smoke management program. Instead, EPA will require States or Tribes to review and upgrade their smoke management programs if fires lead to a violation of the particulate matter standards (based on 3 calendar years of air quality monitoring data). If a second violation occurs the following year, States or Tribes must review their programs again and implement stronger measures. After a third violation, mandatory smoke management programs must be adopted into State or Tribal Implementation Plans (State or Tribal plans to meet Clean Air Act requirements).

o States or Tribes that have not implemented a basic smoke management program will be required to revise their implementation plans to include a mandatory smoke management program if prescribed burns lead to violations of the particulate matter standards. In such cases, EPA will move forward to redesignate the area in violation as nonattainment.

o After EPA’s proposed regional haze rule is finalized, States will need to address the impacts of fires and other sources on meeting reasonable progress goals and requirements outlined in the rule. EPA will revisit the regional haze/visibility section of this policy when the regional haze rule is finalized.

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o In addition, the Clean Air Act has special requirements for actions conducted by Federal agencies that may impact air quality. Federal agencies located in nonattainment areas must “conform” or comply with applicable State requirements to reduce or eliminate the severity and number of violations of national air quality standards. Under EPA’s Policy, Federal prescribed fire projects would be considered to conform with the state implementation plan if they are managed under a certified basic smoke management program. The program must require regional coordination (cooperation of all jurisdictions in an airshed) when authorizing fires and real-time air quality monitoring at sensitive receptors, when warranted, in addition to the basic program components. The Policy outlines the components of a basic smoke management program.

o The Clean Air Act authorizes States with approved Prevention of Significant Deterioration (PSD) programs to exclude particulate matter emissions caused by “temporary” activities from consuming increment. EPA expects the States, on an individual basis, to decide the extent to which prescribed fires (and the resulting emissions increases) should be considered “temporary” sources of air pollution when determining increment consumption in specific areas. The goal of the PSD program is to prevent “clean” air quality (in areas that meet the national air quality standards) from deteriorating beyond certain amounts or increments.

FOR MORE INFORMATION...

o EPA’s Interim Air Quality Policy on Wildland and Prescribed Fires, this fact sheet and other communications materials related to the Policy are available on EPA’s Airlinks website at http://www.epa.gov/airlinks/ and on the Western States Resources Council (WESTAR) website at http://westar.org/proj_frame.html. The Interim Policy is also available for downloading from EPA’s Office of Air and Radiation (OAR) Policy and Guidance website on EPA’s Technology Transfer Network (TTN) at http://www.epa.gov/ttn/oarpg/ For further information on how to access the bulletin board, call (919) 541-5384. For further information about the Policy, contact Mr. Ken Woodard (919-541-5697) or Mr. Gary Blais (919-541-3223) of EPA’s Office of Air Quality Planning and Standards.

o A wide range of information on wildland fire and air quality issues is available on the Internet at the following websites:

Environmental Protection Agency’s Office of Air & Radiation homepages:http://www.epa.gov/airlinks/

-for more information on EPA’s ozone and particulate matter national ambient air quality standards and the Regional Haze Program

http://www.epa.gov/oar/oarhome.html-for more information on a variety of air quality issues and EPA programs

http://ttnwww.rtpnc.epa.gov/html/ozpmrh/facahome.htm

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-for further information on the FACA process and implementation issues related to EPA’s ozone and particulate matter air quality standards

Wildland Fire and Forest Health Issues http://www.denendeh.com/flycolor/wildfire/http://www.nofc.forestry.ca/fire/12:50pmindex.htmlhttp://www.fire.ca.gov/index.htmlhttp://www.fs.fed.us/database/feis/welcome.htmhttp://www.csu.edu.au/firenet/firenet.htmlhttp://www.firewise.org/http://met.rfl.pswfs.gov/forecast.htmlhttp://www.fsu.edu/%7Elbrennan/http://www.neotecinc.com/wildfire/http://www.fs.fed.us/land/wfas/welcome.htm http://fire.r9.fws.govhttp://www.fs.fed.us/r3/firehttp://www.nps.gov/fire/http://flame.fl-dof.com/http://www.nwcg.gov

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Appendix T: Interim Air Quality Policy on Wildland and Prescribed Fires

INTERIM

AIR QUALITY POLICY ON

WILDLAND AND PRESCRIBED

FIRES

April 23, 1998

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TABLE OF CONTENTS

I. PURPOSE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

II. SCOPE AND APPLICABILITY . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2III. BACKGROUND . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

A. Role of Fire in the Wildland . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

B. Changes in Fire Management Policy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4

C. Air Quality Considerations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

D. Visibility Impairment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6

IV. DESCRIPTION OF POLICY . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .……… 7

V. COLLABORATION AMONG LAND AND AIR QUALITY MANAGERS . . 9

A. Land and Vegetation Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10

1. Alternative Treatments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10

a. Utilization and mechanical treatments . . . . . . . . . . . . . . . 10

b. Chemical treatments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11

c. Fire treatments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11

2. Role of Federal Land Managers (FLM’s) . . . . . . . . . . . . . . . . . . . . . 11

a. Federal land use and fire management planning . . . . . . . . . 11

b. Evaluating environmental impacts . . . . . . . . . . . . . . . . . . . . . 13

3. Role of State and Other Public Land Managers . . . . . . . . . . . . . . . 14

4. Role of Private Land Managers . . . . . . . . . . . . . . . . . . . . . . . . . . . 14

5. Role of Indian Land Managers . . . . . . . . . . . . . . . . . . . . . . . . . . . 15

6. Role of Air Quality Managers . . . . . . . . . . . . . . . . . . . . . . . . . . .…… . . 15

B. Air Quality Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15

1. Role of State/Local Air Quality Managers . . . . . . . . . . . . . . . . . . . . . 16

2. Role of Tribal Air Quality Managers . . . . . . . . . . . . . . . . . . . . . . . . . . . 16

3. Role of Public Land Managers . . . . . . . . . . . . . . . . . . . . . . . . . . . 16

VI. SMOKE MANAGEMENT PROGRAMS (SMP’s) . . . . . . . . . . . . . . . . . . . . . 17

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A. Authorization to Burn . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .…… 18

B. Minimizing Air Pollutant Emissions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19

C. Smoke Management Components of Burn Plans . . . . . . . . . . . . . . . . . . . . . 20

1. Actions to Minimize Emissions . . . . . . . . . . . . . . . . . . . . . . . . . . . 20

2. Evaluate Smoke Dispersion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20

3. Public Notification and Exposure Reduction Procedures . . . . . . . . . 21

4. Air Quality Monitoring . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22

D. Public Education and Awareness . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22

E. Surveillance and Enforcement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22

F. Program Evaluation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23

G. Optional Air Quality Protection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23

VII. ACCOUNTABILITY . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24

A. Role of State/Tribal Air Quality Managers . . . . . . . . . . . . . . . . . . . . . . . . . . . 24

1. Wildfires . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24

2. Fires Managed for Resource Benefits . . . . . . . . . . . . . . . . . . . . .…… 25

B. Role of the Environmental Protection Agency . . . . . . . . . . . . . . . . . . . . . 26

1. Impacts with a SMP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26

2. Impacts without a SMP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27

3. Interstate Transport of Smoke . . . . . . . . . . . . . . . . . . . . . . . . . . .…… 27

C. Role of Wildland Owners/Managers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28

VIII. DATA ON WILDLAND AND PRESCRIBED FIRES . . . . . . . . . . . . . . . 28

IX. MEETING OTHER CLEAN AIR ACT REQUIREMENTS . . . . . . . . .…… 30

A. Demonstrate Conformity of Federal Activities . . . . . . . . . . . . . . . . . . . . . 30

B. Visibility/Regional Haze Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . 31

C. Prevention of Significant Deterioration . . . . . . . . . . . . . . . . . . . . . . . . . . . 31

DEFINITIONS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34

Page 175 of 212

ii

iii

LIST OF WHITE PAPERS AVAILABLE ON THE WORLD WIDE WEB

Background on the Role of Fire

What Wildland Fire Conditions Minimize Emissions and Hazardous Air Pollutants and Can

Land Management Goals Still Be Met?

Air Monitoring for Wildland Fire Operations

Emissions Inventories for SIP Development

Estimating Natural Emissions From Wildland and Prescribed Fire

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I. PURPOSE

This policy statement has been prepared in response to plans by some Federal, tribal and

State wildland owners/managers to significantly increase the use of wildland and prescribed fires

to achieve resource benefits in the wildlands.3 Many wildland ecosystems are considered to be

unhealthy as a result of past management strategies. The absence of fire effects has allowed

plant species (e.g., trees and shrubs) that would normally be eliminated by fires to proliferate,

vegetation to become dense and insect infestations to go unchecked. Wildland owners/managers

plan to significantly increase their use of fires to correct these unhealthy conditions and to reduce

the risk of wildfires to public and fire fighter safety. The largest increases are expected mainly

on Federal lands in western States in ecosystems where fires would naturally occur every few

years (35 years or less) if not suppressed. Fire has continued to be a management tool used by

many public and private wildland owners/managers in the southeastern States. However, Federal

land managers in the southeast also plan to significantly increase their use of fire above current

annual levels.

3This document contains EPA policy and, therefore, does not establish or affect legal rights or obligations. It does not establish a binding norm and it is not finally determinative of the issues addressed. In applying this policy in any particular case, the EPA will consider its applicability to the specific facts of that case, the underlying validity of the interpretations set forth in this memorandum, and any other relevant considerations, including any that may be required under applicable law and regulations.

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This policy statement integrates two public policy goals, (1) to allow fire to function, as

nearly as possible, in its natural role in maintaining healthy wildland ecosystems, and (2) to

protect public health and welfare by mitigating the impacts of air pollutant emissions on air

quality and visibility. This document provides guidance on mitigating air pollution impacts

caused by fires in the wildlands and the wildland/urban interface. It identifies the responsibilities

of wildland owners/managers and State/tribal air quality managers to work together to coordinate

fire activities, minimize air pollutant emissions, manage smoke from wildland and prescribed

fires managed for resource benefits, and establish emergency action programs to mitigate the

unavoidable impacts on the public. This policy is not intended to limit opportunities by private

wildland owners/ managers to use fire so that burning can be increased on publicly owned

wildlands. Thoughtful use of fire by private, public and Indian wildland owners/managers within

SMP’s is promoted to maintain healthy wildland ecosystems. Neither is this policy intended to

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imply that States/tribes should relax existing SMP’s or limit a State’s/tribe’s ability to regulate

fires managed for resource benefits.

The EPA used a deliberative process involving a multi-stakeholder workgroup to develop

recommendations for this policy. The workgroup did not reach consensus on all of the issues

raised. The EPA addressed all of the recommendations and concerns raised by the stakeholders

to the extent possible. The multi-stakeholder workgroup also produced several “white papers”

on a number of topics previously identified in earlier drafts of the policy as Appendices to the

policy. These papers will be published as a separate document and can also be found on EPA’s

TTN2000 website:

http://134.67.104.12/html/o3pmrh/pbissu.htm, and on the Western States Air Resources Council

(WESTAR) website: http://www.westar.org/proj_frame.html. A list of these papers is provided

in the Table of Contents.

II. SCOPE AND APPLICABILITY

The EPA does not directly regulate the use of fire within a State or on Indian lands. The

EPA’s authority is to enforce the requirements of the CAA. The CAA requires States and tribes

to attain and maintain the NAAQS adopted to protect public health and welfare. This policy

recommends that States/tribes implement SMP’s to mitigate the public health and welfare

impacts of fires managed for resource benefits. While SMP’s will also mitigate nuisance smoke

intrusions, nuisance issues have been left for the individual air quality agencies to address.

This policy applies to all wildland and prescribed fires managed to achieve resource

benefits on public, Indian and privately owned wildlands, regardless of the cause of ignition

(e.g., lightning, arson, accidental, land management decision, etc.) or purpose of the fire (e.g.,

natural, resource management, hazard reduction, etc.).

Federal land management agencies sometimes manage naturally ignited fires to achieve

resource benefits. Planning for naturally ignited fires is obviously limited, but the agencies

require fire management plans to be included in land use plans for an area before a naturally

ignited fire can be managed for resource benefits. Fires ignited in areas without fire

management plans are unwanted or wildfires. The interface between this policy and the Natural

Events Policy4 regarding ambient PM10 concentrations caused by wildfires is addressed in

section VII.

4 ?See memorandum from Mary D. Nichols, Assistant Administrator for Air and Radiation to EPA Regional Offices titled Areas Affected by PM10 Natural Events, May 30, 1996.

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This policy does not apply to other open burning activities, such as burning at residential,

commercial or industrial sites; open burning of land clearing waste or construction debris. It

also does not apply to open burning of agricultural waste, crop residue or land in the USDA

Conservation Reserve Program. The EPA is working with the USDA Agriculture Air Quality

Task Force to develop equitable policies for emissions from activities that could be classified as

agricultural burning.

This policy addresses the impacts of air pollutant emissions from fires managed for

resource benefits on public health and welfare. The primary indicators of public health impacts

used are ambient air quality impacts above the NAAQS for fine particles with an aerodynamic

diameter less than or equal to a nominal 2.5 micrometers (PM2.5), and particles with an

aerodynamic diameter less than or equal to a nominal 10 micrometers (PM10). There are both

24-hour (daily) and annual NAAQS for PM2.5 and PM10. Emissions of nitrogen oxides (NOx ),

VOC, and CO from fires can also impact the NAAQS for NO2, O3, and CO. However, the

actions required to reduce VOC and CO emissions are the same as those recommended in this

document to mitigate impacts on the PM2.5, and PM10 NAAQS. Emissions of NOx, on the other

hand, can increase under some of the burning conditions used to decrease emissions of other

pollutants.

The effects of fire emissions on the public welfare aspects of the NAAQS for PM are

addressed in terms of visibility impairment and regional haze. The policy also addresses the

treatment of fire emissions to meet other CAA requirements, such as prevention of significant

deterioration (PSD) and conformity with SIP’s or TIP’s.

III. BACKGROUND

A. The Role of Fire in the Wildlands

The role of fire in North American ecosystems has been undergoing change since people

began to play a more active role in managing their natural resources. Native Americans actively

used fire to alter vegetative patterns, to ease travel, or for hunting purposes. Prior to European

settlement, fire played a natural role as a necessary disturbance phenomena, keeping fuel density

in check as well as insects and the diseases they carry, thereby maintaining North American

wildlands in a healthy state. After European settlement and the introduction of grazing herds of

cattle and sheep, and the practice of fire suppression, public land management agencies have

recognized that not allowing fire to play its natural role in our wildlands has had unintended

negative effects. When forests and grasslands are not allowed to burn naturally (lighting serving

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as the principal source of ignition) the result can be heavy accumulation of dead vegetation

which provides fuel for unwanted fires (wildfires). Because of this unhealthy build-up of fuels,

the risk of catastrophic wildfires is much greater as evidenced by several recent fires in our

national forests and other publicly owned lands. These fires put firefighters and the general

public in danger while destroying millions of acres of forests and costing millions of dollars to

suppress. The lack of fire also has unintended ecological effects, leading to the loss of habitat

for rare species and the decline of ecosystems. Fire exclusion can lead to an alteration in natural

community types, and an important loss of biodiversity. Many plant and animal species are on

the decline because they exist in fire-dependent habitats that haven't burned in decades. This situation has led to a rethinking of Federal land management and fire management policy.B. Changes in Fire Management Policy

In 1995, a Federal Wildland Fire Management Policy and Program Review was

conducted in response to the unhealthy condition of our public wildlands, and the increase in

unplanned fires that occurred in 1987, 1988, 1992 and again in 1994. As a result of this review,

the five principal Federal fire/land management agencies [the Forest Service (FS) under the

Department of Agriculture; and the Bureau of Land Management (BLM), National Park Service

(NPS), Fish and Wildlife Service (FWS), and the Bureau of Indian Affairs (BIA) under the DOI]

agreed on need for several changes to existing fire/land management practices. Their

recommendations include the reintroduction of fire (allowing it to play its natural role) into

Federal land management programs in “an ongoing and systematic manner, consistent with

public health and environmental quality considerations.” The goals of this change in land

management policy are to reduce unnatural fuel densities that contribute to increasing unplanned

fire hazards, and to restore wildland ecosystems to their healthy natural states. The Federal

agencies previously mentioned began increasing the use of fire in their most vulnerable

wildlands in 1997. Annual treatment targets for all Federal land management agencies will be

increased to more than 5 million acres per year by 2005.

C. Air Quality Considerations

Burning wildland vegetation causes emissions of many different chemical compounds

such as small particles, Nox, CO and organic compounds. The components and quantity of

emissions depends in part on the types of fuel burned, its moisture content, and the temperature

of combustion. Complex organic materials may be absorbed into or onto condensed smoke

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5

particles. Tests indicate that, on average, 90 percent of smoke particles from wildland and

prescribed fires are PM10, and 70 percent are PM 2.5.

Historically, EPA’s NAAQS for PM have tended to focus emission control efforts on

“coarse” particles--those larger than PM 2.5. Before 1987, EPA’s PM standards focused on

“Total Suspended Particles,” including particles as large as 100 micrometers in diameter. The

EPA revised the standards in 1987 to focus control on PM10 in response to new science showing

that it was the smaller particles capable of penetrating deeply into the lungs that were associated

with the most adverse health effects. For comparison, a human hair is about 70 micrometers in

diameter.

The most recent review of health studies focused attention on the need to better address

the “fine” fraction particles - PM2.5. These more recent studies provide consistent and coherent,

“evidence that serious health effects (mortality, exacerbation of chronic disease, increased

hospital admissions, etc.) are associated with exposures to ambient levels of PM found in

contemporary urban airsheds even at concentrations below current U. S. PM standards” (Criteria

Document-U.S. EPA 1996a, p. 13-1). PM concentrations currently found in many communities

are associated with adverse health effects in the general population, including increased

mortality and morbidity, altered lung function, increased respiratory symptoms, aggravated

respiratory and cardiovascular disease. Sensitive sub-populations, such as children, the aged and

those with existing cardiopulmonary or infectious respiratory disease, may experience effects at

lower levels of PM than the general population, and the severity of effects might be greater.

These studies are the basis for the July, 1997 promulgation of new NAAQS for PM2.5, which are

designed to protect public health, with an adequate margin of safety.

Fine particles are also a major cause of visibility impairment in such places as national

parks that are valued for their scenic views and recreation.

D. Visibility Impairment

Visibility conditions are affected by scattering and absorption of light by particles and

gases. The fine particles most responsible for visibility impairment are sulfates, nitrates, organic

compounds, soot and soil dust. Fine particles are more efficient per unit mass than coarse

particles at scattering light. Light scattering efficiencies also go up as humidity rises, due to

water adsorption on fine particles, which allow the particles to grow to sizes comparable to the

wavelength of light. There are distinct regional variations in visibility between eastern and

western States, due, to generally higher relative humidities in the East. Naturally occurring

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6

visual range in the East may be between 105 to 190 kilometers, while natural visual range in the

West is between 190 to 270 kilometers.

Visibility is an important public welfare consideration because of its significance to

enjoyment of daily activities in all parts of the country. Protection of visibility as a public

welfare consideration is addressed nationally through the secondary PM NAAQS which are

equivalent to the primary PM NAAQS. Visibility protection is particularly important in the 156

mandatory Class I Federal areas, “Areas of Great Scenic Importance,” and is addressed for these

areas by the special provisions of Sections 169A and 169 B of the CAA.

The effects of smoke from wildland and prescribed fires on air quality will be discussed

throughout this document. The term air quality, as used in this document, refers to ambient

concentrations of pollutants (primarily PM in locations accessible to the general public), and,

where applicable, to impacts on visibility in mandatory Class I Federal areas. Thus, wherever

this document discusses the need for wildland owners/managers to consider the impacts of their

actions on air quality, this may include consideration of the effects of their actions on visibility

in mandatory Class I Federal areas.

Existing requirements to consider effects on visibility which are reasonably attributable

to a single nearby source or small number of sources are contained in the regulations published

by EPA in 1980 at 40 CFR 51.300 (Protection of Visibility). Additional regulations are

currently being developed to address impairment of visibility that is more regional in its

character and origins (“regional haze”). This interim policy may be revised to be made

consistent with the regional haze rules when they become final.

Please refer to the white paper, “Background on the Role of Fire,” for more complete

background information. See Section I to obtain a copy.

IV. DESCRIPTION OF POLICY

The EPA’s policy regarding wildland and prescribed fires managed for resource benefits

is that owners/managers of public, private and Indian wildlands should collaborate with

State/tribal air quality managers (air regulators) to achieve their goals of: (1) allowing fire to

function in its natural role in the wildlands, and (2) protecting public health and welfare by

minimizing smoke impacts. The EPA urges air quality managers to participate in public land

use planning activities which involve selecting appropriate resource management treatments,

including the use of fire, and to help identify air quality criteria for fire management plans. Air

quality managers are urged to help evaluate the potential impacts of alternative resource

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treatments and assure that air quality concerns (also visibility and regional haze concerns, where

appropriate) are adequately addressed in the public land use planning process. They are urged to

solicit information from private and Indian wildland owners/managers on plans to use fire for

resource management, to encourage them to consider appropriate alternative treatments, and to

assist them in evaluating the potential air quality impacts of alternatives to meet particular

management objectives.

Wildland owners/managers are urged to: (1) notify air quality managers of plans to

significantly increase their future use of fire for resource management, (2) consider the air

quality impacts of fires and take appropriate steps to mitigate those impacts, (3) consider

appropriate alternative treatments, (4) and participate in the development and implementation of

State/tribal SMP’s.

The EPA will allow States/tribes flexibility in their approach to regulating fires managed

for resource benefits. They are not required to change their existing fire regulations if those

regulations adequately protect air quality. However, there are incentives for States/tribes to

certify to EPA that they have adopted and are implementing a SMP that includes the basic

components identified in this policy. The main incentive is that, as long as fires do not cause or

significantly contribute to daily or annual PM2.5 and PM10 NAAQS violations, States/tribes

may allow participation by burners in the basic SMP to be voluntary and the SMP does not have

to be adopted into the SIP. Another incentive is the commitment by EPA to use its discretion

not to redesignate an area as nonattainment when fires cause or significantly contribute (see

section VII.B.) to PM NAAQS violations, if the State/tribe required those fires to be conducted

within a basic SMP. Rather, if fires cause or significantly contribute violations, States/tribes will

be required to review the adequacy of the SMP, in cooperation with wildland owners/managers,

and make appropriate improvements.

If States/tribes do not certify that a basic SMP is being implemented, no special

consideration will be given to PM violations attributed to fires managed for resource benefits.

Rather, EPA will call for a SIP revision to incorporate a basic SMP and/or will notify the

governor of the State or the tribal government that the area should be redesignated as

nonattainment. The SMP adopted in response to the SIP/TIP call must require mandatory

participation for greater than de minimis fires, and must be adopted into the SIP/TIP so that it is

Federally enforceable. Also, the SIP/TIP must meet all other CAA requirements applicable to

nonattainment areas.

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Fire data requirements for SIP’s/TIP’s are addressed in section VIII of this policy.

Guidance for meeting CAA requirements to show conformity of Federal fire activities with

SIP’s, to address visibility/regional haze impacts, and to address prevention of significant

deterioration of air quality are addressed in section IX.

The following are guiding principles for implementing this policy:

Air quality and visibility impacts from fires managed for resource benefits should be

treated equitably with other source impacts.

Land and vegetation management practices should be promoted that are best for wildland

ecosystems, yet protect public health and avoid visibility impairment.

States/tribes should foster collaborative relationships among wildland owners/managers,

air quality managers and the public to develop and implement SMP’s.

States/tribes will be allowed the flexibility (prior to measuring violations of the PM2.5 or

PM10 NAAQS attributable to fires managed for resource benefits) to decide when a SMP

is needed and how the program will be designed to prevent adverse air quality impacts.

This does not preclude wildland owners/managers from including smoke management

components in burn plans for fires they conduct in the absence of an applicable

State/tribal program.

All parties (wildland owners/managers, air quality managers and the public) are

expected to act in good faith and will be held accountable for implementing their

respective parts of fire and SMP’s.

V. COLLABORATION AMONG LAND AND AIR QUALITY MANAGERS

Wildland owners/managers and air quality managers can overcome the barriers to

achieving their goals of: (1) returning fire to its natural role in the wildlands and (2) protecting

air quality and visibility, by working together toward those ends. Wildland owners/managers

should notify State/tribal air quality managers if they are planning to significantly increase the

use of fire to manage wildland resources. Air quality managers with Federal/State/local public

wildlands within their jurisdictions have a responsibility to participate in the public planning

processes conducted for the management of those publicly owned lands. To arrive at the best

choice of resource treatments and response to fire, it is essential that the air quality impacts of

planned land management activities are adequately addressed. Air quality managers, by

participating in the public land use planning process, can help select the scope of land uses; help

evaluate alternative management tools and help identify when fire is appropriate; and review

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projected air quality and visibility impacts. Air quality managers should also consult with

private wildland owners/managers to determine long-range resource management objectives and

help them evaluate the applicability of alternative treatments based on air quality and visibility

considerations.

Wildland owners/managers also have a responsibility to participate with the other

stakeholders and State/tribal air quality managers in developing rules and SMP’s for fires

managed for resource benefits. Air quality managers that intend to develop or revise regulations,

plans or policies applicable to fires should solicit the early participation of all affected wildland

owners/managers in making those revisions.

A. Land and Vegetation Management

Wildlands are managed by Federal, State and local public agencies (referred to in this

document as public land management agencies); tribal and BIA authorities; and private land

owners. The goals of public land management agencies vary, but are generally to develop,

maintain and enhance wildlife habitat; protect endangered plant and animal species; preserve and

protect cultural resources, scenic vistas and wilderness; provide for recreation; and to sustain

production of natural resources. The goals of private wildland owners/managers may be

sustained production of natural resources, preservation of wildlife habitat, improved grazing

conditions, etc. The goals of tribal wildland owners/managers are generally similar to public

land management agency goals, but may also include aspects of private land owners. Another

common goal of all wildland owners/managers is to minimize the potential for catastrophic

wildfires that could result from heavy accumulations of vegetative fuels.

1. Alternative Treatments

Wildland owners/managers may have an array of tools, including fire, that can be used to

accomplish land use plans, depending on the resource benefits to be achieved. Several factors

should be considered when selecting appropriate treatments. Those factors include the costs of

treatment, the environmental impacts (e.g., air and water quality, soils, wildlife, etc.), and

whether fire must be used to meet management objectives. The best combination of treatments

are those that meet management goals with the most favorable environmental impacts at the

most reasonable costs.

a. Utilization and mechanical treatments

Mechanical treatments may be appropriate tools when management objectives are to

reduce fuel density to reduce a wildfire hazard, or to remove logging waste materials (slash) to

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prepare a site for replanting or natural regeneration. On-site chipping or crushing of woody

material, removal of slash for off-site burning or biomass utilization, whole tree harvesting, and

yarding (pulling out) of unmerchantable material may accomplish these goals. Mechanical

treatments are normally limited to accessible areas, terrain that is not excessively rough, slopes

of 40 percent or less, sites that are not wet, areas not designated as national parks or wilderness,

areas not protected for threatened and endangered species and areas without cultural or

paleological resources.

b. Chemical treatments

When the management objective is to preclude, reduce or remove live vegetation and/or

specific plant species from a site, chemical treatments may be appropriate tools. Other potential

environmental impacts caused by applying chemicals must also be considered, however.

c. Fire treatments

Fire is one of the basic tools relied upon by wildland owners/managers to achieve a

myriad of management objectives in fire dependent ecosystems. Most North American plant

communities evolved with recurring fire and, therefore, are dependent on recurring fire for

maintenance. The natural fire return interval may vary from 1-2 years for prairies, 3-7 years for

some long-needle pine species, 30-50 years for species such as California chaparral, and over

one hundred years for species such as lodgepole pine and coastal Douglas-fir. When one

management objective is to maintain a fire dependent ecosystem the effects of fire cannot be

duplicated by other tools. In such cases, fire may be the preferred management tool even when

other treatments may be equally effective for meeting other objectives. Fire can also be used to

reduce heavy fuel loads and prevent catastrophic wildfires.

When fire is the chosen management tool, a combination of treatment methods may be

the best approach to achieving the desired resource benefits with minimum air quality impacts.

Combinations of treatments may include mechanically pretreating an area to thin the fuel load

prior to the use of fire.

2. Role of Federal Land Managers (FLM’s)

The major Federal agencies with land management responsibilities include the USDA

FS, the DOI NPS, and FWS, BLM, and BIA. These agencies manage national parks, forests,

monuments, wilderness areas, prairie grasslands, sea shores, Indian lands, wildlife refuges, etc.

The Department of Defense and Department of Energy also manage millions of acres of Federal

land at military bases, training centers and for other purposes.

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a. Federal land use and fire management planning

Federal land use planning is an open process for setting land use and management goals

and objectives. The planning process is designed for public participation, and must comply with

NEPA. State/tribal air quality managers are given the opportunity to participate in land use

planning as part of normal intergovernmental consultation procedures. It is important for air

quality managers to participate in public land use planning decisions to ensure that air quality

concerns are adequately addressed. Through the public participation process, issues are

identified and alternatives are discussed regarding methods for implementing land management

activities such as trail building, improvement of wildlife habitat, timber harvesting, use of fire,

etc. The environmental impacts of these activities are analyzed including, among other things,

impacts on cultural resources, wildlife, vegetation, soils, riparian areas, wetlands, water quality,

air quality, and visibility. Consideration of the air quality impacts of land management

activities is essential to arriving at the best choice of treatments and response to fire.

Two or more levels of land use planning are conducted by FLM’s to achieve

management goals. First, broad scale and long-range land use plans must be developed for

administrative units (e.g., forests, parks, refuges, sanctuaries, etc.). The land use plan identifies

the scope of actions and goals for the lands and resources administered, and typically covers a 10

to 15-year period.

In addition to land use plans, there are other shorter term (typically 1-5 years) planning

efforts where decisions are made concerning specific activities and programs, including the use

of fire to achieve resource benefits. These may include programmatic plans, such as FMP’s, or

specific project plans.

The FMP’s are strategic plans that define how wildland and prescribed fires will be

managed to meet land use objectives. The FMP’s must contain prescriptive criteria which are

measurable and will guide selection of appropriate management actions in response to fires. The

criteria can relate to suppression actions or describe when fire can be managed to gain resource

benefits. This allows the use of a full range of appropriate management responses to fire, which

may include: full suppression of a wildland fire; suppression on part of a wildland fire while

allowing another portion of the fire to continue playing a natural ecological role and achieve

resource benefits; or the use of prescribed fire.

Project plans are strategic plans to accomplish specific actions and goals established in a

land use plan. Project plans may involve decisions regarding trade-offs between using

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mechanical, chemical and fire treatments. When projects include fires treatments, burn plans are

also required. Burn plans are operational plans for managing specific fires. Burn plans prepared

by FLM’s should include smoke management components to minimize fire emissions and

mitigate air quality impacts.

b. Evaluating environmental impacts

Federal agencies evaluate the environmental impacts of the tools used for resource

management on publicly owned lands using NEPA. They generally consider the impacts on,

among other things, plant and animal species in the area, aquatic life, cultural resources, soil

conditions, riparian areas, wetlands, water quality, air quality and visibility. Such analyses

should be undertaken at both the individual project planning level and at the regional planning

level if warranted by the extent of similar activities over a large area.

The impacts of resource management activities, particularly fire, on air quality can vary

significantly by region. The impacts can be strongly affected by meteorology; existing air

quality; the size, timing and duration of the activity; and other activities occurring in the same

airshed at the same time. State/tribal air quality managers can provide technical assistance with

evaluating potential air quality impacts, thus aiding FLM’s in their selection of tools and

evaluation of the environmental impacts.

Air quality and visibility impact evaluations of fire activities on Federal lands should:

- include recent historic (e.g. 10 years) and projected (life of the plan) annual or

seasonal emissions from wildland and prescribed fires. Emission projections

should be based on estimates provided by wildland owners/managers of acres

burned, pre-burn fuel loading by vegetation type and consumption,

- be related to analyses of cumulative impacts of fires on regional and subregional

air quality, when possible.

- identify applicable regulations, plans or policies (e.g. burn plans, authorization to

burn, conformity, etc.),

- identify sensitive receptors,

- include description of planned measures to reduce smoke impacts,

- identify the potential for smoke intrusions into sensitive areas, and model air

quality and visibility impacts, when possible,

- describe ambient air monitoring plans, when appropriate.

3. Role of State and Other Public Land Managers

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State and local land management agencies manage publicly owned lands similar to

Federal lands. These agencies differ from agency to agency, but can include forestry,

conservation, park service, or fish and game agencies, as well as State or local fire protection

agencies. Many agencies prepare long-range land use plans as well as project specific plans.

The FMP’s, similar to those prepared by Federal agencies, may also be prepared. Public land

management agencies generally assess the environmental impacts of proposed projects, such as

fires managed for resource benefits, although the impacts evaluated vary from agency to agency.

Some State/local wildland managers also have responsibilities for private lands. Such

responsibilities may include using fires and other fuels reduction programs aimed at reducing the

potential for wildfires in the wildland/urban interface.

Land use planning for State and locally owned wildlands, although somewhat different

from the Federal process, also requires preparation of written documents that are subject to

public review. State/local wildland managers should notify air quality managers of long-range

plans to use fire for resource management. They should consider alternative management tools

and evaluate the potential air quality impacts of fires. State/local wildland managers should also

participate in the development of State SMP’s.

4. Role of Private Land Managers

Private wildland owners/managers may or may not prepare written land use or project

plans depending on the organization and the size of the property. States/tribes may or may not

require written plans, but activities on privately owned lands must meet all applicable State and

Federal environmental requirements. State requirements include any specific SIP requirements

applicable to private land owners which are designed to ensure that the State complies with CAA

requirements. Private land owners/managers should provide information to the State on long-

range plans to use fire for resource management and should participate in the development of

State SMP’s.

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5. Role of Indian Land Managers

Land use plans for Indian wildlands are not subject to review by the general public and

are not subject to State regulations. Activities on Indian lands must meet the requirements of the

CAA and the TIP, however, if one has been adopted. It is important that Indian wildland

managers consider alternative vegetation management tools and consider the air quality impacts

of the management practices chosen both on and off of Indian lands. They are encouraged to

collaborate with other near-by wildland owners/managers and air quality managers on regional

SMP’s to assure that fires managed for resource benefits will not cause adverse air quality

impacts at sensitive receptors in the region.

6. Role of Air Quality Managers

State air quality managers which have publicly owned wildlands within their jurisdiction,

have a responsibility to participate in the public planning process conducted for those lands to be

assured that air quality concerns are adequately addressed and they can meet the goals of their

SIP’s. They can participate in selecting the scope of land uses, identify air quality issues, and

participate in evaluating and selecting alternative resource management tools. They can also

participate in identifying basic air quality criteria for fire prescriptions. To accomplish this, air

quality agencies should heed solicitations of public participation from land managers and contact

public land management agencies within their jurisdiction

State/tribal air quality managers should also encourage private and Indian wildland

owners/managers to consider alternative treatments and help them evaluate the potential air

quality impacts of alternatives to meet particular management objectives.

B. Air Quality Management

State/tribal air quality managers are responsible for adopting plans and rules sufficient to

attain and maintain national and State air quality standards, prevent significant deterioration of

air quality, remedy existing visibility impairment and prevent future impairment in mandatory

Class I Federal areas caused by manmade sources of pollution. This is accomplished mainly by

developing SIP’s and TIP’s. The SIP’s/TIP’s include all programs and rules required by the

CAA to meet and assure maintenance of Federal standards. The SIP’s/TIP’s are frequently

amended as State/tribal rules are revised and new rules are adopted to meet changing CAA

requirements. The EPA has the authority to adopt and implement Federal Implementation Plans

(FIP’s) to address air quality protection in areas where States or tribes do not adopt plans.

1. Role of State/Local Air Quality Managers

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The SIP’s are developed in an extensive public process involving workshops and public

hearings in which all stakeholders are invited to participate in developing the technical

components of the plans including: (1) emission inventories; (2) modeling analyses; (3)

attainment demonstrations; (4) transportation and general conformity emission budgets; (5)

analyses of air quality data; and (6) control strategy development. State/local air quality

managers should solicit information on the planned use of fire for resource management from all

wildland owners/managers, just as they obtain information on other emission sources within

their jurisdiction, when fires are expected to significantly impact air quality. Air quality

managers should also work with adjacent States to mitigate potential impacts from interstate

transport of smoke.

2. Role of Tribal Air Quality Managers

Eligible tribes may develop TIP’s to administer CAA requirements on Indian lands. The

CAA recognizes tribal governments as the most appropriate parties to regulate the environment

on Indian lands and grants EPA the authority to approve tribal programs. The EPA has

developed strategies for Federally implementing CAA requirements if tribes do not adopt TIP’s.

Tribal air quality managers should solicit information on the planned use of fire for

resource management within their jurisdiction and the potential for air quality impacts on or

from adjacent jurisdictions. They are encouraged to collaborate with other near-by air quality

managers to develop regional SMP’s which assure that fire activities will not cause adverse air

quality impacts at sensitive receptors in the region.

3. Role of Public Land Managers

Public land managers have the responsibility to participate with the other stakeholders

and air quality managers in developing SIP’s. Public land managers, as experts in what is

needed to meet land use and other environmental objectives, need to provide information on the

areas that are to be treated with fire, air pollutant emissions estimates, and assistance in

developing programs to track emissions, monitor air quality and visibility, and mitigate air

quality impacts.

The FLM’s of mandatory Class I Federal areas must participate in the development of

SIP’s for regional haze and visibility impairment. Congress gave FLM’s a key consulting role in

the administration of visibility protection and “affirmative responsibility to protect air quality

related values (including visibility) in mandatory Class I Federal areas.” [See section 165 of

the CAA.]

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VI. SMOKE MANAGEMENT PROGRAMS (SMP’s)

The SMP’s establish a basic framework of procedures and requirements for managing

smoke from fires managed for resource benefits and are typically developed by States/tribes with

cooperation and participation by wildland owners/managers. The purposes of SMP’s are to

mitigate the nuisance and public safety hazards (e.g., on roadways and at airports) posed by

smoke intrusions into populated areas; to prevent deterioration of air quality and NAAQS

violations; and to address visibility impacts in mandatory Class I Federal areas. Some strong

indications that an area needs a SMP are: (1) citizens increasingly complain of smoke intrusions;

(2) the trend of monitored air quality values is increasing (approaching the daily or annual

NAAQS for PM2.5 or PM10) because of significant contributions from fires managed for resource

benefits; (3) fires cause or significantly contribute to monitored air quality that is already greater

than 85 percent of the daily or annual NAAQS for PM2.5 or PM10; or (4) fires in the area

significantly contribute to visibility impairment in mandatory Class I Federal areas.

If a State/tribe determines that a SMP is needed, they can adopt any type of program they

believe will prevent NAAQS violations and address visibility impairment. For example,

general fire regulations may establish basic parameters, such as wind speed, direction, location

and distance to sensitive receptors, etc., within which fires can be ignited or naturally ignited fire

can be allowed to continue to burn. States/tribes may allow wildland owners/managers to

voluntarily notify them of fire plans or may require prior authorization. They may also exempt

de minimis fires (fires that will cover fewer than X acres or consume less than Y tons of fuel, as

established by the State/tribe) from meeting the regulations. Such regulations leave much

discretion to wildland owners/managers as to when to ignite fires, and what management

strategy to follow with naturally ignited fires. States/tribes may exercise enforcement authorities

when wildland owners/managers are found to have ignited the fire outside of the parameters of

the rule, or not to have appropriately responded to air quality impacts caused by naturally ignited

fires.

General fire regulations may be adequate for areas where fires managed for resource

benefits rarely cause or contribute to air quality problems. However, when plans to use fire on a

large scale could cause significant air quality impacts, or several wildland owners/managers

within an airshed are expected to use fires concurrently, a more structured SMP requiring

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cooperation and coordination of fire activities may be required to minimize emissions and

mitigate the air quality impacts.

State/tribal air quality managers, public wildland managers, private and Indian wildland

owners/managers, and the general public should collaborate in the development and

implementation of State/tribal SMP’s. The State/tribal air quality manager must certify in a

letter to the Administrator of EPA that at least a basic program has been adopted and

implemented in order to receive special consideration under this policy of air quality data

resulting from fire impacts, as explained in section VII. The SMP does not have to be

incorporated into the SIP/TIP or be Federally enforceable, however. The following describes the

basic components (A - F) of a certifiable SMP. There is considerable latitude within the

components for individual State/tribal preferences.

A. Authorization to Burn

The SMP should include a process for authorizing or granting approval to manage fires

for resource benefits within a region, State, or on Indian lands and identify a central authority

responsible for implementing the program. The process may be as simple as receiving

applications for permission to burn and granting approval via telephone or facsimile. The SMP

central authority must review fire applications, consult with the applicants, if necessary, and

promptly make burn/no burn decisions. When authorizing a fire, the authority should consider

all open burning activities (land clearing and construction wastes, agricultural wastes, etc.)

allowed within an airshed. The central authority should strive to treat public and private

wildland owners/managers equitably when authorizing fires. Neighboring States/tribes are

encouraged to create partnerships to coordinate fire projects when inter-jurisdictional impacts are

expected, so as to meet air quality and fire management objectives. Fire emissions should be

minimized and the air quality impacts should be mitigated regardless of political boundaries.

States/tribes may or may not require written burn plans for de minimis fires, especially if

the central authority records pertinent fire information. However, written burn plans are strongly

recommended for greater than de minimis fires. Burn plans should be prepared by the wildland

owners/managers. The central authority should assist private land owners that cannot prepare

their own plans. When written burn plans are required, especially for fires on publicly owned

lands, they should include such information as the:

- location and description of the area to be burned,

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- personnel responsible for managing the fire,

- type of vegetation to be burned,

- area (acres) to be burned,

- amount of fuel to be consumed (tons/acre),

- fire prescription including smoke management components (discussed below),

- criteria the fire manager will use for making burn/no burn decisions,

- safety and contingency plans addressing smoke intrusions.

The central authority’s criteria for authorizing fires should be based on existing air

quality and the ability of the airshed to disperse emissions (e.g., meteorological conditions) from

all burning activities on the day of the burn. For fires lasting longer than one day, predicted

meteorological conditions for several days should be considered to avoid aggravating existing

problems. Persons receiving authorization to ignite fires must comply with all applicable local,

State, tribal and Federal requirements. Persons responsible for managing greater than de

minimis fires should be adequately trained in fire and smoke management. Fire managers

should be required to follow the authorized burn plan or explain why it was necessary to deviate

from the plan.

B. Minimizing Air Pollutant Emissions

The SMP should encourage wildland owners/managers to consider the alternative

treatments discussed in section V.A.1., above. Public land managers typically consider and

evaluate alternative treatments that may achieve management objectives, their costs and the

environmental impacts of each method. States/tribes should assist private land owners to also

identify economically feasible treatments that will meet their objectives with minimum air

pollutant emissions. When the use of fire is selected as the best means to accomplish

management goals, there are several ways to reduce emissions from a single fire. The

approaches fall into four categories and their applicability varies by fuel type, (1) minimize the

area burned, (2) reduce the fuel loading in the area to be burned, (3) reduce the amount of fuel

consumed by the fire, (4) minimize emissions per ton of fuel consumed. These emission

reduction techniques rely almost exclusively on reducing the amount of fuel consumed by a

particular fire. The excluded fuels could be consumed by a subsequent fire, however, unless

they are removed from the area or biologically decompose. Also, generally these techniques

cannot be used to reduce emissions from naturally ignited fires.

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Emission reduction techniques are discussed further in the white paper “What Wildland

Fire Conditions Minimize Emissions and Hazardous Air Pollutants and Can Land Management

Goals Still be Met?” See Section I to obtain a copy.

C. Smoke Management Components of Burn Plans

When burn plans are required they should include the following smoke management

components.

1. Actions to Minimize Fire Emissions

The burn plan should document the steps taken prior to the burn and actions that will be

taken during and after the burn to reduce air pollutant emissions. This includes measures that

will be taken to reduce residual smoke, such as rapid and complete mop-ups, mop-ups of certain

fuels, etc.

2. Evaluate Smoke Dispersion

The central authority should evaluate dispersion conditions prior to authorizing fires.

Burn plans should evaluate potential smoke impacts at sensitive receptors and time fires to

minimize exposure of sensitive populations and avoid visibility impacts in mandatory Class I

Federal areas. The plan should identify the distance and direction from the burn site to local

sensitive receptor areas and to regional/interstate areas where appropriate. Fire prescriptions

submitted prior to the day of the fire must specify minimum requirements for the atmospheric

capacity for smoke dispersal such as minimum surface and upper level wind speeds, desired

wind direction, minimum mixing height, and dispersion index. It may be necessary to purchase

meteorological services from private companies if they are not available from the National

Weather Service.

3. Public Notification and Exposure Reduction Procedures

The plan should identify actions that will be taken to notify populations and authorities

(e.g., local air quality managers) at sensitive receptors, including those in adjacent jurisdictions,

prior to the fire. The plan should also identify contingency actions that will be taken during a

fire to reduce the exposure of people at sensitive receptors if smoke intrusions occur. The

central authority should perform these functions, if needed, for some private land owners.

Appropriate short-term (less than 24-hour) contingency actions may, among other things,

include:

- Notifying the affected public (especially sensitive populations) of elevated pollutant

concentrations,

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- Suggesting actions to be taken by sensitive persons to minimize their exposure (e.g.,

remain indoors, avoid vigorous activity, avoid exposure to tobacco smoke and other

respiratory irritants),

- Providing clean-air facilities for sensitive persons,

- Halting ignitions of any new open burning that could impact the same area,

- Analyzing the fire situation and identifying alternative management responses upon

becoming aware that a fire is out of air quality prescription with regard to the air quality

criteria, (Federal land management agencies perform a Wildland Fire Situation

Analysis)5,

- Consulting State/tribal air quality managers regarding appropriate short-term fire

management response to abate verified impacts,

- Implementing management responses that will mitigate the adverse impacts to public

health,

- Reporting the steps taken to mitigate adverse impacts to the public and appropriate

State/tribal agencies after they have been completed.

5 A Wildland Fire Situation Analysis (WFSA) is a decision-making process that evaluates alternative fire management strategies considering fire fighter and public safety, risk to property and resources, fire fighting resources available, land management objectives, and environmental, social, economic and political constraints. The environmental and social constraints considered include, among other things, how air quality and/or visibility will be affected at sensitive receptors by each alternative fire management strategy. The positive, neutral or negative effects of each alternative on the criteria above are weighed to select the appropriate management response to the fire. Therefore, while mitigating air quality and visibility impacts must be considered by the FLM when managing a fire that is not within a prescription, they are just two of several important criteria evaluated.

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4. Air Quality Monitoring

The plan should identify how the effects of the fire on air quality at sensitive receptors,

and visibility in mandatory Class I Federal areas will be monitored. The extent of the

monitoring plan should match the size of the fire. For small fires, visual monitoring of the

direction of the smoke plume and monitoring nuisance complaints by the public may be

sufficient. Other monitoring techniques include posting personnel on vulnerable roadways to

look for visibility impairment and initiate safety measures for motorists; posting personnel at

other sensitive receptors to look for smoke intrusions; using aircraft to track the progress of

smoke plumes; and continued tracking of meteorological conditions during the fire. For large

fires expected to last more than one day, locating real-time PM monitors at sensitive receptors

may be warranted to facilitate timely response to smoke impacts. If needed, the central authority

may perform these monitoring functions for some private land owners.

For additional information on monitoring wildland fire impacts see the white paper “Air

Monitoring for Wildland Fire Operations.” See Section I to obtain a copy.

D. Public Education and Awareness

The SMP should establish criteria for issuing health advisories when necessary, and

procedures for notifying potentially affected populations, including those in adjacent

jurisdictions, of planned fires. A program should be implemented to explain the use and

importance of fire for ecosystem management, the implications to public health and safety, and

the goals of the SMP. Wildland and air quality managers should work with the press to

announce pre-fire health advisories, and post-fire results including such things as the

management objectives met; smoke intrusions observed, and/or successful minimization of air

quality impacts.

E. Surveillance and Enforcement

The SMP should include procedures to ensure that wildland owners/managers will

comply with the requirements of the SMP. Fire managers must follow the burn plan, including

the fire prescription and smoke management components, or explain any deviations from the

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plan. Memorandums of understanding may be used to specify the responsibilities of each

State/tribal agency in implementing the SMP.

F. Program Evaluation

The SMP should provide for periodic review by all stakeholders of its effectiveness and

revision of the program as necessary. The effectiveness review should be based on observations

such as reports of smoke intrusions, nuisance complaints, and monitored air quality impacts.

Post-burn reports should be required for fires that exceed their air quality prescription and/or

fires that cause smoke impacts at sensitive receptors. Post-burn reports for escaped fires should

describe the incident, describe the contingency plan implemented, and provide recommendations

to prevent future smoke related problems.

State/tribal SMP’s should include procedures for re-evaluating the effectiveness of rules

and regulations every 3 to 5 years. Such procedures should involve all the original participants

(e.g., wildland owners/managers, air quality managers, the public, etc.) and should review the:

- Acres of fires managed for resource benefits planned for the next 5 years,

- Need to expand the scope of the program to include authorization of other open

burning,

- Need for changes in the SMP.

G. Optional Air Quality Protection

The following components are not required in a basic SMP, but States/tribes may adopt

more stringent SMP’s or include additional smoke management requirements. For example,

“special protection zones” may be established to provide better protection against smoke

impacts. Special protection zones could be buffers (e.g., 10 - 25 miles) around wildland/urban

interface areas, nonattainment areas, or mandatory Class I Federal areas. Additional

requirements for burns within a special protection zone may include no burning if high pollution

levels already exist in the area. Also, special protections may only be required for burns that

will last overnight, for multi-day burns or burns during specific seasons.

States/tribes may also establish “performance standards” that would trigger

implementation of additional smoke management requirements if exceeded in an area. The

performance standards could set limits on the frequency and intensity (e.g., hours/day, PM

concentration, visibility impairment) of smoke intrusions. Implementation of performance

standards may require real-time monitoring of air quality. Additional requirements for fires after

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the performance standards are exceeded may include better dispersion parameters (e.g.,

increased wind speed, mixing height, dispersion index, etc.).

VII. ACCOUNTABILITY

A. Role of State/Tribal Air Quality Managers

High PM concentrations attributable to fires managed for resource benefits are valid air

quality data that can be used to determine the attainment status of the area represented by the

data for both the daily and annual NAAQS. State/tribal air quality managers are responsible for

monitoring citizen complaints and air quality trends attributable to fires to determine when a

SMP is needed to minimize emissions and mitigate air quality impacts. Air quality managers

should initiate the collaborative process needed to develop and adopt regulations for a SMP. If

the State/tribal air quality manager certifies in a letter to the Administrator of EPA that at least a

basic program (described in section VI) has been adopted and implemented, special

consideration will be given under this policy to air quality data resulting from fires managed for

resource benefits.

1. Wildfires

High PM concentrations attributable to wildfires (unwanted wildland fires) can be treated

as due to a natural event under EPA’s Natural Events Policy. The Natural Events Policy

provides that when areas violate the PM10 NAAQS due to a natural event, EPA will: (1) exercise

its discretion, under section 107(d)(3) of the CAA, not to redesignate areas as nonattainment if

the State develops and implements a plan to respond to the health impacts of natural events; and,

(2) redesignate nonattainment areas as attainment by applying appendix K, on a case-by-case

basis, to discount [ambient air quality] data in circumstances where an area would attain but for

exceedances that result from uncontrollable natural events. The elements of a State/tribal action

plan to respond to the health impacts of natural events are described in the Natural Events policy

statement. The EPA plans to revise the Natural Events Policy to also cover PM2.5 NAAQS

violations.

2. Fires Managed for Resource Benefits

High PM concentrations attributable to fires managed for resource benefits will be given

special consideration under this policy, as described in section VII.B., if the State/tribe has

certified to EPA that it is implementing a basic SMP. States/tribes should flag monitored values

influenced by fires when submitting the data to EPA’s Atmospheric Information Retrieval

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System. They must also document the basis for flagging the data. Supporting

information could include the location of fires relative to the monitor, meteorological data such

as wind speed and direction, filter analyses indicating heavy carbon deposits, the sample date

(collected during the fire season), and the absence of other carbon sources during that period,

among other things. The documentation should address the possible influence of other carbon

sources such as wood-fired boilers, residential wood combustion and wildfires. The type and

amount of documentation should be sufficient to demonstrate that fires managed for resource

benefits caused flagged values to be above the level of the annual NAAQS. The documentation

should be made available to the public for review. [For example, newspaper announcements,

periodic air quality reports, distribution at public meetings.]

When smoke intrusions cause high PM concentrations, air quality managers have two

goals: (1) to reduce immediate impacts on public health, and (2) to take appropriate steps to

mitigate future impacts. To meet these goals, air quality managers must contact the wildland

owner/manager responsible for the fire(s) to determine the cause of the impacts. The air quality

manager should verify that contingency actions to reduce exposure are being implemented, and

determine whether, (i) the fire was authorized, (ii) a burn plan (including the smoke management

components) was followed, (iii) the prescription failed and why.

If requirements of the SMP were not met, the State/tribe can exercise various

enforcement authorities to address the problem. If the fire manager complied with the SMP, the

adequacy of the requirements should be reviewed. If air quality data are frequently flagged as

resulting from failure of the smoke management components of the burn plan, EPA will call on

the State/tribe to work with wildland owners/managers to improve future burn plans and the

SMP. When a fire managed for resource benefits breaks out of its fire prescription, and cannot

be returned to the prescription, the fire manager will treat it as a wildfire for the purposes of

suppression. However, any resulting high PM concentrations must continue to be addressed

under this policy, and the data can not be treated as due to a wildfire natural event.

B. Role of the Environmental Protection Agency

1. Impacts with a SMP

If fires managed for resource benefits cause or significantly contribute to violations (see

definition) of the daily or annual PM2.5 or PM10 NAAQS, the State/tribe must submit the

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following documentation to EPA to avoid a SIP/TIP call or redesignation of the area to

nonattainment:

Evidence supporting the finding that flagged air quality values were due to fires managed

for resource benefits,

Evidence that the fires were subject to a certified State/tribal SMP.

The State/tribe may consider that such fires caused or significantly contributed to

violations of the daily NAAQS if 25 percent of all the PM concentrations that are above the level

of the daily NAAQS, have been flagged as being due to fire impacts.

The State/tribe may consider that such fires caused or significantly contributed to

violations of the annual NAAQS if the sum of the measured concentrations for all days flagged

as due to fires, divided by the total number of sample days (fire days plus non-fire days) is

greater than or equal to 25 percent of the annual NAAQS (i.e., 4 μg/m3 for PM2.5 or 12 μg/m3 for

PM10).

If the evidence is convincing, EPA will exercise its discretion under section 107(d)(3)

not to redesignate the area as nonattainment. Rather, following the first NAAQS violation based

on 3 calendar years of PM air quality data, EPA will call on the State/tribe to review the

effectiveness of the SMP in collaboration with wildland owners/managers and make appropriate

improvements to mitigate future air quality impacts. The same procedure will be followed if a

second NAAQS violation occurs the following year. If fires cause or significantly contribute to

a third consecutive NAAQS violation, EPA will call for the SMP to be made part of the SIP/TIP

and be Federally enforceable.6 If the area was designated nonattainment previously, EPA will

also call on the State/tribe to review the effectiveness of the SMP and make appropriate

improvements.

2. Impacts Without a SMP

If a certified SMP has not been implemented, EPA will not give special consideration to

the high PM concentrations attributed to fires managed for resource benefits that cause or

significantly contribute to: (1) violations of a PM2.5 or PM10 NAAQS, (2) visibility impairment in

mandatory Class I Federal areas, or (3) failure to achieve reasonable progress toward the

6For example, the first violation of the PM10 NAAQS may be determined using air quality data for calendar years 1997-1999. Subsequently, 1998-2000 data for the same area could show a second violation, and data for 1999-2001 could identify a third violation for the area.

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national visibility goal. Rather, EPA will call for adoption of the basic SMP, described

in section VI, as part of the SIP/TIP for PM and visibility. The EPA will also notify the

governor of the State or the tribal government that the area should be redesignated as

nonattainment. The SMP adopted in response to the SIP/TIP call must require mandatory

participation for greater than de minimis fires, must be adopted into the SIP/TIP, and must be

Federally enforceable. The SIP/TIP will also have to meet all other CAA requirements

applicable to nonattainment areas.

3. Interstate Transport of Smoke

Several key provisions of the CAA address interstate pollutant transport. Section 110(a)

(2)(D) provides that a SIP must contain provisions preventing subject sources from contributing

significantly to nonattainment problems or interfering with maintenance in any other State. That

section also prohibits interference with any SIP required measures under part C to prevent

significant deterioration or to protect visibility. Section 169A authorizes EPA to promulgate

regulations requiring states that “may reasonably be anticipated to cause or contribute to”

visibility impairment in mandatory Class I Federal areas to include in their SIP’s measures

necessary to eliminate or reduce such impairment. Section 126 provides that, in response to

petitions from government entities regarding significant pollutant transport, EPA may prescribe

certain corrective measures. Also, sections 169B, 176A and 184 contain provisions for

cooperatively addressing interstate pollution problems by establishing interstate transport

regions and commissions to address region wide pollution and visibility concerns. The EPA

promulgated a final rule, pursuant to the requirements of section 301(d) of the CAA that

authorizes eligible Indian tribes to also implement these provisions.7 If fires managed for

resource benefits in one State (or on Indian lands) cause or significantly contribute to NAAQS

violations in another State (or on Indian lands), EPA is authorized to take action under section

110(k)(5) of the CAA to address the problem. If, among other things, EPA finds that a SIP/TIP

is substantially inadequate to attain or maintain the NAAQS, it may require the SIP/TIP to be

revised to correct the inadequacy (e.g., transported smoke).

C. Role of Wildland Owners/Managers

Wildland owners/managers are responsible for following State/tribal regulations

applicable to fires, obtaining authorization to burn, and following the approved burn plan, when

7See Volume 63 Federal Register 7254, February 12, 1998.Page 203 of 212

27

one is required. Owners/managers are responsible for taking appropriate actions to

control the fire and reduce exposure to smoke when adverse air quality impacts result from a

failure of the air quality prescription or an escaped fire.

There is a special need for fires managed by Federal agencies to have burn plans that

include smoke management components. Fires managed by Federal agencies are most likely to

impact air quality in recreation areas (national parks, forest, etc.) and impair visibility in

mandatory Class I Federal areas. The EPA encourages Federal agencies to include smoke

management components in all burn plans, regardless of the existence of a State/tribal SMP.

VIII. DATA ON WILDLAND and PRESCRIBED FIRES

Most of a State/tribal program to protect air quality is contained in a SIP or TIP. Since

the use of fire for resource management is expected to increase substantially, especially on

Federal lands, State/tribal air quality managers will need information to develop potential annual

or seasonal air pollutant emission estimates for SIP/TIP planning. As for any source, emissions

from fires can be estimated by multiplying the estimated level of activity by an emission factor.

The level of activity for fire is the mass of biomass (fuel) consumed, usually expressed in tons.

Emission factors expressed in pounds per ton of fuel consumed are available in EPA’s

publication AP-42 (which is scheduled to be updated). Emission factors are derived from an

estimate of overall combustion efficiency (i.e. stoichiometric ratio). The mass of fuel consumed

is the product of fire size (acres), pre-burn fuel loading (tons per acre), and fuel consumption

(percent of pre-burn loading). An emission inventory can be compiled by the affected air agency

for an individual fire, a statistical class of fires, a burn program, or a population of fires in a

given area over a period of time based on this information.

Federal land management agencies currently collect data on wildland and prescribed

fires, however, no standard reporting format is followed. These raw data are usually limited to

the time and approximate location of the fire, fire perimeter area, weather (occasionally) and a

qualitative description of fuels at the point of ignition. The data are not collected for the purpose

of calculating air pollutant emissions and are probably inadequate for that purpose.

A National Interagency Fire Statistics Information Project has been initiated to develop

an easily accessible system for storing a set of commonly agreed upon fire data. Post-burn data,

such as that described above, on future wildland and prescribed fires would be stored in this

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database. The database will be accessible by air quality managers to estimate past,

current, and future emission trends from this source category.

The EPA encourages the Federal land management agencies to develop the fire statistics

database and FLM’s to report fire data to the system. These fire data will be needed by air

quality managers in regions where most wildland and prescribed fires occur on Federal lands.

Air quality managers should request similar fire data for wildland and prescribed fires on State,

private and Indian wildlands as well as information on other types of open burning to complete

their emission inventories.

Statewide emissions from fire use in all 50 states during 1989 have been estimated based

on a survey of [Federal, State and private] land owners/managers. [Ref. Peterson/Ward] Also, a

spatially resolved inventory of prescribed burning by county for 1990 and by 50km grid for

1995, 2015 and 2040 was prepared for 10 western States as part of the Grand Canyon Visibility

Transport Commission’s activities. [Ref. Peterson/Lahm] The emission estimates are based on

fuel models derived from 14 types of vegetative cover spatially mapped throughout the area and

estimates of fuel loadings as either low, medium or high. The procedures followed by Peterson

and Lahm to estimate emissions for the western states provide a good model for developing

emissions estimates for other areas, also.

Further information on developing emissions estimates and the data required can be

found in the white paper “Emission Inventories for SIP Development.” See Section I to obtain a

copy.

IX. MEETING OTHER CLEAN AIR ACT REQUIREMENTS

A. Demonstrate Conformity of Federal Activities

Activities on Federal lands must meet the requirements of the CAA, including the

provisions of section 176(c), that such activities "conform" to the purpose of the applicable SIP.

The EPA’s Conformity rules, implementing the provisions of section 176(c), only apply to

Federal actions taken within a nonattainment or maintenance area. The Transportation

Conformity rules govern transit-related activities, and all other type of activities are governed by

the General Conformity rules. The rules require a Federal agency to demonstrate, prior to

initiating a project, that its action conforms to all applicable requirements in a SIP and will not

cause or contribute to NAAQS violations. The General Conformity rules provide Federal

agencies with several options for demonstrating conformity. The following options are most

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typically followed : (1) a modeling demonstration to show that emissions from the

project will not increase the frequency or severity of a NAAQS violation, (2) obtaining emission

reductions that offset the new project emissions, or (3) showing that the project’s emissions are

already included in, or accommodated by, the emissions inventory of the SIP for the relevant

nonattainment or maintenance area. Federal activities occurring on tribal lands will be addressed

by EPA consistent with its Tribal Air Rule and the requirements of the CAA.

The above procedures can be followed to demonstrate conformity of fire projects for a

Federal land management agency’s administrative units based on the FMP’s developed for such

units. The demonstration can be made on an annual basis for all burns within the airshed of a

nonattainment or maintenance area. Alternatively, the demonstration can be made for each

individual fire project conducted at the administrative unit.

In addition to the previously cited methods for demonstrating conformity of Federal fire

projects, EPA will pursue, in consultation with the other Federal agencies, adding an alternative

method to the General Conformity rules through rulemaking. At a minimum, EPA believes that

the alternate method should require a Federal agency to document that its fire projects are

managed within a certified SMP. The SMP also must require regional coordination (cooperation

of all jurisdictions in an airshed) of burn plan authorization and real-time air quality monitoring

at sensitive receptors, when warranted, in addition to the basic program components discussed in

section VI.

B. Visibility/Regional Haze Requirements

The EPA's visibility regulations (45 FR 80084, December 2, 1980) protect mandatory

Class I Federal areas from manmade impairment that is "reasonably attributable" to a single

emission source or small group of sources. FLM’s for mandatory Class I Federal areas have a

key consultative role and responsibility to participate in the development of SIP’s for visibility

impairment that is reasonably attributable to specific sources. In Part C of the CAA which

includes the visibility protection mandate, Congress assigned FLM’s the "affirmative

responsibility to protect air quality related values (including visibility)" in mandatory Class I

Federal areas. Under EPA’s regulations, States must take appropriate actions to address all

sources of visibility impairment, including fires, in response to a FLM’s certification of

reasonably attributable impairment in mandatory Class I Federal areas.

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A new regulatory program to protect mandatory Class I Federal areas from "regional

haze" impairment was proposed by EPA on July 31, 1997 (62 FR 41137). After the regional

haze rules become final, States will need to address the impacts of fires and other contributing

sources on meeting reasonable progress in their control strategy analyses, as well as during

periodic progress assessments. The EPA will revisit this section of the Air Quality Policy on

Wildland and Prescribed Fires after the final rules for implementing the regional haze program

have been promulgated. The EPA will also develop guidance on assessing natural background

visibility to aid in implementing the regional haze rules, and will consider the following paper at

that time. The white paper “Estimating Natural Emissions From Wildland and Prescribed Fire”

presents preliminary options for defining natural wildland and prescribed fire emissions that may

or may not be consistent with the final regional haze rules. See Section I to obtain a copy.

C. Prevention of Significant Deterioration

Title I, part C of the CAA requires SIP’s to include provisions to prevent the significant

deterioration of air quality in areas designated as attainment or unclassifiable for any NAAQS.

“Significant deterioration” for any pollutant is defined as an unacceptable incremental increase

in ambient concentrations above the baseline concentration for that pollutant in an area. The

PSD “increments” have been established for SO2, NO2, and PM10. The EPA adopted NAAQS

for PM2.5, which became effective on September 16, 1997. However, no increments have yet

been promulgated for PM2.5,

The SIP’s are required to contain emission limits and such other measures as may be

necessary to prevent significant deterioration of air quality. See section 161 of the Act. In

addition, SIP’s are required to include a preconstruction review permit program for new and

modified major stationary sources. See section 165 of the Act. The SIP’s must ensure that

increases in emissions from all types air pollution sources do not cause the allowable increment

for a pollutant to be exceeded.

While fires managed for resource benefits generally are not subject to a preconstruction

review and the issuance of a PSD permit, the emissions from such activities may affect the air

quality in a PSD area. Under adverse conditions, the combined PM emissions from increased

fire activities and from other sources could possibly result in ambient concentrations that exceed

the allowable PSD increments for PM. Historically, EPA has often regarded fires managed for

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resource benefits to be temporary activities.8 The PM emissions resulting from fire

activities differ from the PM emissions generated by most other sources because they are

generally short-lived. That is, the burning generally is carried out infrequently at a specific

location (once every 5-20 years) and the duration tends to be short (approximately 1-2 days).

Even with the proposed increased utilization of fire as a resource management tool, the resulting

PM emissions are expected to be relatively uncommon at a particular location and of short

duration.

8See Volume 58 Federal Register 31633, June 3, 1993.Page 208 of 212

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Section 163(c)(1)(C) of the Act authorizes States with approved PSD programs to

exclude (with the Administrator’s approval) concentrations of PM caused by “construction or

other temporary emission-related activities” when determining compliance with the PSD

increments. The EPA generally supports the concept of allowing States with approved SIP’s to

exclude emissions caused by temporary managed fire activities from increment analyses,

provided the exclusion does not result in permanent or long-tern air quality deterioration.

Nevertheless, the decision as to whether PM emissions from fire activities should be counted

against the PSD increments for PM is a decision to be made by individual States. The EPA

expects States to consider the extent to which a particular type of prescribed burning activity is

truly temporary, as opposed to those activities which can be expected to occur in a particular

area with some regularity over a period of time.

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DEFINITIONS

Air Quality: The characteristics of the ambient air (all locations accessible to the general

public) as indicated by concentrations of the six air pollutants for which national standards have

been established [i.e., particulate matter (PM), sulfur dioxide (SO2), nitrogen dioxide (NO2),

ozone (O3), carbon monoxide (CO) and lead], and by visibility in mandatory Federal Class I

areas. For the purposes of this policy, concentrations of PM are taken as the primary indicators

of ambient air quality.

Air Quality Manager: The regulatory body responsible for managing the air quality

protection program for a State, local or tribal government.

Air Quality Related Values (AQRV): Those special attributes of a mandatory Class I

Federal area that deterioration of air quality may adversely affect. Some examples of AQRV

include: flora and fauna, water, visibility, and odor among others.

Ambient Air: That portion of the atmosphere, external to buildings, to which the general

public has access.

Administrative Unit: A unit of land (Forest, Refuge, Park, etc.) under the administration

of a public land management agency.

AP-42: The Environmental Protection Agency’s (EPA) Compilation of Air Pollutant

Emission Factors for stationary point, area, and mobile sources. An emission factor is a

representative value that attempts to relate the quantity of a pollutant released to the atmosphere

with an activity associated with the release of that pollutant. Emission factors are then used to

estimate the magnitude of a source’s pollutant emissions.

The plan includes the project objective, fire prescription (including smoke management

components), personnel, organization, equipment, etc.

Class I Area: An area set aside under the Clean Air Act (CAA) to receive the most

stringent protection from air quality degradation. Mandatory Class I Federal areas are (1)

international parks, (2) national wilderness areas which exceed 5,000 acres in size, (3) national

memorial parks which exceed 5,000 acres in size, and (4) national parks which exceed 6,000

acres and were in existence prior to the 1977 CAA Amendments. The extent of a mandatory

Class I Federal area includes subsequent changes in boundaries, such as park expansions.

De Minimis Fires: Fires that will cover fewer than X acres or consume less than Y tons

of fuel, as established by a State or tribe.

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Federal Implementation Plan (FIP): A plan (or portion thereof) promulgated by the

Administrator, as provided for under the CAA and any applicable EPA regulations, including

regulations governing tribal air plans, to fill all or a portion of a gap or otherwise correct all or a

portion of an inadequacy in a State or tribal implementation plan (TIP), and which may include

enforceable emission limitations or other control measures, means or techniques (including

economic incentives, such as marketable permits or auctions of emissions allowances), and

provides for attainment of the relevant national ambient air quality standard (NAAQS).

Federal Land Manager (FLM): With respect to any lands in the United States, the

Secretary of the Federal department with authority over such lands. Generally, the Secretaries

delegate their authority to specific elements within each department. For example, the National

Park Service and the Fish and Wildlife Service manage those areas under the authority of the

Department of the Interior.

Fire Dependent Ecosystem: A community of plants and animals that must experience

recurring disturbances by fire, in order to sustain its natural plant succession, structure and

composition of vegetation, and maintain appropriate fuel loading and nutrient cycling to ensure

proper ecosystem function.

Fire Management Plan (FMP): A strategic plan that defines a program to manage

wildland and prescribed fires, and documents the FMP to meet management objectives outlined

in the approved land use plan. The plan is supplemented by operational procedures such as

preparedness plans, burn plans and prevention plans.

Fuel: Includes combustible vegetative matter such as grass, trees, shrubs, limbs,

branches, duff, and stumps.

Indian Land: Indian land in this document refers to Indian country which is (a) all land

within the limits of any Indian reservation under the jurisdiction of the United States

Government, notwithstanding the issuance of any patent, and, including rights-of-way running

through the reservation, (b) all dependent Indian communities within the borders of the United

States whether within the original or subsequently acquired territory thereof, and whether within

or without the limits of a state, and (c) all Indian allotments, the Indian titles to which have not

been extinguished, including rights-of-way running through the same. [See 18 U.S.C. 1151.]

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Land Use Plan: A broad scale, long range plan (e.g., forest plan, refuge plan or

resource management plan) that identifies the scope of actions and goals for the land and

resources administered by a land owner/manager.

National Ambient Air Quality Standards (NAAQS): Standards for maximum

acceptable concentrations of pollutants in the ambient air to protect public health with an

adequate margin of safety, and to protect public welfare from any known or anticipated adverse

effects of such pollutants (e.g., visibility impairment, soiling, materials damage, etc.) in the

ambient air.

National Environmental Policy Act (NEPA): Establishes procedures that Federal

agencies must follow in making decisions on Federal actions which may impact the

environment. Procedures include evaluation of environmental effects of proposed actions, and

alternatives to proposed actions; involvement of the public and cooperating agencies.

Nuisance Smoke: Amounts of smoke in the ambient air which interfere with a right or

privilege common to members of the public, including the use or enjoyment of public or private

resources.

Particulate Matter (PM): Any airborne finely divided material, except uncombined

water, which exists as a solid or liquid at standard conditions (e.g., dust, smoke, mist, fumes, or

smog).

PM2.5: Particles with an aerodynamic diameter less than or equal to a nominal 2.5

micrometers.

PM10: Particles with an aerodynamic diameter less than or equal to a nominal 10

micrometers (including PM2.5).

Prescribed Fire: Any fire ignited by management actions to meet specific objectives

(i.e., managed to achieve resource benefits).

Prescription: Measurable criteria which guide selection of appropriate management

response and actions. Prescription criteria may include the meteorological conditions affecting

the area under prescription, as well as factors related to the state of the area to be burned such as

the fuel moisture condition and other physical parameters. Other criteria which may be

considered include safety, economic, public health, environmental, geographic, administrative,

social or legal considerations, and ecological and land use objectives.

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Prevention of Significant Deterioration (PSD): A requirement in the CAA, which

establishes the maximum allowable increases in ambient air concentrations of selected air

pollutants above baseline concentrations in areas designated as Class I, Class II, or Class III.

Project Plan: A strategic plan for accomplishing specific actions and goals (objectives)

established in a land use plan. A project may include several activities such as cutting and

hauling trees and shrubs, planting trees, building trails, and fire treatment.

Regional Haze: Generally, concentrations of fine particles in the atmosphere extending

up to hundreds of miles across a region and promoting noticeably hazy conditions; wide-spread

visibility impairment, especially in mandatory Class I Federal areas where visibility is an

important value.

Sensitive Receptors: Population centers such as towns and villages, camp grounds and

trails, hospitals, nursing homes, schools, roads, airports, mandatory Class I Federal areas, etc.

where smoke and air pollutants can adversely affect public health, safety and welfare.

Smoke Management Program (SMP): Establishes a basic framework of procedures

and requirements for managing smoke from fires that are managed for resource benefits. The

purposes of SMP’s are to mitigate the nuisance and public safety hazards (e.g., on roadways and

at airports) posed by smoke intrusions into populated areas; to prevent deterioration of air quality

and NAAQS violations; and to address visibility impacts in mandatory Class I Federal areas in

accordance with the regional haze rules.

State Implementation Plan (SIP): A CAA required document in which States adopt

emission reduction measures necessary to attain and maintain NAAQS, and meet other

requirements of the Act.

Suppression: A management action intended to protect identified values from a fire,

extinguish a fire, or alter a fire's direction of spread.

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Tribal Implementation Plan (TIP): A document authorized by the CAA in which

eligible tribes adopt emission reduction measures necessary to attain and maintain NAAQS, and

meet other requirements of the CAA for lands within tribal jurisdictions.

Violation of the PM NAAQS: As revised in 1997, the daily PM10 standard is violated

when the 99th percentile of the distribution of 24-hour concentrations for a period of 1 year

(averaged over 3 calendar years) exceeds 150 μg/m3 at any monitor within an area. The annual

PM10 standard is violated when the arithmetic average of 24-hour concentrations for a period of

1 year (averaged over 3 calendar years) exceeds 50 μg/m3 at any monitor within an area.

The new NAAQS levels for PM2.5 are set at a daily concentration less than or equal to 65

μg/m3, and an annual mean concentration of less than or equal to 15 μg/m3. The daily standard is

violated when the 98th percentile of the distribution of the 24-hour concentrations for a period of

1 year (averaged over 3 calendar years) exceeds 65 μg/m3 at any monitor within an area. The

annual standard is violated when the annual arithmetic mean of the 24-hour concentrations from

a network of one or more population-oriented monitors (averaged over 3 calendar years) exceeds

15 μg/m3. Compliance with the annual PM2.5 NAAQS is based on population-oriented monitors

because the health information, upon which the standard is based, relates area-wide health

statistics to area-wide air quality as measured by one or more monitors.

Volatile Organic Compounds (VOC): Any organic compound which participates in

atmospheric photochemical reactions, which are measured by a reference method, an equivalent

method, or an alternative method. Some compounds are specifically listed as exempt due to their

having negligible photochemical reactivity. [See 40 CFR 51.100.] Photochemical reactions of

VOC’s with oxides of nitrogen and sulfur can produce O3 and PM.

Wildfire: An unwanted wildland fire.

Wildland: An area where development is generally limited to roads, railroads, power

lines, and widely scattered structures. The land is not cultivated (i.e., the soil is disturbed less

frequently than once in 10 years), is not fallow, and is not in the United States Department of

Agriculture (USDA) Conservation Reserve Program. The land may be neglected altogether or

managed for such purposes as wood or forage production, wildlife, recreation, wetlands or

protective plant cover. [The distinction between wildlands, to which the recommendations in

this document apply, and agricultural lands is subject to further discussion.]

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Wildland Fire: Any non-structural fire, other than prescribed fire, that occurs in the

wildland. Note: Wildland fires include unwanted (wild) fires and naturally ignited fires that are

managed within a prescription to achieve resource benefits.

Wildland Fire Situation Analysis (WFSA): A real time decision-making process

carried out by federal land management agencies to select an appropriate management response

to wildland fire. The WFSA considers fire fighter and public safety, risk to property and

resources, fire fighting resources available, land management objectives and environmental,

social economic and political constraints. The environmental and social constraints considered

include, among other things, how air quality and/or visibility will be affected at sensitive

receptors by each alternative fire management strategy.

Wildland/Urban Interface: The line, area or zone where structures and other human

development meets or intermingles with the wildland.

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