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Lead in Air

SIP Toolkit - Compliance and Enforcement

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Implementation and enforcement provisions must be included in a SIP to show how the requirements of the plan will beput into effect and how sources that are in violation of the plan's requirements will be brought into compliance. Therefore, the emission limits and other requirements (1) must be written so that they are enforceable; (2) must require continuous compliance with the SIP provisions and with the NAAQS; (3) must include provisions for monitoring, testing, and recordkeeping and reporting to determine compliance; and (4) must include specific, expeditious final compliance dates.

To beenforceable, the wording of SIP regulations must unambiguously describe what facilities are affected by the rule and what they are required to do to be in and to demonstrate compliance. The requirements should be within the statutory authority of the regulatory agency and, in all cases, the owner or operator of a source should be aware of the standard of conduct required by the regulation. A SIP regulation should explicitly set forth the following:

  • who must comply with the regulation, including a description of the facilities covered by the regulation
  • quantity of emissions which cannot be exceeded (e.g., the emission limit)
  • period over which compliance is determined (e.g., the averaging time)
  • date by which compliance is expected (or the date on which noncompliance will be considered a violation of the rule), and the important dates required in any compliance schedule which the source is required to submit to the State
  • recordkeeping and reporting requirements
  • requirement of continuous compliance
  • methods and monitoring to be used to determine compliance (including the method for determining the level of emissions prior to implementing the controls for regulations expressed as a percentage reduction requirement)

In addition, any exemptions to the regulation should also be clearly stated in the text of the regulation. For example, exemptions based on the size of the facility or on the emission levels from a source should state explicitly how the owner or operator of the source is to determine size and emission level (e.g., whether emissions are actual or design emissions, how actual emissions are calculated). Provisions of a regulation that allow for variations in the normal mode of compliance should be clearly specified. These variance provisions require prior EPA approval for a general variance or EPA approval on a case-by-case basis.

If the SIP regulation includes provisions of Federal regulations that are incorporated by reference, those Federal regulations should be examined to check that they are appropriate and relevant. To allow for future changes to the referenced Federal regulations, the SIP regulation could reference the current version of the Federal regulation or any subsequent version promulgated by EPA.

The SIP regulations should explicitly state recordkeeping and reporting requirements. They should describe the records that are to be kept to demonstrate compliance, how long and where the records are to be maintained, accessibility for inspection, and schedules and content requirements for any required reports. Whenever possible, the SIP should specify the form and format of reports or it should give an example of an acceptable report. The SIP regulations should be written so that failure to submit a required report is itself a violation of the regulations.

EPA may issue an order to any person or company who violates the Clean Air Act. The order may impose a civil penalty plus recovery of any economic benefit of non-compliance and may also require correction of the violation. Penalties for violation of stationary source requirements, fuels requirements, or most motor vehicle emission requirements (by a company or dealer) may be up to $37,500 per violation (73 FR 75340, December 11, 2008).

For more information see:


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