WPC hoH36*F0_s:H3,}|m<0o3 [ѷeO# }@~j.4df Cz k(KQ,c 75ho07љq2\/OKwȸ!Zf[3$+:#{$*^ڷC[-A}\Q[1GR^!̀C9O}RϦE(.G+Ewܠ2}''E8#3Рv~-ߎe2" v'6Le;YY8õM1u yj HhcqA;EwJO^BX1ls%Lnj{8_uRscC~0: .<gwiPSɷJܴVcDk´|y v: y|m3pg낙5a>MrtM>bmIux,cAI̚n#ѵُ.最|&KʿgU: % D+  0C 0J AM` ob @ U6/Ne^ gs 0Cu m 0lώU3F; nUN 0(ޑw@#!F 1g 0DzΕ 1uZ Aϗ 0 Dl 0cb U:/*Y A 0L, BxN3U4F C|N4ʠDޠ!"!@?!1Ѥ!q 0w!!5 %!+;!pٴ!pI!p!)!!Y!`!`Y!P!@ !pI )& |"! [U@|||v2<pvN ZW|N-Z{|ZQUNU:3<UN<]UNU:v!<6X9`("Courier NewTTX'dxd Level 1 Level 2 Level 3 Level 4 Level 5(2T$ !  ("$ Figure    A<< cWPC` ` 9513` ,, ߃}z(8574645?444111?1110000/?//?/....-.-?-,?-,??,,?,-?,-?+,??+- ?++ ?+* +* ?(* ()?() '(  '( '(''?'''' '&? ?'&<?%&?$%??$%?$%?$%?#% #% #%?#%,/??"$ !?"$ ?w!?"# ?!?"# ?"??!# ??"?!# ?"???!# ?"???!# #? # # # ??|#??#?#?##?#?? ? ? ?s??? ? ? ?? ? ? ??? ?? ?@ ??  ?   "? ""??" ??" ?"p"?"??"?"## & '?'''( ??( ??( ( ??))*?*`- 0?0?/ ?/ ?/  ?/  . ? / ? /  / ? /  ??0 0 1?44?4?555?555  5  6  5 ? 5 ? ?5  ?5  ?5 ?? 6  ?7  ?7 ? 7  7  ?7 : ?; ; ?; ?=? ?<<<<<<<<=????   ? 0  ???111111?0?0???????????...--??-----?----,-?,,?,,,   ?    ?    ?              ?    ! ! ? 8? ~? ? ?    `   ?   ?  ? ?             0   ?x   ?~ ?  ? ?    ?   ??   ?          ?                  ?    ?       ?    ?  ?     ?     ?   ?  ?              ?             ?     ?   ?   ??          ? ?     ?   ?   ?   ? ? ?   ?   ?                         ?   ?        ?     ? ?   ? ?    ?  ?  ???????????????  !A( Z Z? Y Y Z Z Z Z Z?? Z Z @? @ &&&(&(& (& ($ ($ (?$ (?? (??    ??????~???????????@ $ $? $   $   $  $   $  ? $? ?? $? $  $ ? $ ?  #?  ? "?   " ?  "? ?  "? ?  _"? ?  "? ?  " ?  " ?  " ?  ?" ?  "?  ?  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C? ??A| A> A A ?@  ?@ ? @  ?  ?  ??  ??  ? ? ?? ?> ?> > ?> >> > ?=  =  =  ?= ??= ?= ?= ??9?  ?9? 9? <9? |9 x9 9 8? ??8? ?8 ?8 8? 9? ?7? 7 5? 5 4  ?3  ?3  3  ?2 2? 2 1? ?1? 1? ?1?  0 0 / ?/ /?//?/?.? .?.-,,?++?*?*?*)'' ' ' ?& ??? ?% ??? % ?? $?? $?? $? ?$? $? ?$?? ?$? ?# ?# ?? ?? ??0?` ????? ???    ?  %"  &" ? !"  |!">?!!??!!?!! @?!! ?!! !! ?!! ?!" ??!" ??!" ??!" ??!&??!&?"&?"&"&"?#&"?#&"#& #& $&?$&?? ?$&??? %&??? %&??? ?%&?  ?%&? ?&&??  ?&'  &'*'?*'?*(*)*)?*)*)**| *****+??*+?*+?*,?+,?/,?/-?/-?/-???/3??/3?/3/30303030303?0303 14 1; 2; ?2;7;<;<;=z%EPA-LOGO.WPG(2AArialBoldTT6'(2T$ !  U((2$ !      0  <09Z .Courier New Regular([tl<6X9`("Courier NewTTXXx6X@DQX@(2AArialBoldTTTP2p NQ(2AArialBoldTTTH2p NQ(hH  Z 6Times New Roman Regular($ !E"#$E&'E()D*HP LaserJet 4000 PS0 }CEKQW]cioAutoList1A.1.A.A.A.A.A.A.Level 1Level 2Level 3Level 4Level 5Level 1Level 2Level 3Level 4Level 5(39$ !  3|s*Level 1Level 2Level 3Level 4Level 5Level 1Level 2Level 3Level 4Level 53#37=CIQYag1.a.i.(1)(a)(i)1)a) I&mage <=8C HKKKK(#$  0  (;3$2#  0  .3  0  - -,yAZ"Arial Regular()dghGeorge Hays&OLE 2.0 Box <=8C HKKKK>c$"Small Circle"0  d D $    1    _Thetermexcessemissionmeansanairemissionlevelwhich  exceedsanyapplicableemissionlimitation.Malfunctionmeansa L suddenandunavoidablebreakdownofprocessorcontrolequipment.LIBRARY.STY<09Z .Courier New Regular  $    2    _ԀInthecaseofleadandsulfurdioxide,attainment  problemsusuallyarecausedbyoneorafewsourcesandanaffirmativedefenseisnotappropriate.Thissituationcanbe   particularlyaggravatedwhereashorttermstandard(e.g.,whereexceedancesorviolationsarebasedonafewhourperiod)isalsoinplace.AlthoughthispolicyisgenerallyapplicableforotherNAAQS,enforcementdiscretionistheonlyappropriateapproachfordealingwithexcessemissionsduringstartup,shutdown,andmalfunctioninaspecificareawhereasinglesourceorasmallgroupofsourceshasthepotentialtocausenonattainmentofashorttermNAAQS. r $    3    _ThispolicyalsodoesnotapplyforpurposesofPM2.5  NAAQS.InAmericanTruckingAssociationv.EPA,175F.3d1027(D.C.Circ.,1999),thecourtremandedthePM2.5NAAQStotheEPA.TheAgencyhasnotdeterminedwhetherthispolicyisappropriateforPM2.5NAAQS.Z&  Perciasepe SIPsC.F.R.nonattainmentexceedances NSPSbaghouse 9 9NAAQSexceedanceEPCRACERCLAcogeneration wpdNESHAPS PSD"AIP[rﳈE?0404/Nmpϟ@2BP@LL ")+2/)@$ 5 $    3    _ԀInAmericanTruckingAssociationv.EPA,175F.3d1027  (D.C.Circ.,1999),thecourtremandedthePM2.5NAAQStotheEPA.TheAgencyhasnotdeterminedwhetherthispolicyisappropriateforPM2.5NAAQS."BIP[r?=//Nh &@FR@FL .  $    4    _Thetermaffirmativedefensemeans,inthecontextofan  enforcementproceeding,aresponseordefenseputforwardbyadefendant,regardingwhichthedefendanthastheburdenofproof,andthemeritsofwhichareindependentlyandobjectivelyevaluatedinajudicialoradministrativeproceeding."u^==K\\!==\g.=.3\\\\\\\\\\33gggQzzpf=Gpfzfpp=3=V\cQ\Q\Q=\\33\3\\\^=G3\\\\QX^Xc.====\???=???\QQQQQzzQpQpQpQpQ=3=3=3=3\\\\\\\\\\Q\\\\[f\QQQzQzQzQzQ\pQpQpQpQ\\\\\\\\=4=4=3=4G\p3p3p3p3p3\\\\\\z=z=z=fGfGfGfGp3p3p3\\\\\\\pQpQpQ\p3\z=fGp3\\\\\pQ=44\N.QN=QNNYdY3.wwd3ww3..SS11\\.S3'UonU=gY(O;$0  2#  a  .3  0` (#(#"u^CCRdd$CCdq2C28dddddddddd88qqqYzoCNzoozzC8C^dlYdYdYCdd88d8dddfCN8ddddY`g`l2CCCCdDDDCDDDdYYYYYYzYzYzYzYC8C8C8C8ddddddddddYddddcodYYYYYYYdzYzYzYzYddddddddC9C9C8C9Ndz8z8z8z8z8ddddddCCCoNoNoNoNz8z8z8dddddddzYzYzYdz8dCoNz8dddddzYC99dN3XVCYUUbmb82m8822ZZ55dd2Z8']yx]Cqb  $    1    _PursuanttoSection110(l),EPAmaynotapproveaSIP  revisionif therevisionwouldinterferewithanyapplicablerequirementconcerningattainmentandreasonablefurtherprogress,oranyotherapplicablerequirementofthischapter.SeealsoCAA193,42U.S.C.7515,andthedefinitionsof emissionlimitationand emissionstandardcontainedinCAA302(k),42U.S.C.7602(k).   "h^^^t3^^G^GOOO~^n ^O^~~~^OOO^nO~G^^^^aaa^aaa~~~~~~~~~~^O^O^O^O~~~~~~~~~~~~^Q^Q^O^QnOOOOO^^^nnnnOOO ~~~O^nO~^QQNH}y^~xxOGOOGGKKGO'^H"u^88DSS88S^*8*.SSSSSSSSSS..^^^J|ooxf]xx8Axfxx]xo]fxxxxf8.8NSZJSJSJ8SS..S.SSSU8A.SSxSSJPVPZ*8888S9998999SxJxJxJxJxJooJfJfJfJfJ8.8.8.8.xSxSxSxSxSxSxSxSxSxSxJxSxSxSxSxR]S|J|J|JoJoJoJoJxSfJfJfJfJxSxSxSxSxSxSxSxS80808.80AxSf.f.f.f.f.xSxSxSxSxSxSxo8o8o8]A]A]A]Af.f.f.xSxSxSxSxSxSxxSfJfJfJxSf.xSo8]Af.xSxSxSxSxSfJ800xSN*JG8JGGQ[Q.*ll[.||ml.**KKw,,SS*K.'MedM8^QBennett3.7 IX VagenasHermanNicholsSIPsKathleenBennettNAAQS 2d 9thCirC.F.R.CAAU.S.C.VOCCutpointsexceedances FR NSPSoverarching"u,ae^%1DPPoi%%%Po%%%%PPPPPPPPPP%%oJo]YV]MJ]]+PYG{`]V`VYS]V]VM%%%SS%JJDJG4JM((J(oMJJJ8D4MJuJJ9`+&Prestige EliteH<9p`+2Courier 10RomanSpeedo@*b4 p`$Roman-WPType 1&4zAP2UniversCondensed BoldAr Ap`>WP TypographicSymbolsType 1<9p`+(Courier-WPType 1<6X9`+ CourierLegal< 9+ CourierBoldH) p`CG Timese?xxx,,Xx&{5+T qQ$HHH,,/^H2w~9nnn,,n&nWf3L=L&L\7SCSXSVNv^vRvGy.E8EET}*?8?,,?Tsp&828,,8T2KCK,,XK|>xxx,,nXxWIT #CAX= gS%HHH,,nhHW ;xxxXXxT$HHHXhHT?xxx,,Xx&T ?xxx,,Xx  8RCR,,KXR,@ !P|@g#$P <~? 9+(Courier New Bold l $    6    _TotheextentastateincludesNSPSorNESHAPSinitsSIP,  thestandardsshouldnotdeviatefromthosethatwerefederallypromulgated.BecauseEPAsetthesestandardstakingintoaccounttechnologicallimitations,additionalexemptionswouldbeinappropriate.Bennett3.7 IX VagenasHermanNicholsSIPsKathleenBennettNAAQS 2d 9thCirC.F.R.CAAU.S.C.VOCCutpointsexceedances FR NSPSoverarching  $    4    _Thetermaffirmativedefensemeans,inthecontextofan  enforcementproceeding,aresponseordefenseputforwardbyadefendant,regardingwhichthedefendanthastheburdenofproof,andthemeritsofwhichareindependentlyandobjectivelyevaluatedinajudicialoradministrativeproceeding. 2 $    5    _V  Becauseallperiodsofexcessemissionsareviolationsand  becauseaffirmativedefenseprovisionsmaynotapplyinactionsforinjunctiverelief,undernocircumstanceswouldEPAconsiderperiodsofexcessemissions,evenifcoveredbyanaffirmativedefense,tobe federallypermittedreleasesunderEPCRAorCERCLA.^XsfXXXV   ` W#_XXXdXsf#WS  $    4    _Statesmayaccountforsuchemissionsbyincludingthemin  theirroutineruleeffectivenessestimates.RuleeffectivenessestimatesmaybepreparedinaccordancewithanEPApolicydocumententitled GuidelinesforEstimatingandApplyingRuleEffectivenessforOzone/CarbonMonoxideStateImplementationPlanBaseYearInventories.(EPA452/R92010)November1992. l $    6    _TotheextentastateincludesNSPSorNESHAPSinitsSIP,  thestandardsshouldnotdeviatefromthosethatwerefederallypromulgated.BecauseEPAsetthesestandardstakingintoaccounttechnologicallimitations,additionalexemptionswouldbeinappropriate. D $    1    _Thetermexcessemissionmeansanairemissionlevelwhich  exceedsanyapplicableemissionlimitation.Malfunctionmeansa L suddenandunavoidablebreakdownofprocessorcontrolequipment. P $    2    _Thetermautomaticexemptionmeansagenerallyapplicable  provisioninaSIPthatwouldprovidethatifcertainconditionsexistedduringaperiodofexcessemissions,thenthoseexceedanceswouldnotbeconsideredviolations. r $    3    _ThispolicyalsodoesnotapplyforpurposesofPM2.5  NAAQS.InAmericanTruckingAssociationv.EPA,175F.3d1027(D.C.Circ.,1999),thecourtremandedthePM2.5NAAQStotheEPA.TheAgencyhasnotdeterminedwhetherthispolicyisappropriateforPM2.5NAAQS. D $    1    _Thetermexcessemissionmeansanairemissionlevelwhich  exceedsanyapplicableemissionlimitation.Malfunctionmeansa L suddenandunavoidablebreakdownofprocessorcontrolequipment. P $    2    _Thetermautomaticexemptionmeansagenerallyapplicable  provisioninaSIPthatwouldprovidethatifcertainconditionsexistedduringaperiodofexcessemissions,thenthoseexceedanceswouldnotbeconsideredviolations. r $    3    _ThispolicyalsodoesnotapplyforpurposesofPM2.5  NAAQS.InAmericanTruckingAssociationv.EPA,175F.3d1027(D.C.Circ.,1999),thecourtremandedthePM2.5NAAQStotheEPA.TheAgencyhasnotdeterminedwhetherthispolicyisappropriateforPM2.5NAAQS. P $    2    _Thetermautomaticexemptionmeansagenerallyapplicable  provisioninaSIPthatwouldprovidethatifcertainconditionsexistedduringaperiodofexcessemissions,thenthoseexceedanceswouldnotbeconsideredviolations.(hH  Z6Times New Roman Regular<6X9`("Courier NewTT  $    4    _Thetermaffirmativedefensemeans,inthecontextofan  enforcementproceeding,aresponseordefenseputforwardbyadefendant,regardingwhichthedefendanthastheburdenofproof,andthemeritsofwhichareindependentlyandobjectivelyevaluatedinajudicialoradministrativeproceeding. 2 $    5    _V  Becauseallperiodsofexcessemissionsareviolationsand  becauseaffirmativedefenseprovisionsmaynotapplyinactionsforinjunctiverelief,undernocircumstanceswouldEPAconsiderperiodsofexcessemissions,evenifcoveredbyanaffirmativedefense,tobe federallypermittedreleasesunderEPCRAorCERCLA.bXsfXXXV   ` W#eXXXdXsf#WS(hH  Z6Times New Roman Regular 2 $    5    _V  Becauseallperiodsofexcessemissionsareviolationsand  becauseaffirmativedefenseprovisionsmaynotapplyinactionsforinjunctiverelief,undernocircumstanceswouldEPAconsiderperiodsofexcessemissions,evenifcoveredbyanaffirmativedefense,tobe federallypermittedreleasesunderEPCRAorCERCLA.dXTXXXV   ` W#XXXdXT#WS(hH  Z6Times New Roman Regular<6X9`("Courier NewTT l $    6    _TotheextentastateincludesNSPSorNESHAPSinitsSIP,  thestandardsshouldnotdeviatefromthosethatwerefederallypromulgated.BecauseEPAsetthesestandardstakingintoaccounttechnologicallimitations,additionalexemptionswouldbeinappropriate. !  _  TRX3'X3' Letter3' Letter3'T  #8YXXdd8  XUXXXR"[QXXU_#XUXQR"[#@,",US ,  (:!&),#XJXXXU#Ԉ J:6z ,8 `` @@@E`84`VXXJ V@ UNITEDSTATESENVIRONMENTALPROTECTIONAGENCY@  ^K @@!WASHINGTON,D.C.20460 l      `     h   ! S !"M7y ^K"$#S#$'&Se&' `    (September_2()(2()((*0*(,_Ԁ1999(  X  MXWaXM7y,XКXXMXWaMEMORANDUM 0  SUBJECT:0 ` StateImplementationPlans:PolicyRegardingExcess X  EmissionsDuringMalfunctions,Startup,andShutdown ` (#` (# FROM: ` StevenA.Herman ^   0 ` AssistantAdministratorforEnforcementandComplianceAssurance ` (#` (#    ` XКXX,XКRobertPerciasepe#,XКXXXКl# 2    ` AssistantAdministratorforAirandRadiation   ` TO:   ` RegionalAdministrators,RegionsIX 8   EPAspolicyforstateimplementationplans(SIPs)regardingexcessemissionsduringmalfunctions,startup,shutdown,andmaintenanceiscontainedinmemorandafromKathleenBennett,formerlyAssistantAdministratorforAir,NoiseandRadiationdatedSeptember28,1982andFebruary15,1983.ArecentreviewofSIPssuggeststhatseveralcontainprovisionsthatappeartobeinconsistentwiththispolicy,eitherbecausetheywereinadvertentlyapprovedafterEPAissuedthe19821983guidanceorbecausetheywerepartoftheSIPatthattimeandhaveneverbeenremoved.Inordertoaddresstheseprovisionsinaconsistentmanner,todaywearereaffirmingandsupplementingthe198283policy.Insodoing,wearetakingthisopportunitytoclarifyseveralissuesofinterpretationthathavearisensincethattime.TheupdatedpolicywillclarifythetypesofexcessemissionsprovisionsstatesmayincorporateintoSIPssothattheycaninturnprovidegreatercertaintytotheregulatedcommunity.    AsEPAstatedinits1982memorandum,becauseexcessemissionsmightaggravateairqualitysoastopreventattainmentorinterferewithmaintenanceoftheambientairqualitystandards ,EPAviewsallexcessemissionsasviolationsofthe H,(2 applicableemissionlimitation.Nevertheless,EPArecognizesthatimpositionofapenaltyforsuddenandunavoidable -p*4 malfunctionscausedbycircumstancesentirelybeyondthecontroloftheowneroroperatormaynotbeappropriate.Accordingly,astateorEPAcanexerciseits enforcementdiscretiontorefrainfromtakinganenforcementactioninthesecircumstances.  XPXX,XPThemainquestionofinterpretationthathasarisen B . regardingtheoldpolicyiswhetherastatemaygobeyondthis enforcementdiscretionapproachandincludeinitsSIPaprovisionthatwould,inthecontextofanenforcementactionforexcessemissions,excuseasourcefrompenaltiesifthesourcecandemonstratethatitmeetscertainobjectivecriteria(an affirmativedefense). Thispolicyclarifiesthatstates#,XPXXXPR#have F2  thediscretiontoprovidesuchadefensetoactionsforpenaltiesbroughtforexcessemissionsthatariseduringcertain   malfunction,startup,andshutdownepisodes.     Inthecontextofmalfunctions,EPArecognizesthateven n  equipmentthatisproperlydesignedandmaintainedcansometimesfail.Atthesametime,EPAhasafundamentalresponsibilityundertheCleanAirActtoensurethatSIPsprovidefor  attainmentandmaintenanceofthenationalambientairqualitystandards( NAAQS)andprotectionofPSDincrements.Thus,EPAcannotapproveanaffirmativedefenseprovisionthatwouldunderminethefundamentalrequirementofattainmentandmaintenanceoftheNAAQS,oranyotherrequirementoftheCleanAirAct.Seesections110(a)and(l)oftheCleanAirAct,42U.S.C.7410(a)and(l).XPXX,XP9 !#  1      #,XPXXXP$#ԀAccordingly,anacceptable  affirmativedefenseprovisionXPXX,XPԀ#,XPXXXP #mayonlyapplytoactionsfor  penalties,butnottoactionsforinjunctiverelief.XPXX,XPThis v restrictioninsuresthatbothstateandfederalauthoritiesremainabletoprotectairqualitystandardsandPSDincrements.#,XPXXXP#Ԁ 6"   Furthermore,thisapproachisappropriateonlyXPXX,XPwhenthe   respectivecontributionsofindividualsourcestopollutantconcen#,XPXXXP#XPXX,XPtrationsinambientairaresuchthatnosinglesourceor !z" smallgroupofsourceshasthepotentialtocauseanexceedanceoftheNAAQSorPSDincrements.- !#  2      ׀#,XPXXXP#XPXX,XPԀ#,XPXXXP#XPXX,XPWhereasinglesourceorsmall :#&$ groupofsourceshasthepotentialtocauseanexceedanceoftheNAAQSorPSDincrements#,XPXXXP #XPXX,XP,EPAbelievesanaffirmativedefense  approachwillnotbeadequatetoprotectpublichealthandthe  environment,andtheonlyappropriatemeansofdealingwith  excessemissionsduringmalfunction,startup,andshutdownepisodes isthroughanenforcementdiscretionapproach.3 !#  3      #,XPXXXP#XPXX,XP B .   #,XPXXXP#EPAisalsotakingthisopportunitytoclarifythatitdoes   notintendtoapproveSIPrevisionsthatwould_ enable  allow _ԀastatedirectorsdecisiontobarEPAsorcitizens'abilitytoenforceapplicablerequirements.SuchanapproachwouldbeinconsistentwiththeregulatoryschemeestablishedinTitleIoftheCleanAirAct.EPAisalsoaddingcontemporaneousrecordkeepingandnotificationcriteriatomakeitspolicyregardingthesetypesofeventsconsistentwithitsenforcementapproach.  Finally,EPAisclarifyinghowexcessemissionsthatoccurduringperiodsofstartupandshutdownshouldbeaddressed.Ingeneral,becauseexcessemissionsthatoccurduringtheseperiodsarereasonablyforeseeable,theyshouldnotbeexcused.XPXX,XPHowever,  EPArecognizesthat,forsomesourcecategories,eventhebest  availableemissionscontrolsystemsmightnotbeconsistently  effectiveduringstartuporshutdownperiods.InareaswheretherespectivecontributionsofindividualsourcestopollutantconcentrationsinambientairaresuchthatnosinglesourceorsmallgroupofsourceshasthepotentialtocauseanexceedanceoftheNAAQSorPSDincrements#,XPXXXP|#XPXX,XP,#,XPXXXP!#XPXX,XPthesetechnologicallimitations  maybeaddressedintheunderlyingstandardsthemselvesthroughnarrowlytailoredSIPrevisionsthattakeintoaccountthepotentialimpactsonambientairqualitycausedbytheinclusion R> oftheseallowances.Intheseinstances,aspartofits (  justificationoftheSIPrevision,thestateshouldanalyzethe  impactofthepotentialworstcaseemissionsthatcouldoccur  duringstartupandshutdown.U !#  4        ̀Inadditiontothisapproach,statesmayaddressthisproblemthroughtheuseofenforcementdiscretionortheymayincludeageneralaffirmativedefenseprovisionintheirSIPsforshortand B . infrequentstartupandshutdownperiodsalongthelinesoutlinedintheattachment.#,XPXXXP!#ԀAsmentionedabove,however,inthoseareas   whereXPXX,XPԀasinglesourceorsmallgroupofsourceshasthepotential   tocauseanexceedanceoftheNAAQSorPSDincrements#,XPXXXP~&#XPXX,XP,issues    relatingtoexcessemissionsarisingduringstartupandshutdownmayonlybeaddressedthroughanenforcementdiscretionapproach.#,XPXXXPL'# F2    AllRegionsshouldreviewtheSIPsfortheirstatesinlightofthisclarificationandtakestepstoinsurethatexcessemissionsprovisionsintheseSIPsareconsistentwiththeattahcechedguidance.   t`  XPXX,XP  #,XPXXXPg)#Attachment   8*XXdXXd8    :r@'Attachment    @@POLICYONEXCESSEMISSIONSDURINGMALFUNCTIONS,STARTUP,ANDSHUTDOWNXXX,X  *Introduction  Thispolicyspecifieswhenandinwhatmannerstateimplementationplans(SIPs)mayprovidefordefensestoviolationscausedbyperiodsofexcessemissionsduetomalfunctions,)WZ !#  1      #,XXXXX+#XXX,XԀstartup,orshutdown.Generally,sinceSIPsmust    provideforattainmentandmaintenanceofthenationalambientairqualitystandardsandtheachievementofPSDincrements,allperiodsofexcessemissionsmustbeconsideredviolations.#,XXXX*-#XXX,XԀ    Accordingly,anyprovisionthatallowsforanautomaticexemption]X[ !#  2      ׀forexcessemissionsisprohibited .#,XXXXm.#Ԁ 8    However,theimpositionofapenaltyforexcessemissionsduringmalfunctionscausedbycircumstancesentirelybeyondthecontroloftheowneroroperatormaynotbeappropriate.Statesmay,therefore,asanexerciseoftheirinherentenforcementdiscretion,choosenottopenalizeasourcethathasproducedexcessemissionsundersuchcircumstances.XXX,X    ThispolicyprovidesanalternativeapproachtoenforcementdiscretionforareasandpollutantswheretherespectivecontributionsofindividualsourcestopollutantconcentrationsinambientairaresuchthatnosinglesourceorsmallgroupofsourceshasthepotentialtocauseanexceedanceoftheNAAQSorPSDincrements.#,XXXXZ1#XXX,XԀWhereasinglesourceorsmallgroupofsources h hasthepotentialtocauseanexceedanceoftheNAAQSorPSDincrements,#,XXXX3#XXX,XԀasisoftenthecaseforsulfurdioxideandlead,.Y\ !#  3      ׀  EPAbelievesapproachesotherthanenforcementdiscretionarenotappropriate.Insuchcases,anyexcessemissionsmayhaveasignificantchanceofcausinganexceedanceorviolationoftheapplicablestandardorPSDincrement .#,XXXX3#XXX,XԀ l"   B#   #,XXXX5#XXX,XExceptwhereasinglesourceorsmallgroupofsourceshas  thepotentialtocauseanexceedanceoftheNAAQSorPSD  increments#,XXXXp6#XXX,X,statesmayincludeintheirSIPsaffirmative  defenses5`S !#  4      ׀forexcessemissions,aslongastheSIPestablishes  limitationsconsistentwiththosesetoutbelow.IfapprovedintoaSIP,anaffirmativedefensewouldbeavailabletosourcesinanenforcementactionseekingpenaltiesbroughtbythestate,EPA,orcitizens.However,adeterminationbythestatenottotakeanenforcementactionwouldnotbarEPAorcitizenaction.cxaxTx !#  5      ׀     Inaddition,incertainlimitedcircumstances,itmaybeappropriateforthestatetobuildintoasourcespecificorsourcecategoryspecificemissionstandardaprovisionstatingthattheotherwiseapplicableemissionlimitationsdonotapplyduringnarrowlydefinedstartupandshutdownperiods.#,XXXX^7#XXX,X   & X I.  AUTOMATICEXEMPTIONSANDENFORCEMENTDISCRETION t`    IfaSIPcontainsaprovisionaddressingexcessemissions,itcannotbethe'Xd5<Ԁtypethatprovidesforautomaticexemptions.Automaticexemptionsmightaggravateambientairqualitybyexcusingexcessemissionsthatcauseorcontributetoaviolationofanambientairqualitystandard.AdditionalgroundsfordisapprovingaSIPthatincludestheautomaticexemptionapproacharediscussedinmoredetailat42Fed.Reg.58171(November8,1977)and42Fed.Reg.21372(April27,1977).Asaresult,EPAwillnotapproveanySIPrevisionsthatprovideautomaticexemptionsforperiodsofexcessemissions.  ThebestassurancethatexcessemissionswillnotinterferewithNAAQSattainment,maintenance,orincrementsistoaddress ( excessemissionsthroughenforcementdiscretion.Thispolicyprovidesalternativemeansforaddressingexcessemissionsofcriteriapollutants.However,thispolicydoesnotapplywherea  ! singlesourceorsmallgroupofsourceshasthepotentialtocauseanexceedanceoftheNAAQSorPSDincrements#,XXXX<#XXX,X.Moreover, V"B# :r :  :  nothinginthisguidanceshouldbeconstruedasrequiringstatestoincludeaffirmativedefenseprovisionsintheirSIPs.#,XXXX'A#  XXX,XII.0  AFFIRMATIVEDEFENSESFORMALFUNCTIONS(#(#   EPAcanapproveaSIPrevisionthatcreatesanaffirmativedefensetoclaimsforpenaltiesinenforcementactionsregardingexcessemissionscausedbymalfunctions#,XXXX^B#XXX,XԀaslongasthedefense   doesnotapplytoSIPprovisionsthatderivefromfederallypromulgatedperformancestandardsoremissionlimits,suchasnewsourceperformancestandards(NSPS)andnationalemissionsstandardsforhazardousairpollutants(NESHAPS).PfV !#  6      ׀Inaddition, F2  affirmativedefensesarenotappropriateforareasandpollutantswhereasinglesourceorsmallgroupofsourceshasthepotentialtocauseanexceedanceoftheNAAQSorPSDincrements#,XXXXԤC#XXX,X.#,XXXXwF#XXX,X   #,XXXXԺF#XXX,XFurthermore,affirmativedefensestoclaimsforinjunctiverelief   arenotallowed.#,XXXXG#XXX,XTobeapproved,anaffirmativedefense t`  provisionmustprovidethatthedefendanthastheburdenofproofofdemonstratingthat:  1.Theexcessemissionswerecausedbyasudden,unavoidablebreakdownoftechnology,beyondthecontroloftheowneroroperator;  2.Theexcessemissions(a)didnotstemfromanyactivity $ oreventthatcouldhavebeenforeseenandavoided,orplanned  for,and(b)couldnothavebeenavoidedbybetteroperationand  maintenancepractices;  3.Tothemaximumextentpracticabletheairpollutioncontrolequipmentorprocessesweremaintainedandoperatedinamannerconsistentwithgoodpracticeforminimizingemissions;  4.Repairsweremadeinanexpeditiousfashionwhentheoperatorkneworshouldhaveknownthatapplicableemissionlimitationswerebeingexceeded.Offshiftlaborandovertimemusthavebeenutilized,totheextentpracticable,toensurethatsuchrepairsweremadeasexpeditiouslyaspracticable;  5.Theamountanddurationoftheexcessemissions(includinganybypass)wereminimizedtothemaximumextentpracticableduringperiodsofsuchemissions;   0(#*   6.Allpossiblestepsweretakentominimizetheimpactoftheexcessemissionsonambientairquality;  7.Allemissionmonitoringsystemswerekeptinoperationifatallpossible;  8.Theowneroroperatorsactionsinresponseto#,XXXXԻG#XXX,XԀthe   #,XXXXTN#XXX,Xexcessemissionsweredocumentedbyproperlysigned,   contemporaneousoperatinglogs,orotherrelevantevidence;  9.Theexcessemissionswerenotpartofarecurringpatternindicativeofinadequatedesign,operation,ormaintenance;and  10.Theowneroroperatorproperlyandpromptlynotifiedtheappropriateregulatoryauthority.  EPAinterpretsthesecriterianarrowly.Onlythosemalfunctionsthataresudden,unavoidable,andunpredictableinnaturequalifyforthedefense.Forexample,asingleinstanceofaburstpipethatmeetstheabovecriteriamayqualifyunderanaffirmativedefense.Thedefensewouldnotbeavailable,however,ifthefacilityhadahistoryofsimilarfailuresbecauseofimproperdesign,impropermaintenance,orpooroperatingpractices.Furthermore,asourcemusthavetakenallavailablemeasurestocompensateforandresolvethemalfunction.Ifafacilityhasabaghousefirethatleadstoexcessemissions#,XXXXԯN#XXX,X,  theaffirmativedefensewouldbeappropriateonlyfortheperiod  oftimenecessarytomodifyorcurtailoperationstocomeintocompliance.#,XXXXR#XXX,XThefireshouldnotbeusedtoexcuseexcess R> emissionsgeneratedduringanextendedperiodoftimewhiletheoperatorordersandinstallsnewbags,andrelevantSIPlanguage  mustlimitapplicabilityoftheaffirmativedefenseaccordingly.   #,XXXXS#XXX,XIII.0  EXCESSEMISSIONSDURINGSTARTUPANDSHUTDOWN!l"(#(#   Ingeneral,#,XXXXdU#Ԁstartupandshutdownofprocessequipmentare ,#$ partofthenormaloperationofasourceandshouldbeaccountedforintheplanning,design,andimplementationofoperatingproceduresfortheprocessandcontrolequipment.Accordingly,itisreasonabletoexpectthatcarefulandprudentplanninganddesignwilleliminateviolationsofemissionlimitationsduringsuchperiods.L } 3L "3     "3W2}  A  .3  0 `   SOURCECATEGORYSPECIFICRULESFORSTARTUPANDSHUTDOWN"3W.X݌)$,` (#` (# Ќ      Forsomesourcecategories,giventhetypesofcontroltechnologiesavailable,theremayexistshortperiodsofemissionsduringstartupandshutdownwhen,despitebesteffortsregardingplanning,design,andoperatingprocedures,the  .(1 otherwiseapplicableemissionlimitationcannotbemet.Accordingly,XXX,Xexceptinthecasewhereasinglesourceorsmall  groupofsourceshasthepotentialtocauseanexceedanceoftheNAAQSorPSDincrements#,XXXX_Z#,itmaybeappropriate,inconsultation  withEPA,tocreatenarrowlytailoredSIPrevisionsthattakethesetechnologicallimitationsintoaccountandstatethattheotherwiseapplicableemissionslimitationsdonotapplyduringnarrowlydefinedstartupandshutdownperiods.Tobeapproved,theserevisionsshouldmeetthefollowingrequirements:  1.Therevisionmustbelimitedtospecific,narrowlydefinedsourcecategoriesusingspecificcontrolstrategies(e.g.,cogenerationfacilitiesburningnaturalgasandusingselectivecatalyticreduction);  2.Useofthecontrolstrategyforthissourcecategorymustbetechnicallyinfeasibleduringstartuporshutdownperiods;  3.TheXXX,Xfrequency#,XXXX@^#Ԁanddurationofoperationinstartupor  shutdownmodemustbeminimizedtothemaximumextentpracticable;  4.AXXX,XspartofitsjustificationoftheSIPrevision,the N: stateshouldanalyzethepotentialworstcaseemissionsthatcouldoccurduringstartupandshutdown#,XXXX_#;    5.Allpossiblestepsmustbetakentominimizetheimpactofemissionsduringstartupandshutdownonambientairquality;  6.Atalltimes,thefacilitymustbeoperatedinamannerconsistentwithgoodpracticeforminimizingemissions,andthesourcemusthaveusedbesteffortsregardingplanning,design,andoperatingprocedurestomeettheotherwiseapplicableemissionlimitation;and  7.Theowneroroperator'sactionsduringstartupandshutdownperiodsmustbedocumentedbyproperlysigned,contemporaneousoperatinglogs,orotherrelevantevidence. "3     "3b2}  B  .3  0 `   GENERALAFFIRMATIVEDEFENSEPROVISIONSRELATINGTO &p!( STARTUPANDSHUTDOWN"3bb݌ ` (#` (# Ќ    InadditiontotheapproachoutlinedinSectionII(A)above,XXX,Xstatesmayaddresstheproblemofexcessemissionsoccurring )$, duringstartupandshutdownperiodsthroughanenforcementdiscretionapproach.#,XXXXc#ԀFurther,exceptinthecasewhere% < XXX,Xasingle +t&. sourceorsmallgroupofsourceshasthepotentialtocauseanexceedanceoftheNAAQSorPSDincrements#,XXXX e#,statesmayalsoadopt 4- (0 fortheirSIPsanaffirmativedefenseapproach.Usingthis  .(1 approach,allXXX,Xperiodsofexcessemissionsarisingduringstartup  andshutdownmustbetreatedasviolations,andtheaffirmativedefenseprovisionmustnotbeavailable#,XXXXif#XXX,Xforclaimsforinjunctive  relief.Furthermore,tobeapproved,suchaprovisionmustprovidethatthedefendanthastheburdenofproofofdemonstratingthat:#,XXXXZg#XXX,X B .   1.ThePperiodsofexcessemissionsthatoccurredduring   startupandshutdownwereshortandinfrequentandcouldnothavebeenpreventedthroughcarefulplanninganddesign;      2.Theexcessemissionswerenotpartofarecurring F2  patternindicativeofinadequatedesign,operation,ormaintenance#,XXXXVh#XXX,X;#,XXXX[j#XXX,X     3.Iftheexcessemissionswerecausedbyabypass(anintentionaldiversionofcontrolequipment)#,XXXXԞj#,thenthebypasswas t`  unavoidabletopreventlossoflife,personalinjury,orseverepropertydamage;  4.Atalltimes,thefacilitywasoperatedinamannerconsistentwithgoodpracticeforminimizingemissions;  5.Thefrequencyanddurationofoperationinstartuporshutdownmodewasminimizedtothemaximumextentpracticable;    6.Allpossiblestepsweretakentominimizetheimpactoftheexcessemissionsonambientairquality;  XXX,X7.Allemissionmonitoringsystemswerekeptinoperation R> ifatallpossible;#,XXXXsm# (     8.Theowneroroperatorsactionsduringtheperiodofexcessemissionsweredocumentedbyproperlysigned,contemporaneousoperatinglogs,orotherrelevantevidence;and  9.Theowneroroperatorproperlyandpromptlynotifiedtheappropriateregulatoryauthority.XXX,X  Ifexcessemissionsoccurduringroutinestartuporshutdownperiodsduetoamalfunction,thenthoseinstancesshouldbetreatedasothermalfunctionsthataresubjecttothemalfunctionprovisionsofthispolicy.(ReferencePartIabove).#,XXXXco#$X0 XX,X$, , X$X0bennett899a.wpd/August11,1999    h