WPC1 Q &eڨ{@qa0R t'Q͊Qȏ>`?V]{ϻJ% 1]?((Tͭ EU>K=ȋrE ȩ}ꖄcY]FOtUcpPZ %|r `VJ %2&Bg2(i R)XW6 ڶi3RoAxG2REK`\bb !Ƃ/QxG4LsW~u6pp40f~Zcyr0:%籡dxQ :Or5y+ԍ@ :nwTW5N?i0V`TmTq S=`)M59a#Yp ߜSoj,5wZ#NJ1><}@y=aAoy\Z#!+ +\g ',EƤDJj6CꨰRz1O>`}x+2P GeeU: % D+ 0C 0J AMD ob @ U6NI^ KW 0CY m 0 lU3F enqUNt 0(‘w #! 1b 0D(l|B 1u A} 0 D 0c^b U:͘/* A1 0Lڙ B&NC3U4F|4`Dt!!@H?!ǣg! 0w!!ˬ !Ѳ!po!p߹!pO!!_!!`!`!PO!@!p )&O |u"! U@vRRffffffffZMMMMMM<UN<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??? ? ? ?? ? ? ??? ?? ?@ ??  ?   "? 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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?` ????? ???    ?  %"  &" ? !"  |!">?!!??!!?!! @?!! ?!! !! ?!! ?!" ??!" ??!" ??!" ??!&??!&?"&?"&"&"?#&"?#&"#& #& $&?$&?? ?$&??? %&??? %&??? ?%&?  ?%&? ?&&??  ?&'  &'*'?*'?*(*)*)?*)*)**| *****+??*+?*+?*,?+,?/,?/-?/-?/-???/3??/3?/3/30303030303?0303 14 1; 2; ?2;7;<;<;=z%EPA-LOGO.WPG(2AArialBoldTTɋ(c(2T$ !  U((2$ !      0  <09Z .Courier New Regular([tl<6X9`("Courier NewTTXXx6X@DQX@(2AArialBoldTTTP2p NQ(2AArialBoldTTTH2p NQ(hH  Z 6Times New Roman Regular($EHP LaserJet 6L (PCL),,,,0 }CEKQW]cioAutoList1A.1.A.A.A.A.A.A.Level 1Level 2Level 3Level 4Level 5Level 1Level 2Level 3Level 4Level 5(39$ !  3|sELevel 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 t suddenandunavoidablebreakdownofprocessorcontrolequipment.LIBRARY.STY<09Z .Courier New Regular  $    2    _ԀInthecaseofleadandsulfurdioxide,attainment  problemsusuallyarecausedbyoneorafewsourcesandanaffirmativedefenseisnotappropriate.Thissituationcanbeparticularlyaggravatedwhereashorttermstandard(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.#zn(  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    _Statesmayaccountforsuchemissionsbyincludingthemin  theirroutineruleeffectivenessestimates.RuleeffectivenessestimatesmaybepreparedinaccordancewithanEPApolicydocumententitled GuidelinesforEstimatingandApplyingRuleEffectivenessforOzone/CarbonMonoxideStateImplementationPlanBaseYearInventories.(EPA452/R92010)November1992. P $    2    _Thetermautomaticexemptionmeansagenerallyapplicable  provisioninaSIPthatwouldprovidethatifcertainconditionsexistedduringaperiodofexcessemissions,thenthoseexceedanceswouldnotbeconsideredviolations. 2 $    5    _V  Becauseallperiodsofexcessemissionsareviolationsand  becauseaffirmativedefenseprovisionsmaynotapplyinactionsforinjunctiverelief,undernocircumstanceswouldEPAconsiderperiodsofexcessemissions,evenifcoveredbyanaffirmativedefense,tobe federallypermittedreleasesunderEPCRAorCERCLA.dX!XXXV   ` W#XtXXdX!#WS(hH  Z6Times New Roman Regular !  _  TRX3'X3' Letter3' Letter3'T  #8YXXdd8  X!XXXR2ZQXX!_#X!XQR2Z#@,",US ,  (:!&),#XtXXX!#Ԉ J:6z ,8 `` @@@E84XXt 6@ UNITEDSTATESENVIRONMENTALPROTECTIONAGENCY@  m 6@@!WASHINGTON,D.C.20460 @      `     h   M_ m `    September20,1999 ,  MXIXM_,X XXMXIMEMORANDUM   SUBJECT:0 ` StateImplementationPlans:PolicyRegardingExcess ,  EmissionsDuringMalfunctions,Startup,andShutdown ` (#` (# FROM: ` StevenA.Herman/s/ *   0 ` AssistantAdministratorforEnforcementandComplianceAssurance ` (#` (#    ` X X X,XRobertPerciasepe#,X X XX#E_/s/E_     ` AssistantAdministratorforAirandRadiation   ` TO:   ` RegionalAdministrators,RegionsIX    EPAspolicyforstateimplementationplans(SIPs)regardingexcessemissionsduringmalfunctions,startup,shutdown,andmaintenanceiscontainedinmemorandafromKathleenBennett,formerlyAssistantAdministratorforAir,NoiseandRadiationdatedSeptember28,1982andFebruary15,1983.ArecentreviewofSIPssuggeststhatseveralcontainprovisionsthatappeartobeinconsistentwiththispolicy,eitherbecausetheywereinadvertentlyapprovedafterEPAissuedthe19821983guidanceorbecausetheywerepartoftheSIPatthattimeandhaveneverbeenremoved.Inordertoaddresstheseprovisionsinaconsistentmanner,todaywearereaffirmingandsupplementingthe198283policy.Insodoing,wearetakingthisopportunitytoclarifyseveralissuesofinterpretationthathavearisensincethattime.TheupdatedpolicywillclarifythetypesofexcessemissionsprovisionsstatesmayincorporateintoSIPssothattheycaninturnprovidegreatercertaintytotheregulatedcommunity.    AsEPAstatedinits1982memorandum,becauseexcessemissionsmightaggravateairqualitysoastopreventattainmentorinterferewithmaintenanceoftheambientairqualitystandards ,EPAviewsallexcessemissionsasviolationsofthe ,)2 applicableemissionlimitation.Nevertheless,EPArecognizes n-)3 _thatimpositionofapenaltyforsuddenandunavoidablemalfunctionscausedbycircumstancesentirelybeyondthecontroloftheowneroroperatormaynotbeappropriate.Accordingly,astateorEPAcanexerciseits enforcementdiscretiontorefrainfromtakinganenforcementactioninthesecircumstances.  X X X,XThemainquestionofinterpretationthathasarisen @  regardingtheoldpolicyiswhetherastatemaygobeyondthis enforcementdiscretionapproachandincludeinitsSIPaprovisionthatwould,inthecontextofanenforcementactionforexcessemissions,excuseasourcefrompenaltiesifthesourcecandemonstratethatitmeetscertainobjectivecriteria(an affirmativedefense). Thispolicyclarifiesthatstates#,X X XX#have D  thediscretiontoprovidesuchadefensetoactionsforpenaltiesbroughtforexcessemissionsthatariseduringcertain   malfunction,startup,andshutdownepisodes.     Inthecontextofmalfunctions,EPArecognizesthateven D equipmentthatisproperlydesignedandmaintainedcansometimesfail.Atthesametime,EPAhasafundamentalresponsibilityundertheCleanAirActtoensurethatSIPsprovidefor  attainmentandmaintenanceofthenationalambientairqualitystandards( NAAQS)andprotectionofPSDincrements.Thus,EPAcannotapproveanaffirmativedefenseprovisionthatwouldunderminethefundamentalrequirementofattainmentandmaintenanceoftheNAAQS,oranyotherrequirementoftheCleanAirAct.Seesections110(a)and(l)oftheCleanAirAct,42U.S.C.7410(a)and(l).X X X,X9 !#  1      #,X X XXZ#ԀAccordingly,anacceptable  affirmativedefenseprovisionX X X,XԀ#,X X XXC#mayonlyapplytoactionsfor v penalties,butnottoactionsforinjunctiverelief.X X X,XThis L restrictioninsuresthatbothstateandfederalauthoritiesremainabletoprotectairqualitystandardsandPSDincrements.#,X X XX#Ԁ 4   Furthermore,thisapproachisappropriateonlyX X X,Xwhenthe  ! respectivecontributionsofindividualsourcestopollutantconcen#,X X XX#X X X,Xtrationsinambientairaresuchthatnosinglesourceor "P#  smallgroupofsourceshasthepotentialtocauseanexceedance b#&$ oftheNAAQSorPSDincrements.- !#  2      ׀#,X X XX#X X X,XԀ#,X X XX#X X X,XWhereasinglesourceorsmall <  groupofsourceshasthepotentialtocauseanexceedanceoftheNAAQSorPSDincrements#,X X XX]#X X X,X,EPAbelievesanaffirmativedefense  approachwillnotbeadequatetoprotectpublichealthandthe  environment,andtheonlyappropriatemeansofdealingwith X excessemissionsduringmalfunction,startup,andshutdownepisodes isthroughanenforcementdiscretionapproach.3  !#  3      #,X X XX4#X X X,X @    #,X X XX-#EPAisalsotakingthisopportunitytoclarifythatitdoes   notintendtoapproveSIPrevisionsthatwouldallowastatedirectorsdecisiontobarEPAsorcitizens'abilitytoenforceapplicablerequirements.SuchanapproachwouldbeinconsistentwiththeregulatoryschemeestablishedinTitleIoftheCleanAirAct.EPAisalsoaddingcontemporaneousrecordkeepingandnotificationcriteriatomakeitspolicyregardingthesetypesofeventsconsistentwithitsenforcementapproach.  Finally,EPAisclarifyinghowexcessemissionsthatoccurduringperiodsofstartupandshutdownshouldbeaddressed.Ingeneral,becauseexcessemissionsthatoccurduringtheseperiodsarereasonablyforeseeable,theyshouldnotbeexcused.X X X,XHowever,  EPArecognizesthat,forsomesourcecategories,eventhebest  availableemissionscontrolsystemsmightnotbeconsistently d effectiveduringstartuporshutdownperiods.InareaswheretherespectivecontributionsofindividualsourcestopollutantconcentrationsinambientairaresuchthatnosinglesourceorsmallgroupofsourceshasthepotentialtocauseanexceedanceoftheNAAQSorPSDincrements#,X X XX #X X X,X,#,X X XX"#X X X,Xthesetechnologicallimitations  maybeaddressedintheunderlyingstandardsthemselvesthroughnarrowlytailoredSIPrevisionsthattakeintoaccountthe z> potentialimpactsonambientairqualitycausedbytheinclusion < oftheseallowances.Intheseinstances,aspartofits  justificationoftheSIPrevision,thestateshouldanalyzethe  impactofthepotentialworstcaseemissionsthatcouldoccur  duringstartupandshutdown.U !#  4      X ̀Inadditiontothisapproach,statesmayaddressthisproblemthroughtheuseofenforcementdiscretionortheymayincludeageneralaffirmativedefenseprovisionintheirSIPsforshortand   infrequentstartupandshutdownperiodsalongthelinesoutlinedintheattachment.#,X X XX"##ԀAsmentionedabove,however,inthoseareas  \  whereX X X,XԀasinglesourceorsmallgroupofsourceshasthepotential n2  tocauseanexceedanceoftheNAAQSorPSDincrements#,X X XX'#X X X,X,issues D  relatingtoexcessemissionsarisingduringstartupandshutdownmayonlybeaddressedthroughanenforcementdiscretionapproach.#,X X XXp(#     AllRegionsshouldreviewtheSIPsfortheirstatesinlightofthisclarificationandtakestepstoinsurethatexcessemissionsprovisionsintheseSIPsareconsistentwiththeattachedguidance.    X X X,X  #,X X XX`*#Attachment  d 8tXXdXXd8    :r@'Attachment    @@POLICYONEXCESSEMISSIONSDURINGMALFUNCTIONS,STARTUP,ANDSHUTDOWNX X X,X  +Introduction  Thispolicyspecifieswhenandinwhatmannerstateimplementationplans(SIPs)mayprovidefordefensestoviolationscausedbyperiodsofexcessemissionsduetomalfunctions,) !#  1      #,X X XX+#X X X,XԀstartup,orshutdown.Generally,sinceSIPsmust    provideforattainmentandmaintenanceofthenationalambientairqualitystandardsandtheachievementofPSDincrements,allperiodsofexcessemissionsmustbeconsideredviolations.#,X X XX|-#X X X,XԀ    Accordingly,anyprovisionthatallowsforanautomaticexemption]` !#  2      ׀forexcessemissionsisprohibited .#,X X XX.#Ԁ 8    However,theimpositionofapenaltyforexcessemissionsduringmalfunctionscausedbycircumstancesentirelybeyondthecontroloftheowneroroperatormaynotbeappropriate.Statesmay,therefore,asanexerciseoftheirinherentenforcementdiscretion,choosenottopenalizeasourcethathasproducedexcessemissionsundersuchcircumstances.X X X,X    ThispolicyprovidesanalternativeapproachtoenforcementdiscretionforareasandpollutantswheretherespectivecontributionsofindividualsourcestopollutantconcentrationsinambientairaresuchthatnosinglesourceorsmallgroupofsourceshasthepotentialtocauseanexceedanceoftheNAAQSorPSDincrements.#,X X XX`1#X X X,XԀWhereasinglesourceorsmallgroupofsources h hasthepotentialtocauseanexceedanceoftheNAAQSorPSDincrements,#,X X XX 3#X X X,XԀasisoftenthecaseforsulfurdioxideandlead,. !#  3      ׀  EPAbelievesapproachesotherthanenforcementdiscretionarenotappropriate.Insuchcases,anyexcessemissionsmayhaveasignificantchanceofcausinganexceedanceorviolationofthe !o applicablestandardorPSDincrement .#,X X XX3#X X X,XԀ <   #,X X XX5#X X X,XExceptwhereasinglesourceorsmallgroupofsourceshas  thepotentialtocauseanexceedanceoftheNAAQSorPSD  increments#,X X XX*6#X X X,X,statesmayincludeintheirSIPsaffirmative X defenses5 !#  4      ׀forexcessemissions,aslongastheSIPestablishes j . limitationsconsistentwiththosesetoutbelow.IfapprovedintoaSIP,anaffirmativedefensewouldbeavailabletosourcesinanenforcementactionseekingpenaltiesbroughtbythestate,EPA,orcitizens.However,adeterminationbythestatenottotakeanenforcementactionwouldnotbarEPAorcitizenaction.c@ !#  5      ׀  \    Inaddition,incertainlimitedcircumstances,itmaybeappropriateforthestatetobuildintoasourcespecificorsourcecategoryspecificemissionstandardaprovisionstatingthattheotherwiseapplicableemissionlimitationsdonotapplyduringnarrowlydefinedstartupandshutdownperiods.#,X X XX7#X X X,X `  & X I.  AUTOMATICEXEMPTIONSANDENFORCEMENTDISCRETION H    IfaSIPcontainsaprovisionaddressingexcessemissions,itcannotbethe'X W;Ԁtypethatprovidesforautomaticexemptions.Automaticexemptionsmightaggravateambientairqualitybyexcusingexcessemissionsthatcauseorcontributetoaviolationofanambientairqualitystandard.AdditionalgroundsfordisapprovingaSIPthatincludestheautomaticexemptionapproacharediscussedinmoredetailat42Fed.Reg.58171(November8,1977)and42Fed.Reg.21372(April27,1977).Asaresult,EPAwillnotapproveanySIPrevisionsthatprovideautomaticexemptionsforperiodsofexcessemissions.  ThebestassurancethatexcessemissionswillnotinterferewithNAAQSattainment,maintenance,orincrementsistoaddress   excessemissionsthroughenforcementdiscretion.Thispolicy  ! :r :  :  providesalternativemeansforaddressingexcessemissionsofcriteriapollutants.However,thispolicydoesnotapplywherea  singlesourceorsmallgroupofsourceshasthepotentialtocauseanexceedanceoftheNAAQSorPSDincrements#,X X XX";#X X X,X.Moreover,  nothinginthisguidanceshouldbeconstruedasrequiringstatestoincludeaffirmativedefenseprovisionsintheirSIPs.#,X X XX@# j . X X X,XII.0  AFFIRMATIVEDEFENSESFORMALFUNCTIONS (#(#   EPAcanapproveaSIPrevisionthatcreatesanaffirmativedefensetoclaimsforpenaltiesinenforcementactionsregardingexcessemissionscausedbymalfunctions#,X X XXA#X X X,XԀaslongasthedefense n2  doesnotapplytoSIPprovisionsthatderivefromfederallypromulgatedperformancestandardsoremissionlimits,suchasnewsourceperformancestandards(NSPS)andnationalemissionsstandardsforhazardousairpollutants(NESHAPS).P !#  6      ׀Inaddition,   affirmativedefensesarenotappropriateforareasandpollutantswhereasinglesourceorsmallgroupofsourceshasthepotentialtocauseanexceedanceoftheNAAQSorPSDincrements#,X X XXB#X X X,X.#,X X XXaE#X X X,X H  #,X X XXE#X X X,XFurthermore,affirmativedefensestoclaimsforinjunctiverelief  arenotallowed.#,X X XXE#X X X,XTobeapproved,anaffirmativedefense  provisionmustprovidethatthedefendanthastheburdenofproofofdemonstratingthat:  1.Theexcessemissionswerecausedbyasudden,unavoidablebreakdownoftechnology,beyondthecontroloftheowneroroperator;  2.Theexcessemissions(a)didnotstemfromanyactivity h oreventthatcouldhavebeenforeseenandavoided,orplanned z> for,and(b)couldnothavebeenavoidedbybetteroperationand P maintenancepractices;  3.Tothemaximumextentpracticabletheairpollutioncontrolequipmentorprocessesweremaintainedandoperatedinamannerconsistentwithgoodpracticeforminimizingemissions;  4.Repairsweremadeinanexpeditiousfashionwhentheoperatorkneworshouldhaveknownthatapplicableemissionlimitationswerebeingexceeded.Offshiftlaborandovertimemusthavebeenutilized,totheextentpracticable,toensurethatsuchrepairsweremadeasexpeditiouslyaspracticable; 'F") Ї  5.Theamountanddurationoftheexcessemissions(includinganybypass)wereminimizedtothemaximumextentpracticableduringperiodsofsuchemissions;    6.Allpossiblestepsweretakentominimizetheimpactoftheexcessemissionsonambientairquality;  7.Allemissionmonitoringsystemswerekeptinoperationifatallpossible;  8.Theowneroroperatorsactionsinresponseto#,X X XXF#X X X,XԀthe  \  #,X X XX>M#X X X,Xexcessemissionsweredocumentedbyproperlysigned, n2  contemporaneousoperatinglogs,orotherrelevantevidence;  9.Theexcessemissionswerenotpartofarecurringpatternindicativeofinadequatedesign,operation,ormaintenance;and  10.Theowneroroperatorproperlyandpromptlynotifiedtheappropriateregulatoryauthority.  EPAinterpretsthesecriterianarrowly.Onlythosemalfunctionsthataresudden,unavoidable,andunpredictableinnaturequalifyforthedefense.Forexample,asingleinstanceofaburstpipethatmeetstheabovecriteriamayqualifyunderanaffirmativedefense.Thedefensewouldnotbeavailable,however,ifthefacilityhadahistoryofsimilarfailuresbecauseofimproperdesign,impropermaintenance,orpooroperatingpractices.Furthermore,asourcemusthavetakenallavailablemeasurestocompensateforandresolvethemalfunction.Ifafacilityhasabaghousefirethatleadstoexcessemissions#,X X XXM#X X X,X, P theaffirmativedefensewouldbeappropriateonlyfortheperiod & oftimenecessarytomodifyorcurtailoperationstocomeintocompliance.#,X X XXQ#X X X,XThefireshouldnotbeusedtoexcuseexcess  ! emissionsgeneratedduringanextendedperiodoftimewhiletheoperatorordersandinstallsnewbags,andrelevantSIPlanguage ~"B# mustlimitapplicabilityoftheaffirmativedefenseaccordingly. T#$ #,X X XXR#X X X,XIII.0  EXCESSEMISSIONSDURINGSTARTUPANDSHUTDOWN%&(#(#   Ingeneral,#,X X XXNT#Ԁstartupandshutdownofprocessequipmentare &p!( partofthenormaloperationofasourceandshouldbeaccountedforintheplanning,design,andimplementationofoperatingproceduresfortheprocessandcontrolequipment.Accordingly,itisreasonabletoexpectthatcarefulandprudentplanninganddesignwilleliminateviolationsofemissionlimitationsduringsuchperiods.L } 3L "3     "3V2}  A  .3  0 `   SOURCECATEGORYSPECIFICRULESFORSTARTUPANDSHUTDOWN"3VW݌\- (0` (#` (# Ќ      Forsomesourcecategories,giventhetypesofcontroltechnologiesavailable,theremayexistshortperiodsofemissionsduringstartupandshutdownwhen,despitebesteffortsregardingplanning,design,andoperatingprocedures,theotherwiseapplicableemissionlimitationcannotbemet.Accordingly,X X X,Xexceptinthecasewhereasinglesourceorsmall @  groupofsourceshasthepotentialtocauseanexceedanceoftheNAAQSorPSDincrements#,X X XX5Y#,itmaybeappropriate,inconsultation   withEPA,tocreatenarrowlytailoredSIPrevisionsthattakethesetechnologicallimitationsintoaccountandstatethattheotherwiseapplicableemissionslimitationsdonotapplyduringnarrowlydefinedstartupandshutdownperiods.Tobeapproved,theserevisionsshouldmeetthefollowingrequirements:  1.Therevisionmustbelimitedtospecific,narrowlydefinedsourcecategoriesusingspecificcontrolstrategies(e.g.,cogenerationfacilitiesburningnaturalgasandusingselectivecatalyticreduction);  2.Useofthecontrolstrategyforthissourcecategorymustbetechnicallyinfeasibleduringstartuporshutdownperiods;  3.TheX X X,Xfrequency#,X X XX]#Ԁanddurationofoperationinstartupor L shutdownmodemustbeminimizedtothemaximumextentpracticable;  4.AX X X,XspartofitsjustificationoftheSIPrevision,the h stateshouldanalyzethepotentialworstcaseemissionsthatcouldoccurduringstartupandshutdown#,X X XX]#; P   5.Allpossiblestepsmustbetakentominimizetheimpactofemissionsduringstartupandshutdownonambientairquality;  6.Atalltimes,thefacilitymustbeoperatedinamannerconsistentwithgoodpracticeforminimizingemissions,andthesourcemusthaveusedbesteffortsregardingplanning,design,andoperatingprocedurestomeettheotherwiseapplicableemissionlimitation;and  7.Theowneroroperator'sactionsduringstartupandshutdownperiodsmustbedocumentedbyproperlysigned,contemporaneousoperatinglogs,orotherrelevantevidence. "3     "3_a2}  B  .3  0 `   GENERALAFFIRMATIVEDEFENSEPROVISIONSRELATINGTO *%- STARTUPANDSHUTDOWN"3_aa݌ ` (#` (#   _ ,J'/   InadditiontotheapproachoutlinedinSectionII(A)above, X X X,Xstatesmayaddresstheproblemofexcessemissionsoccurring  duringstartupandshutdownperiodsthroughanenforcementdiscretionapproach.#,X X XXc#ԀFurther,exceptinthecasewhere% < X X X,Xasingle  sourceorsmallgroupofsourceshasthepotentialtocauseanexceedanceoftheNAAQSorPSDincrements#,X X XXd#,statesmayalsoadopt j . fortheirSIPsanaffirmativedefenseapproach.Usingthisapproach,allX X X,Xperiodsofexcessemissionsarisingduringstartup   andshutdownmustbetreatedasviolations,andtheaffirmativedefenseprovisionmustnotbeavailable#,X X XXce#X X X,Xforclaimsforinjunctive    relief.Furthermore,tobeapproved,suchaprovisionmustprovidethatthedefendanthastheburdenofproofofdemonstratingthat:#,X X XXTf#X X X,X D    1.Theperiodsofexcessemissionsthatoccurredduring   startupandshutdownwereshortandinfrequentandcouldnothavebeenpreventedthroughcarefulplanninganddesign; `    2.Theexcessemissionswerenotpartofarecurring H  patternindicativeofinadequatedesign,operation,ormaintenance#,X X XXPg#X X X,X;#,X X XX6i#X X X,X    3.Iftheexcessemissionswerecausedbyabypass(anintentionaldiversionofcontrolequipment)#,X X XXyi#,thenthebypasswas v: unavoidabletopreventlossoflife,personalinjury,orseverepropertydamage;  4.Atalltimes,thefacilitywasoperatedinamannerconsistentwithgoodpracticeforminimizingemissions;  5.Thefrequencyanddurationofoperationinstartuporshutdownmodewasminimizedtothemaximumextentpracticable;    6.Allpossiblestepsweretakentominimizetheimpactoftheexcessemissionsonambientairquality;  X X X,X7.Allemissionmonitoringsystemswerekeptinoperation T#$ ifatallpossible;#,X X XXNl# *$%     8.Theowneroroperatorsactionsduringtheperiodofexcessemissionsweredocumentedbyproperlysigned,contemporaneousoperatinglogs,orotherrelevantevidence;and  9.Theowneroroperatorproperlyandpromptlynotifiedtheappropriateregulatoryauthority.X X X,X  Ifexcessemissionsoccurduringroutinestartuporshutdown periodsduetoamalfunction,thenthoseinstancesshouldbe ,J'/ treatedasothermalfunctionsthataresubjecttothemalfunctionprovisionsofthispolicy.(ReferencePartIabove). #,X X XX>n#$X X X,X$,j< , X$Xbennett899a.wpd/August11,1999    h