Technical Support Document

for

EPA's Notice of Proposed Rulemaking

on revisions to the 

California State Implementation Plan 

as submitted by the State of California, Air Resources Board

for the San Joaquin Valley Air Pollution Control District

EPA’s Analysis of

San Joaquin Valley Air Pollution Control District’s 

Rule 4401, Steam-Enhanced Crude Oil Production Wells

United States Environmental Protection Agency, Region IX

Air Division

June 2009

Jerald S. Wamsley
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Chronology of Rule Adoption, Submittal and EPA Actions 

- On June 22, 1998, EPA approved and incorporated into the SIP the January 15, 1998 

amendments of Rule 4401. Please see 63 Federal Register 33854.

- On December 14, 2006, the San Joaquin Valley Air Pollution Control District (SJVAPCD) 

Governing Board amended Rule 4401. 

- On May 8, 2007, the California Air Resources Board (CARB) submitted Rule 4401 to EPA as 

a revision to the California State Implementation Plan (SIP).

- On July 23, 2007, EPA found complete CARB's May 8, 2007 submittal.

Rule Summary

SJVAPCD Rule 4401, Steam-Enhanced Crude Oil Production Wells is designed to reduce 

fugitive volatile organic compound (VOC) emissions at these sites. The rule establishes 

requirements for inspection, component replacement, re-inspection, maintenance, repair periods, 

and replacement/retrofit for leaking components. It also describes associated administrative and 

recordkeeping requirements, such as an inspection log, for determining compliance. The 

December 14, 2006 amendments to the rule are summarized below.

1. Added definitions for component, critical process unit, facility, inspection, leak, leak 

minimization, front line production equipment, gauge tank, and various components such as 

compressors, pressure relief device and pump. (See Section 3.0). 

2. Revised exemptions including: (a) sunsets section 4.2 on January 1, 2009; (b) reduced the 

number of cyclic wells that can be exempted in section 4.5; (c) sunsets section 4.6 on 

December 31, 2008; (d) added exemptions in sections 4.7, 4.8, and 4.9 for components that 

do not leak appreciably and are difficult to inspect such as underground components.

3. Sunsets existing requirements in sections 5.1 - 5.4 and replaced them with sections 5.5 - 5.9. 

This retains the emission control standards of the prior requirements while adding leak 

standards, repair, inspection and re-inspection requirements for various components. 

4. Extended record maintenance requirements from two years to five, requires an inspection 

log, and added various testing and inspection recordkeeping and reporting requirements. 

(See Section 6.1)

5. Allows a waiver of annual source test provisions and require vapour pressure testing of 

gauge tanks every 2 years. (See Section 6.2)
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6. Updated test methods and added requirements for calibrating portable hydrocarbon 

detectors. (See Section 6.3)

7. Requires sources to maintain a log recording inspections and details of leaks found including 

number, nature, location and repairs. (see Section 6.4)

8. Requires sources to train employees in inspection, leak determination, and recordkeeping. 

(See Section 6.5) 

9. Requires exempt sources to provide an operator management plan describing the facility, 

components, hazards, inspection schedules, and personnel training. (see Section 6.6)

Rule Evaluation

The memoranda, guidance, and statute cited below were used to review the submitted rule.

1. To evaluate compliance with the Reasonably Available Control Technology (RACT) 

requirements of CAA §182(b)(2): SJVAPCD’s 2009 RACT SIP Demonstration (April 16, 

2009); “Preamble, Final Rule to Implement the 8-hour Ozone National Ambient Air Quality 

Standard: (70 FR 71612 November 29, 2005); Letter from William T. Hartnett to Regional 

Air Division Directors, “RACT Qs & As – Reasonable Available Control Technology 

(RACT) Questions and Answers” (May 18, 2006); and other state and local rules for this 

category.

2. To evaluate compliance with the CAA §110(a)(2)(A) requirement for enforceability: The 

Bluebook (“Issues Relating to VOC Regulation Cutpoints, Deficiencies, and Deviations,”

EPA, May 25, 1988); the Little Bluebook (“Guidance Document for Correcting Common 

VOC & Other Rule Deficiencies,” EPA Region 9, August 21, 2001); and, “State 

Implementation Plans, General Preamble for the Implementation of Title I of the Clean Air 

Amendments of 1990” (57 FR 13498, April 16, 1992).

3. To evaluate compliance with CAA §110(l) and §193 regarding SIP relaxations, we 

compared the submitted rule against the existing SIP rule to determine if new provisions 

weaken the SIP approved rule. 

On April 16, 2009, SJVAPCD adopted its “2009 RACT SIP,” which provides the District’s 

demonstration that RACT is implemented for all appropriate activities. This demonstration 

includes several pages discussing Rule 4401 (cover and applicable pages attached). To 

summarize, SJVAPCD made the following two findings: (1) There is no national guidance 

(e.g., CTG or ACT) or regulation (e.g., NSPS or NESHAP) to help define RACT for this 

activity; and, (2) overall, Rule 4401’s requirements are as stringent as other large California 

nonattainment areas. 
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EPA concurs with SJVAPCD’s findings and concludes that Rule 4401 implements RACT for

three reasons. First, Rule 4401 requires significant emissions control; for example, steamenhanced crude oil production wells can not be operated unless uncontrolled VOC emissions 

from any well vent are reduced by at least 99 percent by weight. Second, Rule 4401 leak 

detection and repair (LDAR) requirements for crude oil production wells are consistent with 

other similar LDAR rules, such as SJVAPCD Rule 4409 - Components at Light Crude Oil 

Production Facilities, Natural Gas Production Facilities, and Natural Gas Processing Facilities 

and Monterey Bay Unified APCD Rule 427 - Steam Drive Crude Oil Production Wells. Finally, 

SJVAPCD, South Coast AQMD, and the other large California nonattainment agencies generally 

have the most stringent stationary source requirements nationwide, and we are not aware of other 

reasonably available technological or operational controls likely to reduce significantly emissions 

from this activity. In sum, we believe that Rule 4401 implements relevant RACT requirements. 

With the exception of the deficiency identified below, the rule’s recordkeeping and other 

compliance provisions ensure that rule requirements can be enforced adequately. The 

exemptions added in Sections 4.7-4.9 do not weaken the SIP rule or submitted rule. Specifically, 

the exemption in Section 4.7 for produced fluid line components does not weaken the SIP rule

because these components were not subject to the SIP rule. We note also that for light duty crude 

oil operations produced fluid line component emissions are regulated by Rule 4409. LDAR 

programs for heavy duty crude oil production lines are under study by the SJVAPCD. The 

exemptions in Section 4.8 do not weaken the SIP rule because they apply only to four categories 

of components that have nominal (if any) VOC emissions. Finally, the exemption in Section 4.9 

for components carrying low (<10% by weight)-VOC gas and liquids does not apply to 

requirements of the SIP rule; this exemption applies only to new, more-rigorous inspection 

requirements that we propose to approve in this action. Note that components carrying low VOC 

gas and liquids are exempt only from routine inspection requirements, but if found to be leaking 

these components are still subject to the rule’s repair requirements. (See staff report pages 7-8.) 

In conclusion, the submitted rule is more stringent than the version previously approved into the 

SIP, does not relax the SIP, and complies with CAA §110(l) and §193. 

Rule Deficiency

Section 6.2 of submitted Rule 4401 requires annual source testing, but allows SJVAPCD, CARB 

and EPA to waive this test requirement. Section 6.4 states that waiver requests are deemed 

approved by EPA if EPA does not object within 45 days of receipt. While we appreciate 

SJVAPCD’s desire to avoid delay, the local agency cannot obligate EPA’s decision in this 

manner. Section 6.2.4 effectively provides executive officer discretion in conflict with CAA 

§§110(a) and (i) and long-standing national policy as discussed in the bluebook and little 

bluebook. This deficiency can be corrected by removing the last sentence in section 6.2.4 of the 

submitted rule.
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EPA Action

The December 14, 2006 amended Rule 4401 - Steam-Enhanced Crude Oil Production Wells

implements RACT, strengthens the SIP, and is generally enforceable. As a result, EPA staff 

recommends a limited approval of the rule pursuant to CAA §110(k)(3) and §301(a). However, 

EPA staff simultaneously recommends a limited disapproval of the rule as a result of the 

deficiency in section 6.2.4 of the Rule. We do not expect this deficiency to reduce significantly

the projected emission reductions from SJVAPCD’s rule revisions.

Attachments

1. SJVAPCD, Rule 4401 - Steam-Enhanced Crude Oil Production Wells, adopted December 

14, 2006. Change copy.

2. SJVAPCD, Rule 4401 - Steam-Enhanced Crude Oil Production Wells, adopted December 

14, 2006. 

3. “Final Staff Report: Proposed Amendments to Rule 4401 - Steam-Enhanced Crude Oil 

Production Wells,” December 14, 2006, SJVAPCD. Appendices not included. 

4. “Reasonably Available Control Technology (RACT) Demonstration for Ozone State 

Implementation Plans (SIP)” SJVAPCD, April 16, 2009.

Additional References

1. “Issues Relating to VOC Regulation Cutpoints, Deficiencies, and Deviations,” (a.k.a., 

Bluebook) EPA OAQPS, May 25, 1988.

2. “Guidance Document for Correcting Common VOC & Other Rule Deficiencies,” (a.k.a., 

Little Bluebook), EPA Region 9, August 21, 2001.

3. Portions of the proposed post-1987 ozone and carbon monoxide policy that concern RACT, 

52 FR 45044, November 24, 1987.

4. “State Implementation Plans, General Preamble for the Implementation of Title I of the 

Clean Air Amendments of 1990” 57 FR 13498, April 16, 1992.

5. “Preamble, Final Rule to Implement the 8-hour Ozone National Ambient Air Quality 

Standard” 70 FR 71612; Nov. 29, 2005.

6. Letter from William T. Hartnett to Regional Air Division Directors, “RACT Qs & As –

Reasonable Available Control Technology (RACT) Questions and Answers,” May 18, 2006.