UN'TED STATES' ENVIRONMENT

## ~L PROTECTION AGENCY '. I WAIHINGTON. D.C. 10410


### SSJ 

## 28 

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. AIR. N,OI" AND RADIATION .:t .' ,

.. ...... ;; ....**~_** ....**~-- .~_.** **~or** .... SUBJECT a 

### FROM a I , 

### Policy on 

### Excess Emissions l 

### During**~tartup,** 

### Shutdown, Maintenance, and Malfunctf,ons. .. , I'

.. 

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## /)'1'**~,..r,,11..1\.J'** . 

### Kathleen M. 

### Bennett**'fl~l-.,lit'''---f** I'

. . 

### Assistant Administrato 

### for Air, Noise and Radiation

I I I 

## .. ' 

### TO' I I 

### Regional Administrators, Regions I-X I



### . TbiG "memorandum 

### is in response :to a 'request for a 

### clarlf'ict.l.:ion of EPA'., 

### policy relating to excess emiss10ns 

### during st 

### lrtup, shutdown, 

### maintenance, and malfunctions. '

. I 

### I 

### Excess emission provisions for;startup,shutdown,**~.intenanc.,** 

### and 

### malfunctions were 9ften included as ·part of the orig ina1 SIPs 

### 'approved in 1971 and 1972. 

### Because the Agency 

### was 

### inundated' wi th proposed $IPS and had' 

### U.m! ted 

### experience in**p~oces.ing** 

### them, 

### not ;nough**atte~tiQn** was given to 

### the 'adequacy, 

### enforceabi11ty, and'consistency of 

### these· provisions. Consequently, many SIPs were 

### approved with 

### broad' and locsely-defined provisions 

### to cfntrol excess 

### emissi.ons'.:

. In 1918, EPA adopted an 

### excess! emissions policy 

### after. 'I 

### ,many, 1'S8 eftective attempts to**re~t1fy** 

### problems that existed .1



### with the ••**p~ovision..** 

### This policYI disallowed automatic; exemptions by 

### defining 

### all periods "f 

### excess emis8ions 

### as. ',., violations 

### of the applicable standard. 

### States can, 

### of course, I 

### consider any 

### demonstration by 

### the 8 1 

### bur ce that the exceS8.**. ~** II 

### emissions were due to an unavoidable**oc~urr.nce** 

### ,in determining wbether any enforcement action 

### is**tequ~r.d.** 

### .

-. The 

### rationale for

# .8tablf.shin~ these emiS810ns as. 

## 1 violations, as opposed to granting :automatic exemptions, is 

# I that SIPs are 

### ambi,nt-based**standa~ds** 

### and any 

### emissions above ' .

. the 

### allowable may cause or**contrlb~te** to violations of 

### the·

. I. "national ambient 

### air 

### quali ty**8tand~r~s.** 

### Without clear

. . . 

### I

definition and limitat:ions, ,these 

### automatic exemption

- ., "1 

### provisions could. effectively**8hiel~** excess emissions 

### arising from. poor operation 

### and**maintenane~** 

### or,d,s!;n, 

### thus precluding**.ttalnmen~.** 

### Additionally, by 

### establishing an enforcement discretion approach and**byrequ·iri~g** the 

### source to demonstrate the existence of an unavoidable malfunction on the source, good

. mainten,an,ce 

### procedures are. in<51reetly encouraged.

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### , 

# . .. .•

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# (7:> Att.ached is a document stating EPA'. present 

### policy on

'.,. axce •••**m.l.ss1~n..** This 

### document basically reiterates 

## tlJ..

.**~_** 

### ' .• ,Z:lyr

.. policy., 

### with .ome 

### refinement· of the 'policy regarding '.'

.. exc ••• 

### emiaslons during periods of scheduled maintenance..

.
., 

### A question has 

### alao'been raised as to what extent operating**pe~its** 

### can**~e** 

### used to address exeess emissions in cas •• where the SIP 1s silent on· this issue or where the SIP Is' 'deficient. 

### Where the S'IP 

### is silent on 

### excess emisslons', 

### the operating per.mit may contain excess emission provis1ons which'**.houl~** 

### be consistent with the attached policy. Where' the SIP is deficient, the SIP should be made to conform 'to the present policy. Approval of the operating permit as part of the' SIP. would accomplish that result. , . ' ,

.. :. 

### If you 

### have 

### any questions concerning this**policy~** 

### please: aotttact: Ed 

### Iteich at (382-2a07). -Attachment

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,

, , II. ENFORCEMENT DISCRETION 

### APPROACH--SIP EMISSION LINITAT10N 

### .ADECUA'l'E TO ATTAIN MIBIEN: S'l'MlDARDS 

# I
EPA can approve SIP revisions**~ich incorpora~e**  the "enforcement discretion approa¢h"_ such an approach can require the source**~o** 

### demonstrate to the**appropria~.** State

. agencY.that the 

### excess emissions, though constituting a 

### violation,**~ere** due,to an**unav~1dable** malfunction. 

### Any**malfunc~ion** provision 

### must provide for the 

### commencement of a proceeding 

### notify the 

### sourc. of its viOlation and to determine 

### Whether**enforce~ent** action shOUld be**un~ertaken** for 

### any period of ·.excess emissions:- In determining whether an**enforce~ent** action is**appropri~te.** satisfaction of tha fOllowing criteria should be**oonBide~eal**



### * The term "excess emission It means 

### an air emission rat.e exceeds any applicable emiss'ion -limitation, anc5 "malfunction tt means a sudderi and unavoidable b'reakc!oWl? I , process or cont.rol equipr.lent;_ At 'tachlften1: 

### I POLI.CY**O~l &XC~St·**  tMISSIONS DORING STAnT-CP ,Si1UTtO\'m f**t-~Ii1'tEt:M~,** At:D/**hAUt.il\C'l'IC1~S_**

Several of the**existin~** State**1~1.m.ntation** pl.ns (SIP., ,provide for. an.autor'1atic emissi.on litlit.J,t191\.,.exef.\p:t1on durins ,"'

'periods of excesa el:\isaion due 

## tp start-up, ,shutdown', • 

### j

.. maintenance, or**~alfunction.·** Generally, EPA a;rees**t~hat** the' imposition of a penalty for BUdd.n and unavoidable ' malfunctions caused by circumstances**e~tirely** beyond the .control of the owner and/or operator 

### is not appropriate • . However, any activity which can !be foreseen and avo1ded, or 'planned'!s 

### net within the definition of a sudden and unavoidable breakdown.**Since'~e SIPsmus~**  prOVide for**attain~ent** and**main~er.ance** of**t~e** national**ar.ri~nt** air Quality standards, SIP provisions en malfunctions 

### must be narrowly drawn.'SIPs 

### may, of course,**Qr.t~t.** 

### any provision on .**,malfunc~ions.** 

### eFor more specific gUidance on malfunction provisions for RAeT SIPs, see the**A~.ri.l** 1978 workshop manual**~or** 

### preparing**l~""l&.** t. t.ainment pLanS

- 

### J

. • I
, I •**AUTOt,~TXC** EXEHP'l'ION APPROACH If SIP 

### contains a**malf~n~ticn** -Frovision, it cannot be, the type that provides lor**auto~atic** exemption where a malfunction is 

### alleged 

### by a**.ou~c** •• ,**Auto~atic exem~ion.** **~9bt** aggravate air 'quality so 

### as not to provide for attainment of the ambient air qUality 

### standards.**Ad~itional** grounds fer disapproving a SIP that includes the automatic exe=ption 

### approach are discussed-in more detail at 

### 42 FR S8171**(t~ovember** 

### a, 1977) and 42 Fit 21:372 (April 27, 197'). As 

### a 

## !

..**r.sul~,** EPA 

### cannot approve any iSIP revision that. provides automatic exemptions 

### for malfunctions.



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# To the "maximum extent practicable the air pollution control equipment, process equipment, or process •• were, aaintained 

### and operated 

### in • manner consistent 

### with good practice 

### for.**1I!1"~i,~1.z:lng emi~8_ipn:S'**  .' ,.
" • t • • 

### 2.**~.pairs** were 

### made £n an expeditious 

### fashion ·when the· 

### operator knew or should have known**tha~** 

### applicable emission l1mitations were 

### being exceeded. 

### Off-shift labor and overtime must 

### have been utilized, 

### to the extent 

### practicable, to. ensure that such**rep~irs** were.made 

### .s expeditiously 

### a8 practicable,

.

•

..' i 3. Tbe 

### ".mount and 

### duratfon of 

### the excess emissions (including**an~ by~Ass)**  were minimized to the maximum extent practicable 

### during**pe~!ods** of such emissions,

. " 4.' Al'l pos$fbl. steps were taken to minimize 

### the impact of the excess emissions on ambient 

### air**qual~tYI** and 

### ,.1 " , 5. The 

### excesa emissions are not part of a recurring 

### pattern indicAtiv.,of inadeqUAte**design~** operation, 

### or maintenance.

. III. EXCESS EMISSION$'OORING START-UP, SHUTDOWN, AND MAINTENANCE " "Any activity or event 

### Which can.be foreseen 

### and avoided, or pl'anned, 

### falls**o~t.lde** Qf the definition of sudden 

### and unavoidable breakdown of' equipment. For 

### example, a sudden 

### brea,kdown which could have been avoided by better. operation and maintenance practice. 18 

### not • malfunction. 

### In such 

## ca ••• , the control agency must'enforce 

### for violations of**t~** 

### •
•**ml.81on,11m1tation~** 

### Other such 

### common**~yents** 

### are start-up 

### and ahu'tdown 

### of equi'pment, and scheduled'-nraintenance • • 

### Start-up and shutdown of process equipment are part of ' 

### the normal operation'of a 

### source and 

### 8ftould be accounted 

### for in the design and implementation of the operating procedure for the process and**~ontrol** equipment. 

### Accordingly, it is 

### rea.onable to expect! that careful planning will eliminate 

### violationS of 

### emlssipn limitations**dU~ing** 

### such periods.

.. '....

. . 

### If excess emissions occur during 

### routine start-up and' ahutdown 

### of such equipment,' they**w~ll** be 

### oonsidered as having 

### resulted from a malfunction only 

### if the source can demonstrate 

### that such emissions were actually 

### caused by • 

### sudden an.d' 

### unforeseeable breakdown 

### in the equipment.",

. 

### Similarly, scheduled maintenance 

### is a predictable event**~hlch** can be scheduled at the discretion of the operator, and 

### "bleh can therefore be made to coincide with maintenance on
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# ..**~,** /<>::;::prOduetion equipment, or other

### s~urcft shutdowns. \',:.'.: :.: consequent.ly, exc.ess emiaslot'ls during periods of scheduled

. maintenance should be treated .a a violation unl ••• a Sourc. can demonstrate that such emissions bould not**bave,be.n~.** avoidecS thro\igh'··bette"r**8chedu11n~( fo~**  maintenance' or through 

### e. better operation and maintenance practices. . 

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