REGULATION I - GENERAL PROVISIONS 

RULE 140 

EXCESS EMISSIONS 

INDEX 

iECTION 100 - GENERAL 

101 PURPOSE 

102 APPLICABILITY 

103 EXEMPTIONS 

3ECTION 200 - DEFINITIONS (NOT APPLICABLE) 

SEE RULE 100 (GENERAL PROVISIONS AND DEFINITIONS) OF THESE RULES FOR 

DEFINITIONS OF TERMS THAT ARE USED BUT NOT SPECIFICALLY DEFINED IN 

THIS RULE 

SECTION 300 - STANDARDS (NOT APPLICABLE) 

SECTION 400 - ADMINISTRATIVE REQUIREMENT 

401 AFFIRMATIVE DEFENSE FOR MALFUNCTIONS 

402 AFFIRMATIVE DEFENSE FOR STARTUP AND SHUTDOWN 

403 AFFIRMATIVE DEFENSE FOR MALFUNCTIONS DURING SCHEDULED 

MAINTENANCE 

404 DEMONSTRATION OF REASONABLE AND PRACTICABLE MEASURES 

SECTION 500 • MONITORING AND RECORDS 

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1402 
Adopted 07116100 

Revised 09105101 

MARICOPA COUNTY 

AIR POLLUTION CONTROL REGULATIONS 

REGULATION I — GENERAL PROVISIONS 

RULE 140 

EXCESS EMISSIONS 

SECTION 100 - GENERAL 

101 PURPOSE; To establish affirmative defenses and associatetl administrative 

requirements for certain emissions in excess of an emission standard or limitation, 

102 APPLICABILITY; Rule 140 applies to all emission standards or limitations, 

except for standards or limitations tlescribed in Section 103 (Exemptions) of this 

rule. 

103 EXEMPTIONS; Rule 140 does not apply to standards and limitations; 

1031 Promulgated pursuant to Section 111 (Standards Of Performance for 

New Stationary Sources) of the Clean Air Act (Act) or Section 112 

(National Emission Standards For Hazardous Air Pollutants) of the Act; 

103.2 Promulgated pursuant to Title IV (Acid Deposition Control) of the Act or 

the regulations promulgated thereunder and incorporated under Rule 371 

(Acid Rain) of these rules or Title VI (Stratospheric Ozone Protection) of 

the Act; 

103.3 Contained in any Prevention Of Significant Deterioration (PSD) or New 

Source Review (NSR) permit issued by the Environmental Protection 

Agency (EPA); 

103.4 Included in a permit to meet the requirements of Rule 240 (Permil 

Requirements For New Major Sources And Major Modifications Tc 

E,xisting Major Sources), Subsection 308,1(e) (Permit Requirements Foi 

Sources located In Attainment And Unclassified Areas) of these rules. 

SECTION 200 - DEFINITIONS (NOT APPLICABLE) 

See Rule 100 (General Provisions And Defnitions) of these rules for definitions of term; 

that are used but not specifically defined in this rule. 

SECTION 300 — STANDARDS (NOT APPLICABLE) 

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iECTION 400 - ADMINISTRATIVE REQl11REMENTS 

401 Affirmative Defense For Malfunctions; Emissions in excess of an applicable 

emission limitation due to malfunction shall constitute a violation. The owner andlor 

operator of a source with emissions in excess of an applicable emission limitation 

due to malfunction has an affirmative defense to a civil or administrative 

enforcement proceeding based on that violation, other than a judicial action 

seeking injunctive relief, if the owner andlor operator of the source has complied 

with the reporting requirements of Section 500 of this rule and has demonstrated 

all of the following: 

401,1 The excess emissions resulted from a sudden and unavoidable breakdown 

of the process equipment or the air pollution control equipment beyond the 

reasonable control of the operator; 

401,2 The source's air pollution control equipment, process equipment, or 

processes were at all times maintained and operated in a manner 

consistent with good practice for minimizing emissions; 

401.3 If repairs were required, the repairs were made in an expeditious fashion 

when the applicable emission limitations were being exceeded. Off-shift 

labor and overtime were utilized where practicable to ensure that the 

repairs were made as expeditiously as possible. If off-shift labor and 

overtime were not utilized, then the owner andlor operator satisfactorily 

demonstrated that such measures were impractical; 

401,4 The amount and duration of the excess emissions (including any bypass 

operation) were minimized to the maximum extent practicable during 

periods of such emissions; 

401,5 AII reasonable steps were taken fo minimize the impact of the excess 

emissions on ambient air quality; 

401,6 The excess emissions were not part of a recurring pattem indicative of 

inadequate design, operation, or maintenance; 

401.1 During the period of excess emissions, there were no exceedances of the 

relevant ambient air quality standards established in Rule 510 of these 

rules that could be attributed to the emitting source; 

401.8 The excess emissions did not stem from any activity or event that could 

have been foreseen and avoided, or planned, and could not have been 

avoided by better operations and maintenance practices; 

401,9 AII emissions monitoring systems were kept in operation, if at all 

practicable; and 

401.10 The owner's andlor operator's actions in response to the excess emissions 

were documented by contemporaneous records. 

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402 Affirmative Defense For Startup And Shutdown: 

402.1 Except as provided in subsection 402.2 of this rule, and unless otherwise 

provided for in the applicable requirement, emissions in excess of an 

applicable emission limitation due to startup and shutdown shall 

constitute a violation. The owner and/or operator of a source with 

emissions in excess of an applicable emission limitation due to startup 

and shutdown has an affirmative defense to a civil or administrative 

enforcement proceeding based on that violation, other than a judicial 

action seeking injunctive relief, if the owner and/or operator of the source 

has complied with the reporting requirements of Section 500 of this rule 

and has demonstrated all of the following: 

a. The excess emissions could not have been prevented through 

careful and prudent planning and design; 

b. If the excess emissions were the result of a bypass of control 

equipment, the bypass was unavoidable to prevent loss of life, 

personal injury, or severe damage to air pollution control 

equipment, production equipment, or other property; 

c. The source's air pollution control equipment, process equipment, 

or processes were at all times maintained and operated in a 

manner consistent with good practice for minimizing emissions; 

d. The amount and duration of the excess emissions (including any 

bypass operation) were minimized to the maximum extent 

practicable, during periods of such emissions; 

e. All reasonable steps were taken to minimize the impact of the 

excess emissions on ambient air quality; 

f. During the period of excess emissions, there were no 

exceedances of the relevant ambient air quality standards 

established in Rule 510 (Air Quality Standards) of these rules that 

could be attributed to the emitting source; 

g. All emissions monitoring systems were kept in operation, if at all 

practicable; and 

h. The owner's and/or operator's actions in response to the excess 

emissions were documented by contemporaneous records. 

402.2 If excess emissions occur due to a malfunction during routine startup and 

shutdown, then those instances shall be treated as other malfunctions 

subject to Section 401 of this rule. 

403 Affirmative Defense For Malfunctions During Scheduled Maintenance: If 

excess emissions occur due to malfunction during scheduled maintenance, then 

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those instances will be treated as other malfunctions subject to Section 401 of 

this rule, 

404 Demonstration Of Reasonable And Practicable Measures; For an affirmative 

defense under Sections 401 and 402 of this rule, the owner andlor operator of 

the source shall demonstrate, through submission of the data and information 

required by Sections 400 and 500 of this rule, that all reasonable and practicable 

measures within the owner's andlor operator's control were implemented to 

prevent the occurrence of the excess emissions. 

SECTION 500 • MONITORING AND RECORDS 

501 The owner andlor operator of any source shall report to the Control Officer any 

emissions in excess of the limits established by these rules or by the applicable 

permit. The report shall be in two parts as specified below, 

5011 Notification by telephone or facsimile within 24 hours of the time when the 

owner andlor operator first learned of the occurrence of excess emissions 

that includes all available information from Section 502 of this rule. 

501,2 Detailed written notification by submission of an excess emissions report 

within 72 hours of the notification required by subsection 501.1 of this rule. 

502 The excess emissions report shall contain the following information: 

502,1 The identity of each stack or other emission point where the excess 

emissions occurred; 

502,2 The magnitude of the excess emissions expressed in the units of the 

applicable emission limitation and the operating data and calculations used 

in determining the magnitude of the excess emissions; 

502,3 The time and duration or expected duration of the excess emissions; 

502,4 The identity of the equipment from which the excess emissions emanated; 

502,5 The nature and cause of such emissions; 

502.6 The steps taken, if the excess emissions were the result of a malfunction, 

to remedy the malfunction and the steps taken or planned to prevent the 

recurrence of such malfunctions; 

502.7 The steps that were or are being taken to limit the excess emissions; and 

502,8 If the source's permit contains procedures governing source operation 

during periods of startup or malfunction antl the excess emissions resulted 

from startup or malfunction, a list of the steps taken to comply with the 

permit procedures, 

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503 In the case of continuous or recurring excess emissions, the notification 

requirements of this rule shall be satisfied if the source provides the required 

notification after excess emissions are first detected and includes in the notification 

an estimate of the time the excess emissions will continue. Excess emissions 

occurring after the estimated time period or changes in the nature of the emissions 

as originally reported shall require additional notification pursuant to Section 501 

and Section 502 of this rule. 

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