STATE OF CONNECTICUT

DEPARTMENT OF ENVIRONMENTAL PROTECTION

State ofConnecticut

And

United Technologies Corporation

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)

)

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Trading Agreement

and Order No. 8289

WHEREAS, the Commissioner of Environmental Protection ("Commissioner") and the United

Technologies Corporation ("Respondent") agree that the Commissioner may issue a permit or order to

allow emissions trading in accordance with Section 22a-174-22G) ofthe Regulations ofConnecticut

State Agencies ("Regulations") as a method of compliance with Section 22a-174-22 ofthe Regulations:

A. At the request and with the agreement ofRespondent, the Commissioner finds the following:

I. This Trading Agreement and Order supersedes Trading Agreement and Order 8134A and all

subsequent modifications thereto.

2. Respondent is a corporation that owns and operates a jet engine manufacturing facilitiy at 400

Main Street, East Hartford, Connecticut.

3. At the facility, Respondent operates the emission units described in Table I below, which are

subject to Section 22a-174-22 ofthe Regulations of Connecticut State Agencies

("Regulations") pertaining to the control ofNitrogen Oxide (NOx) emissions.

4. For the purposes ofthis Trading Agreement and Order, the following definitions shall apply:

a. Allowable Emission Limit (AEL): the applicable NOx emission limit set forth

in Section 22a-174-22(e) or Section 22a-174-22(f) ofthe Regulations

corresponding to each emission unit described in Table 1 ofthis Trading

Agreement and Order

b. Allowance: CArR NOx Ozone Season allowance originally allocated to a

CArR NOx Ozone Season unit located in the State of Connecticut, as defined

in Section 22a-174-22c ofthe Regulations, or

a NOx allowance designated specifically for compliance during Ozone Season

control periods and allocated to a CArR NOx Ozone Season unit located in the

State of Connecticut after the date ofissuance ofthis Trading Agreement and

Order.

c. Discrete Emission Reduction Credit (DERC): a unit that was generated and

approved by the Commissioner in accordance with a Trading Agreement and

Order issued by the Commissioner or generated and approved by the

(Printed on Recycled Paper)

79 Elm Street • Hartford, CT 06106-5127

www.cl.gov/dep

An Equal Opportunity Employer
United Technologies Corporation 2 Trading Agreement and Order No. 8289

Commissioner in accordance with a protocol submitted and approved pursuant

to Section 22a-174-38 ofthe Regulations. Such unit is equivalent to I ton of

NOx emissions and may be used for emissions trading in accordance with

Section 22a-174-22G) ofthe Regulations, subject to the provisions of Part B of

this Trading Agreement and Order.

d. Full Load Emission Rate ("FLER") - Nitrogen Oxide ("NOx") emission rate

corresponding to each emission unit described in Table I ofthis Trading

Agreement and Order that the Respondent shall not cause or allow the

emissions of NOx from that emission unit to exceed; and that the Respondent

agrees such FLER shall serve as the basis for determining Estimated

DERCs/Allowances Required and Actual DERCs/Allowances Required in

accordance with this Trading Agreement and Order.

e. CAIR NATS means "CAIR NOx Ozone Season Allowance Tracking System"

as defined in 40 CFR 96.302.

f. Non-Attainment Area: means the geographic area which has been designated

as nonattainment pursuant to 40 CFR 81 in accordance with the provisions of

42 USC 7407 (Section 107 ofthe Act). Pursuant to 40 CFR 81.307, the

designated ozone non-attainment areas in the State ofConnecticut are: the

Greater Connecticut, CT area and the New York-Northern New Jersey-Long

Island, NY-NJ-CT area.

g. Ozone Season - May I through September 30 of each calendar year or such

period as defined by the U.S. Environmental Protection Agency, subsequent to

the issuance ofthis Trading Agreement and Order.

Table I

NOx Emission Test Rates, FLERs and AELs in (lbs/MMBtu, unless specified)

Facilityl Fuel Heat Input Maximum Test Full Load Allowable Date of Next

Equipment Limitation Allowable Rate Emission Emission Last Stack

MMBtu/hr Steam rate Limit Stack Test

Production (FLER) (AEL) Test Due

Limitation

Lbs steam/hr

Boiler no. 6 Nat. 143 120,000 0.327 0.36 0.20 1127/2006 1/27/2011

R# 053- gas 144 125,000 0.434 0.48 0.25

0039 #6 oil

Boiler no. 8 Nat. 171 125,000 0.248 0.27 0.20 1/26/2006 1/26120II

R# 053- gas 182 130,000 0.320 0.35 0.25

0041 #6 oil

Boiler no. 9 Nat. 165 120,000 0.241 0.27 0.20 1/25/2006 112512011

R #053- gas 171 125,000 0.309 0.35 0.25

0042 #6 oil
United Technologies Corporation 3 Trading Agreement and Order No. 8289

5. The Respondent agrees that the actual NOx emissions rate from the emission units

described in Table I, when burning the corresponding fuels exceeds the corresponding

AELs.

6. Pursuant to Section 22a-174-22G) ofthe Regulations Respondent proposes to comply with

Section 22a-174-22(e) ofthe Regulations, when operating the emission units described in

Table I and burning the corresponding fuels by means of emissions trading in accordance

with the provisions ofthis Trading Agreement and Order.

7. Respondent proposes to use the full load emission rates ("FLERs") identified in Table I

for the purposes of calculating DERCs and allowances required.

8. Respondent has agreed to comply with the heat input and steam output restrictions on the

boilers identified in Table I ofthis Trading Agreement and Order.

The Commissioner, in accordance with Section 22a-174-22G) ofthe Regulations hereby allows

Respondent to comply with Section 22a-174-22 ofthe Regulations at the facility through the use

of emissions trading, subject to the provisions ofthis Trading Agreement and Order.

B. With the agreement of Respondent, the Commissioner, acting under Sections 22a-6, 22a-174, 22a176, and 22a-l77 ofthe Connecticut General Statutes, hereby orders Respondent as follows:

I. Expiration ofthis Trading Agreement and Order: The Respondent may only use emissions

trading, subject to the provisions ofthis Trading Agreement and Order, until the date of

expiration ofthis Trading Agreement and Order. The date ofexpiration ofthis Trading

.Agreement and Order shall be the earlier of:

a. January I, 2013;

b. The date upon which the Respondent demonstrates to the Commissioner's

satisfaction that actual NOx emissions from the emission unit, at all times, do

not exceed the corresponding AEL(s);

c. The date specified in any written notice from the Commissioner stating that the

Respondent is no longer allowed to use emissions trading due to the

Respondent's violation of any provision ofthis Trading Agreement and Order;

or

d. The date specified in any written notice from the Commissioner, notifYing the

Respondent that the Commissioner has determined the use of emissions trading

as a compliance option has been further restricted, modified or nullified by:

(i) the promulgation of an Act, Statute, or Regulations; or

(ii) the issuance of a judgment or court order.
United Technologies Corporation 4 Trading Agreement and Order No. 8289

2. Respondent shall obtain and use sufficient DERCs and/or Allowances in such a manner as to

comply with Paragraphs B.8 and 8.9 ofthis Trading Agreement and Order. All Allowances

used must come from an emission unit that is within the same ozone nonattainment area as the

Respondent. All Allowances used by the Respondent must be for the current vintage year.

All DERCs used during the Ozone Season, shall have been generated during an Ozone Season

by the operation of an emission unit that is not a CAIR NOx Ozone Season unit, as defined in

Section 22a-174-22c ofthe Regulations.

3. Prior to using Allowances in accordance with Paragraph B.8 ofthis Trading Agreement and

Order the Respondent shall obtain a General Account or Compliance Account in the CAIR

NATS.

4. Vintage Restriction. For the purposes ofcompliance with Section 22a-174-22 ofthe

Regulations and the provisions ofthis Trading Agreement and Order, DERCs shall only

remain valid for five (5) calendar years from the year ofthe generation ofsuch DERCs.

DERCs older than five (5) calendar years from their creation are not valid for use for

compliance with Section 22a-174-22 ofthe Regulations and the provisions ofthis Trading

Agreement and Order

5. Respondent shall not cause or allow actual NOx emissions from the operation ofthe emission

units described in Table I ofthis Trading Agreement and Order to exceed the corresponding

FLERs. The Respondent shall not allow the steam production from the boilers specified in

Table I to exceed the corresponding maximum allowable steam production limitations.

Compliance with the corresponding FLERs and maximum allowable steam production rates

specified in Table I shall be determined based on the results of emissions testing performed in

accordance with Section 22a-174-22 ofthe Regulations or NOx emissions monitored and

recorded by a continuous emissions monitoring system that was approved by the

Commissioner and that complies with Section 22a-174-4 ofthe Regulations and either 40

CFR 60, Appendices B&F or 40 CFR 75.

6. Ozone Season Fuel Use Restriction: Notwithstanding the provisions of Paragraph B.2 ofthis

Trading Agreement and Order, when operating the emission units described in Table I during

the Ozone Season, the Respondent shall operate those units while firing or co-firing the lowest

NOx emitting fuel type or combination offuel types that the units are authorized to burn in

accordance with Departmental permit, registration, or applicable regulation.

7. Notwithstanding Paragraph B.6 ofthis Trading Agreement and Order, during the Ozone

Season, the Respondent may operate the emission units described above on fuels that result in

higher emissions ofNOx, if either:

a. the availability offueI oil that complies with Paragraph B.6 is inadequate to meet

the needs ofresidential, commercial and industrial users in this state and that such

inadequate supply constitutes an emergency; or
Where:

• Discount (0.95) =5% design margin applied to the AEL.

• FLER = Full Load Emission Rate, as defined in Paragraph AA ofthis

Trading Agreement and Order

5 Trading Agreement and Order No. 8289

c. At the end of each calendar year, the Respondent shall demonstrate that any

Allowances used for' compliance during the year are surplus, quantifiable,

enforceable and permanent. This shall be determined by demonstrating that the

Seller's actual NOx emissions during the ozone season as reported to EPA were

equal to or less than the amount ofAllowances allocated to the Seller by the State

ofConnecticut minus the Allowances purchased by the Respondent.

b. No later than the twentieth day of each month, Respondent shall calculate actual

DERCs and/or Allowances used in the preceding calendar month for each emission

unit using the corresponding FLER and AEL from Table 1 as follows:

Actual DERCs/Allowances Required =

{(Actual fuel use in MMBtu) x «FLER) - (0.95 x AEL))}+2000 Ibs/ton.

• AEL = Allowable Emission limit, as defined in Paragraph AA ofthis

Trading Agreement and Order

b. the supply of gaseous fuels to the emission units is interrupted due to inadequate

supply or in accordance with an interruptible supply agreement between the

Respondent and the gaseous fuel supplier.

Estimated DERCs/Allowances (tons) Required =

{(Estimated fuel use in MMBtu) x «FLER) - (0.95 x AEL))}+2000 Ibs/ton

a. Before the first day of each month, Respondent shall estimate DERCs and/or

Allowances required for such calendar month for each emission unit using the

corresponding FLER and AEL from Table I as follows:

9. On or before January 31 of each calendar year, the Respondent shall deduct a quantity of

DERCS from the current balance ofDERCs possessed by the Respondent and/or transfer a

quantity ofAllowances from the Respondent's NOx General Account or Compliance Account

to the CT State NOx Retirement Account (Account ID CT0000000300 in the CAIR NATS)

such that the total is equal to the sum ofActual DERCslAllowances Required pursuant to

8. DERC/Allowance Use. On the first day of each calendar month, the Respondent shall possess

a quantity of DERCs and/or Allowances that equals or exceeds the quantity ofActual DERCs

and/or Allowances Required in that month. Compliance with Paragraph B.8 ofthis Trading

Agreement and Order shall be determined as follows:

United Technologies Corporation
United Technologies Corporation 6 Trading Agreement and Order No. 8289

Paragraph B.8 ofthis Trading Agreement and Order for the preceding calendar year, rounded

up to the nearest whole ton.

10. Doubling: Ifthe Actual DERCs/Allowances Required for any month, determined in

accordance with Paragraph B.8, exceeds the quantity ofDERCs and/or Allowances in the

Respondent's possession on the first day ofthat month, then in addition to the deduction or

transfer specified in Paragraphs 8.9, the Respondent shall deduct a quantity of DERCs from

the current balance ofDERCs possessed by the Respondent and/or transfer a quantity of

Allowances from the Respondent's NOx General Account or Compliance Account to the CT

State NOx Retirement Account (Account ID CT0000000300 in the CAIR NATS) such that

the total is equal to Actual DERCs/Allowances Required for the preceding month.

Such additional DERC deduction or Allowance transfer shall be performed at the same time

as any DERC deduction or Allowance transfer specified in Paragraph B.9 ofthis Trading

Agreement and Order.

Notwithstanding the provisions of Paragraph B.I 0 ofthis Trading Agreement and Order, any

violation of Paragraph 8.8 ofthis Trading Agreement and Order may be subject to additional

enforcement action as may be deemed appropriate by the Commissioner in accordance with

the Department's enforcement response policy.

11. Maintenance and Tune-up. Not more than I year from the date ofissuance ofthis Trading

Agreement and Order, the Respondent shall perform maintenance and inspection of each

emission unit listed in Table I. Such maintenance and inspection shall include, but not be

limited to, the following:

a. Inspect the combustion system, and clean, repair, or replace any components of

the combustion system as necessary, in accordance with manufacturer's

specification or current good engineering practice;

b. For any automated operation, inspect the system controlling the air-to-fuel ratio,

and ensure that it is calibrated and functioning in accordance with the

manufacturer's specifications or current good engineering practice;

c. Measure the operating parameters ofthe emission unit used to determine that the

emission unit is operating in accordance with manufacturer's specification or

current good engineering practice prior to and after any adjustments are made

during maintenance, tune-up, or inspection activity;

d. Make and keep records including, but not limited to, the following:

i. Demonstration that any maintenance, tune-up, and/or inspection

activity performed on the emission units described in Table I in

accordance with Paragraph B.II ofthis Trading Agreement and Order

has been performed in accordance with the manufacturer's

specifications or current good engineering practice,
12. Record Keeping;

b. On or before the first day of each calendar month, the Respondent shall

record the number of DERCs and corresponding serial numbers and

vintages for all DERCs in its possession on the first calendar day ofthat

calendar month.

f. On or before the first day of each calendar month, the Respondent shall

record the Estimated DERCs/Allowances Required for that calendar month

determined in accordance with Paragraph B.8 ofthis Trading Agreement

and Order.

7 Trading Agreement and Order No. 8289

ii. The date and a description of any maintenance, tune-up, and/or

inspection activity performed on the emission units described in Table

I in accordance with Paragraph B.II ofthis Trading Agreement and

Order,

iii. The name, title and affiliation ofthe person conducting any

maintenance, tune-up, and/or inspection activity performed on the

emission units described in Table I in accordance with Paragraph B.II

ofthis Trading Agreement and Order,

d. On or before the first day of each calendar month, the Respondent shall

record the number ofDERCs and corresponding serial numbers, vintages,

purchase/sales dates, and sellerlbuyer for all DERCs purchased or sold

during the preceding calendar month.

IV. The operating parameters ofthe emission unit used to determine that

the emission unit is operating in accordance with manufacturer's

specification or current good engineering practice prior to and after any

adjustments are made during maintenance, tune-up, or inspection

activity performed in accordance with Paragraph B.II ofthis Trading

Agreement and Order.

e. On or before the first day ofeach calendar month, the Respondent shall

record the number ofAllowances and corresponding identification

numbers, purchase/sales dates, allocation years, and sellerlbuyer for all

Allowances purchased or sold during the preceding calendar month.

a. By the close of each calendar day, the Respondent shall record the actual

fuel type and the actual quantity of each type offuel in units of volume per

day or MMbtu per day for each fuel used by any emission unit described in

this Trading Agreement and order on the preceding day;

c. On or before the first day of each calendar month, the Respondent shall

record the number ofAllowances and corresponding identification numbers

and vintages for all Allowances in its possession on the first calendar day of

that calendar month.

United Technologies Corporation
r-----------------------------------------------------------

United Technologies Corporation 8 Trading Agreement and Order No. 8289

g. On or before the twentieth calendar day of each calendar month, the

Respondent shall record the Actual DERCs/Allowances Required for the

preceding calendar month determined in accordance with Paragraph B.8 of

this Trading Agreement and Order.

h. On or before January 31 of each calendar year, the Respondent shall record

the quantity of DERCs deducted in accordance with Paragraphs B.9 and

8.10 ofthis Trading Agreement and Order. Such records shall include the

serial number and vintage of each DERC deducted from the Respondents

current balance pursuant to Paragraphs 8.9 and B.1O ofthis Trading

Agreement and Order.

I. On or before January 31 of each calendar year, the Respondent shall record

the quantity ofAllowances transferred in accordance with Paragraphs B.9

and B.I 0 ofthis Trading Agreement and Order. Such records shall include

the identification number and allocation year of each Allowance transferred

pursuant to Paragraphs B.9 and B.I 0 ofthis Trading Agreement and Order.

J. For each month ofthe Ozone season, the Respondent shall maintain records

attesting to the fact that any DERCs deducted /Tom its balance in

accordance with Paragraphs B.9 and B.I 0 were created during an Ozone

season. Generator certification ofthis fact shall be sufficient.

k. On each day during the ozone season that the Respondent operates in

accordance with Paragraph B.7 ofthis Trading Agreement and Order, the

Respondent shall make and keep Records of all emission unit operation in

accordance with Paragraph B.7 ofthis Trading Agreement and Order,

including copies of any written correspondence from the Respondent's fuel

supplier detailing the duration and circumstances ofthe inadequate fuel oil

supply or interruption of gaseous fuel supply to the emission units.

13. Respondent shall retain records and supporting documentation required by this Trading

Agreement and Order for a minimum offive years, commencing on the date such records

were created. Respondent shall provide the records specified above to the Commissioner

within thirty (30) days ofreceipt of a written request from the Commissioner. All records

shall be maintained in accordance with Sections 22a-174-4 and 22a-174-22 ofthe

Regulations.

14. Reporting: No later than March I of every year after issuance ofthis Trading Agreement and

Order, the Respondent shall submit to the Commissioner a written report containing copies of

all ofthe records required pursuant to Paragraph 8.12 ofthis Trading Agreement and Order.

The Commissioner may prescribe the forms to be used for the submission ofthese reports.

The Respondent shall submit these reports on such forms, if prescribed by the Commissioner.

15. FLER Violation. Violation of an established FLER shall subject Respondent to make

restitution by matching the quantity of emissions ("true up") caused by the exceedance plus a

100% premium. The true up in tons of DERCs or Allowances shall be equal to the FLER

exceedance in Ibs/MMBtu, multiplied by the total heat input during the period of

noncompliance divided by 2000 Ibs/ton. Ifthe period of noncompliance is not known, the

time period from the completion ofthe last/previous Department witnessed emission test

through the date that FLER compliance is achieved as approved by the Commissioner shall
---------------------------------------_._-

United Technologies Corporation 9 Trading Agreement and Order No. 8289

be used. Notwithstanding this requirement, exceedance of any FLER contained in Table 1 is

a violation in Paragraph 8.5 ofthis Trading Agreement and Order subject to enforcement

action in accordance with the Department of Environmental Protection's Enforcement

Response Policy, in effect at the time ofsuch violation.

16. FLER Modification. FLERs set forth in Table I ofthis Trading Agreement and Order may

be modified only after the consent ofthe Commissioner by written modification ofthis

Trading Agreement and Order.

17. Emissions Testing. The Respondent shall perform emissions testing in accordance with

Section 22a-174-22(k) of the Regulations for each emission unit described in Table I ofthis

Trading Agreement and Order that is not equipped with a continuous emissions monitoring

system that was approved by the Commissioner and that complies with Section 22a-174-4 of

the Regulations and either 40 CFR 60, Appendix 8&F or 40 CFR 75.

18. Full compliance. Respondent shall not be considered in full compliance with this Trading

Agreement and Order until all actions required by this Trading Agreement and Order have

been completed as approved and to the Commissioner's satisfaction.

19. Approvals. Respondent shall use best efforts to submit to the Commissioner all documents

required by this Trading Agreement and Order in a complete and approvable form. Ifthe

Commissioner notifies Respondent that any document or other action is deficient, and does

not approve it with conditions or modifications, it is deemed disapproved, and Respondent

shall correct the deficiencies and resubmit it within the time specified by the Commissioner

or, ifno time is specified by the Commissioner, within 30 days ofthe Commissioner's notice

of deficiencies. In approving any document or other action under this Trading Agreement

and Order, the Commissioner may approve the document or other action as submitted or

performed or with such conditions or modifications as the Commissioner deems necessary to

carry out the purposes ofthis Trading Agreement and Order. Nothing in this paragraph shall

excuse noncompliance or delay.

20. Definitions. As used in this Trading Agreement and Order "Commissioner" means the

Commissioner or a representative ofthe Commissioner; The date of "issuance" ofthis

Trading Agreement and Order is the date the Trading Agreement and Order is deposited in

the U.S. mail or personally delivered, whichever is earlier.

21. Dates. The date ofsubmission to the Commissioner of any document required by this

Trading Agreement and Order shall be the date such document is received by the

Commissioner. The date of any notice by the Commissioner under Trading Agreement and

Order, including but not limited to notice of approval or disapproval of any document or

other action, shall be the date such notice is deposited in the U.S. mail or is personally

delivered, whichever is earlier. Except as otherwise specified in this Trading Agreement and

Order, the word "day" as used in this Trading Agreement and Order means calendar day.

Any document or action which is required by this Trading Agreement and Order to be

submitted or performed by a date which falls on a Saturday, Sunday or a Connecticut or

federal holiday shall be submitted or performed by the next day which is not a Saturday,

Sunday or Connecticut or federal holiday.
United Technologies Corporation 10 Trading Agreement and Order No. 8289

22. Certification of documents. Any document, including but not limited to any notice, which is

required to be submitted to the Commissioner under this Trading Agreement and Order shall

be signed by the Respondent or, if Respondent is not an individual, by an individual,

employed by the Respondent, who satisfies the criteria set forth in Section 22a-174-2a(a)(I)

ofthe Regulations ofConnecticut State Agencies and by the individual(s) responsible for

actually preparing such document. Each individual who signs documents in accordance with

this Paragraph shall certi!)' in writing as follows:

"I have personally examined and am familiar with the information submitted in this

document and all attachments thereto, and I certi!)', based on reasonable investigation,

including my inquiry ofthose individuals responsible for obtaining the information, that

the submitted information is true, accurate and complete to the best of my knowledge and

belief. I understand that any false statement made in the submitted information may be

punishable as a criminal offense under Section 53a-157b ofthe Connecticut General

Statutes and any other applicable law."

23. Noncompliance. This Trading Agreement and Order is a final order ofthe Commissioner

with respect to the matters addressed herein, and is nonappealable and immediately

enforceable. Failure to comply with this Trading Agreement and Order may subject

Respondent to an injunction and penalties.

24. False statements. Any false statement in any information submitted pursuant to this Trading

Agreement and Order may be punishable as a criminal offense under Section 53a-157b ofthe

Connecticut General Statutes and any other applicable law.

25. Notice oftransfer; liability ofRespondent. Until Respondent has fully complied with this

Trading Agreement and Order, Respondent shall noti!)' the Commissioner in writing no later

than 15 days after transferring all or any portion ofthe facility, the operations, the site or the

business which is the subject ofthis Trading Agreement and Order or after obtaining a new

mailing or location address. Respondent's obligations under this Trading Agreement and

Order shall not be affected by the passage oftitle to any property to any other person or

municipality.

26. Commissioner's powers. Nothing in this Trading Agreement and Order shall affect the

Commissioner's authority to institute any proceeding or take any other action to prevent or

abate violations oflaw, prevent or abate pollution, recover costs and natural resource

damages, and to impose penalties for past, present, or future violations oflaw. Ifat any time

the Commissioner determines that the actions taken by Respondent pursuant to this Trading

Agreement and Order have not successfully corrected all violations, fully characterized the

extent or degree of any pollution, or successfully abated or prevented pollution, the

Commissioner may institute any proceeding to require Respondent to undertake further

investigation or further action to prevent or abate violations or pollution.

27. Respondent's obligations under law. Nothing in this Trading Agreement and Order shall

relieve Respondent of other obligations under applicable federal, state and local law.
31. No Creation of Prooerlv Rights. This Consent Order does not create any property rights with

respect to these DERCs or Allowances.

30. No effect on rights of other persons. This Trading Agreement and Order neither creates nor

affects any rights of persons or municipalities that are not parties to this Trading Agreement

and Order.

29. Access to premises. Any representative ofthe Department of Environmental Protection may

enter the without prior notice for the purposes ofmonitoring and enforcing the actions

required or allowed by this Trading Agreement and Order.

II Trading Agreement and Order No. 8289

33. Notification of noncompliance. In the event that Respondent becomes aware that it did not or

may not comply, or did not or may not comply on time, with any requirement ofthis Trading

Agreement and Order or of any document required hereunder, Respondent shall immediately

notify by telephone the individual identified in the next paragraph and shall take all

reasonable steps to ensure that any noncompliance or delay is avoided or, if unavoidable, is

minimized to the greatest extent possible. Within five (5) days ofthe initial notice,

Respondent shall submit in writing the date, time, and duration ofthe noncompliance and the

reasons for the noncompliance or delay and propose, for the review and written approval of

the Commissioner, dates by which compliance will be achieved, and Respondent shall

comply with any dates which may be approved in writing by the Commissioner. Notification

by Respondent shall not excuse noncompliance or delay, and the Commissioner's approval of

any compliance dates proposed shall not excuse noncompliance or delay unless specifically

so stated by the Commissioner in writing.

32. Notice to Commissioner of changes. Within IS days ofthe date Respondent becomes aware

of a change in any information submitted to the Commissioner under this Trading Agreement

and Order, or that any such information was inaccurate or misleading or that any relevant

information was omitted, Respondent shall submit the correct or omitted information to the

Commissioner.

28. No assurance by Commissioner. No provision ofthis Trading Agreement and Order and no

action or inaction by the Commissioner shall be construed to constitute an assurance by the

Commissioner that the actions taken by Respondent pursuant to this Trading Agreement and

Order will result in compliance or prevent or abate pollution.

34. Submission of documents. Any document required to be submitted to the Commissioner

under this Trading Agreement and Order shall, unless otherwise specified in this Trading

Agreement and Order or in writing by the Commissioner, be directed to:

Supervisor

Administrative Enforcement Group

Engineering and Enforcement Division

Bureau of Air Management

Department of Environmental Protection

79 Elm Street, 5th Floor

Hartford, Connecticut 06106

(860) 424-3702

United Technologies Corporation
United Technologies Corporation 12 Trading Agreement and Order No. 8289

Respondent consents to the issuance ofthis Trading Agreement and Order without further notice. The

undersigned certifies that he/she is fully authorized to enter into this Trading Agreement and Order and

to legally bind Respondent to the terms and conditions ofthe Trading Agreement and Order.

United Technologies Corporation

Signature: O~

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Issued as a final consent order ofthe Commissioner ofthe Department ofEnvironmental Protection.

.

e, Director

E ineer g & Enforcement Division

Bureau ofAir Management

TOWN OF ===::-:-:-c-:c,----- MAILED CERTIFIED MAIL,

RETURN RECEIPT REQUESTED

Certified Document