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UNITED STATES E}* VIRONIUIENTAL PROTECTION AGEN CY

WA:HINGTON, D.C. 20460

:

DEC 5 æ0t

OFFICE OF

AIRANO RADANON

MEMORANDJJM

Re-Issu¡nce of Clariñcati¡n - State Implementatioa Plans (SIPs): Policy

Regarding Exgesfpmissio¡l¡ DurinøMÊlfiutctions, Startup, and Shutdown

encscaaefrfu<. yl"L

Director, OfñcE of Regulacory ffforcemqrt

Offi ce of Enforcement 4nd Co{þliance Assr¡rance

Johns.seitz Úr.,¿lk

Director,Ofi ceof ffnQtnlityPlabningagþtandards

Office of Air andRadiation

TO: Regional Administrators, Regiorrs I - X

This is â re-issuance of "Cla¡ifica*ion - State Implementation Plans (SIPs): Policy

Regarding Excess Emissions During Mal:functions, Starnrp, and Shutdown,"which was signed

on November 8, 2001. This re-issued fofm of the Policy excludes aparagraphthat was

erroneously included in the November 8, 2001, version.

I

On September 20,lggg,EP,{ issued a guidance memora¡rdum discussing the t¡pes of

State Inrplemørtatiou Plan (SIP) provisions addressing excess emissions druing malfirnctions,

$artnps, and shutdowns that EPA believes may appropriatelybe.approuÍ t -p* of a SIP'Søte

Implomentation Plans: PolicyR.egarding Excess Emissione Dwing Malfunctions, Startup, and

Shutdown ("september 20, 1999, Guidancen). Certein questions have recently becn raised

concerning the intcnded effcct of the Septembø 20, L999, Guídance. Thc purpose of thís

Memora¡dum is to provide clarificatiqn with regard to these quqstions.

This Memorandum conlrms tbat the Septønber 20,lggg,Guidancc providcs guidance to

States and EPA rcgarding SIP provisions related to excess emissions during malfi¡¡rctions,

startupg, a¡d shutdowns. It was not intended to alter the status of any cxisting malfi¡uction'

startup or shutdown provision in a SIP that hæ beeo approved by EPA' Similarly, the Guid¡nce

was nòt intc¡rded to ¿ffect existing permit ierms or conditions regarding malfi¡nitions, startrrps

and shutdoums that reflcct approved SIP provisions, including opaqity provisions, or to alter the

emerge¡cy defense provisions at 40 C.F.R; $ 70.6(9). Existing SIP rules and 40 C.F.R. 5 70,6(g)

mayõnlybe changed througb establÍshed rulemakingprocedures ærd cxistingpcrmit terms may

only Ue lhanged ttrougb establisbed eal:üng processes. EPA did not intend tbe

i:

Internot Address (uRL)' hþ"1/ttlt'tru'epa'9ov

ftectctró/R.ctcbbþ . Prhrsd w¡$ Veo.tàHe O{ Blsr{t lrilo ofl Recydarl PtFer (Mlnlmum 30% Posbonwmor)
September 20,lggg,Gruidance to bc legally dispositive with respect to any puticulaf proceedings

in which a violationisalleged to have ã.o,*r¿l Rathcr, it is in the contcxt of futue-rule'nalcing

ictions, such as the slp afrrovat pro..si, that EpAwill considet' the Guidance and the statutory

principles on which the Guidance is basejl

Questions also have been raised regarding F :tr:d of the.september 20, 1999, Guidance

as ít relaìes to enforcemcnt discretion andãffir*ãtil. dcfenses. The Guidance confirms that

EpA and states may always exercise enforccrøent discretion with respecto o<cess emissio¡u

tr,.t orr* ü¡.ing matfi¡noiions, st4rfirps or shutdowns, The Guidance finther confirms that

Sl"i* *"ypro*,iô" i* iÍÌr apircpti"tely,tailoredafñrmative defer¡ses, coosistent with tt¡e

Scptember zo,lggg,Guidalrce ttrat *oítd be available in enforcE¡¡rent actions broughtby stàtcs,

EPA or citizens. i

cci Air Direclors Regions I - X :-

Regional Counsels Rcgions I - X

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