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## E"l'ä\s 

# ã"Ynu s¡¡a1 ¡r¡¡rtll\,I JUUÃI/Ë

UNITED STATES E}* VIRONIUIENTAL

PROTECTION

AGEN CY WA:HINGTON,

D.C.20460 : 

## DEC5 æ0t
OFFICE OF AIRANO RADANON 

### MEMORANDJJM

Re-Issu¡nce

of Clariñcati¡n

- State Implementatioa

Plans (SIPs): Policy Regarding

Exgesfpmissio¡l¡

DurinøMÊlfiutctions,

Startup, andShutdown 

# encscaaefrfu<.

yl"L Director,OfñcE

of Regulacory

ffforcemqrt Offi ce of Enforcement

4nd Co{þlianceAssr¡rance 

## Johns.seitz

Úr.,¿lk Director,Of

i 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, andShutdown,"which

was signed on November

8, 2001. This re-issued

fofm of thePolicy

excludes a paragraphthat

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

druingmalfirnctions, $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 provideclarificatiqn

with regard

to these quqstions. ThisMemorandum

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 SIPthat 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

SIPprovisions,

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 lriloofl 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 asthe slp afrrovat pro..si, that EpAwill considet' the Guidance

andthe 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

confirmsthat EpA and statesmay always exercise enforccrøent

discretion

with respect

o o<cess emissio¡u tr,.t orr* ü¡.ing matfi¡noiions, st4rfirps or shutdowns,

The Guidance

finther confirmsthat 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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