STATE OF CONNECTICUT

DEPARTMENT OF ENVIRONMENTAL PROTECTION

State ofConnecticut

and

Pfizer Inc.

)

)

)

)

Trading Agreement

and Order No. 8296

WHEREAS, the Commissioner of Enviromnental Protection ("Commissioner") and Pfizer Inc.

("Respondent") agree that the Commissioner may issue a permit or order to allow emissions trading in

accordance with Section 22a-174-22(j) ofthe Regulations of Connecticut 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:

1. This Trading Agreement and Order supersedes Trading Agreement and Orders 8093C and

8136A and all subsequent modifications thereto.

2. Respondent is a corporation that owns and operates a pharmaceutical research and

development facility at Eastern Point Road, Groton, Connecticut ("facility").

3. At the facility, Respondent operates the emission units described in Tables 1 and 2 below,

which are subj ect to Section 22a-174-22 ofthe Regulations of COlmecticut State Agencies

("Regulations") pertaining to the control of Nitrogen 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

conesponding to each emission unit described in Tables 1 and 2 ofthis Trading

Agreement and Order

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

CAIR NOx Ozone Season unit, as defined in Section 22a-174-22c ofthe

Regulations, located in the State ofConnecticut or a NOx allowance

designated specifically for compliance during Ozone Season control periods

and allocated to a CAIR NOx Ozone Season unit located in the State of

Connecticut after the date ofissuance ofthis Trading Agreement and Order.

c. CAIR NOx Ozone Season unit: shall be as defined in Section 22a-174-22c of

the Regulations

d. CEMS: Continuous Emissions Monitoring System

(Printed on Recycled Paper)

79 Elm Street • Hartford, CT 06106-5127

www.ctgov/dep

An Equal Opportunity Employer
Pfizer Inc. 2 Trading Agreement and Order 8296

e. 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

Commissioner in accordance with a protocol submitted and approved pursuant

to Section 22a-1 74-38 ofthe Regulations. Such unit is equivalent to I ton of

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

Section 22a-174-220) ofthe Regulations, subject to the provisions of Part B of

this Trading Agreement and Order.

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

as nonattainment pursuant to 40 CFR 8I 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 of Connecticut are: the

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

Island, NY-NJ-CT area.

g. CArR NATS: "CArR NO, Ozone Season Allowance Tracking System" as

defined in 40 CFR 96.302.

h. 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.

I. Non-Ozone Season: the period of consecutive calendar months between two

successive Ozone Seasons

Table I

Non CAIR NOx Ozone Season Units

Allowable Limits Ibs/MMBtn, nnless otherwise noted)

UNIT- Fnel Heat Inpnt Allowable Emission Limit

reg. or permit no. (MMBtn) (AEL)

Boiler No. I No.6 153 0.25

R-070-0007 Nat.Gas 0.20

Boiler No. 2 No.6 153 0.25

R-070-0008 Nat.Gas 0.20

Boiler No. 3 No.6 153 0.25

R-070-0009 Nat.Gas 0.20

Boiler No. 4 No.6 220 0.25

R-070-0010 Nat.Gas 0.20
Pfizer Inc. 3 Trading Agreement and Order 8296

Table 2

CAIR NOx Ozone Season UnitsAllowable Limits IbslMMBtu, unless otherwise noted)

UNIT- Fuel Heat Input Allowable Emission Limit

reg. or permit no. (MMBtu) (AEL)

Boiler No. 5 No.6 399.50 0.25

R-070-0012 Nat.Gas 399.50 0.20

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

described in Tables 1 and 2, at times, exceed the corresponding AELs.

6. The Respondent and the Commissioner agree that, at times, the actual 24-hour, block

average NOx emission rate from the emissions units described in Tables 1 and 2, may be

less than the corresponding AELs. At such times, the Respondent proposes to generate

DERCs.

7. Pursuant to Section 22a-174-22(j) ofthe Regulations, Respondent proposes to comply

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

described in Tables 1 and 2 by means of emissions trading in accordance with the

provisions ofthis Trading Agreement and Order.

8. The Respondent proposes to use the actual 24-hour average emissions rate measured by

CEMS for the purposes of calculating Actual DERCS generated and Actui;ll

DERCslAllowances Required for the emissions units described in Tables 1 and 2.

The Commissioner, in accordance with Section 22a-174-22(j) 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 ofRespondent, the Commissioner, acting under Sections 22a-6, 22a-174, 22a176, and 22a-l77 ofthe Connecticut General Statutes, hereby orders Respondent as follows:

1. 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 of expiration ofthis Trading

Agreement and Order shall be the earlier of:

a. January 1, 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
Pfizer Inc. 4 Trading Agreement and Order 8296

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.

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

comply with Paragraphs B.7 and B.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. Any Allowances used to comply with this Trading Agreement and Order must

be allocated for the control period that occurs during the same year those allowances are used

for compliance with this Trading Agreement and Order. All DERCs used during the Ozone

Season for the emissions units described in Table I, shall have been generated during an

Ozone Season by the operation ofan emission unit that is not a CAIR NOx Ozone Season

unit, as defined in Section 22a-174-22c ofthe Regulations. All DERCs used during the

Ozone Season for the emissions units described in Table 2, shall have been generated during

an Ozone Season.

3. Prior to using Allowances in accordance with Paragraphs B.7 and B.9 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 of compliance 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. Ozone Season Fuel Use Restriction: Notwithstanding the provisions of Paragraph B.2 ofthis

Trading Agreement and Order, when operating the emission units described in Tables I and 2

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

bum in accordance with Departmental permit, registration, or applicable regulation.

6. Notwithstanding Paragraph B.5 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 offuel oil that complies with Paragraph B.5 is inadequate to meet

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

inadequate supply constitntes an emergency; or

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.
Pfizer Inc. 5 Trading Agreement and Order 8296

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

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

Required and/or Actual Allowances Required in that month. Compliance with Paragraph B.7

ofthis Trading Agreement and Order shall be determined as follows:

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

Allowances required for such calendar month for each emission unit described in

Tables I and 2 as follows:

Estimated DERCs/Allowances Reguired =

{(Estimated fuel use in MMBtu) x ((estimated 24-hr average emission rate lb/mmbtu) - (0.95 x

AEL))}+2000 lbs/ton

Where:

• AEL = Allowable Emission limit, as defined in Paragraph A.4 ofthis

Trading Agreement and Order

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

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 described in Tables I and 2 as follows:

Actual DERCs/Allowances Reguired =

L{(Daily fuel use MMBtu) x ((actual 24-hr average emission rate lb/mmbtu) - (0.95 x AEL))} + 2000

lbs/ton

For all days in the month where actual 24-hr average emissions rate> AEL

8. DERC Generation. No later than the twentieth day of each month, Respondent shall calculate

actual DERCs generated in the preceding calendar month for each emission unit described in

Tables I and 2 as follows:

Actual DERCs Generated {Table I emission units (year-round) and Table 2 emission

uniteduring ozone season only)} =

L{(Daily fuel use MMBtu) x ((AEL) - actual24-hr average emission rate lb/mmbtu)} + 2000 lbs/ton

For all days in the month where actual 24-hr average emissions rate < AEL

Where: Daily fuel use and actual 24-hr average emission rate shall not include

missing data calculated in accordance with any missing data substitution procedures,

including those allowed under Section 22a-174-22c ofthe Regulations and 40 CFR

Part 75.
Pfizer Inc. 6 Trading Agreement and Order 8296

9. Non-Ozone Season DERC/Allowance Use. In addition to the requirements of Paragraph 8.7

ofthis Trading Agreement and Order, on the first day of each Non-Ozone Season, the

Respondent shall possess a quantity ofDERCs and/or Allowances that equals or exceeds the

quantity of Non- Ozone Season Actual DERCs/Allowances Required for that Non-Ozone

Season. Compliance with Paragraph 8.9 ofthis Trading Agreement and Order shall be

determined as follows:

a. Before the first day of each Non-Ozone Season, Respondent shall estimate DERCs

and/or Allowances requircd for that Non- Ozone Season for the emission unit

described in Table 2 based on the average actual NOx emission rate from the

emission unit and an emission limit of 0.15 Ib/mmbtu as follows:

Estimated Non-Ozone Season DERCs/Allowances Required =

{(Estimated Non-Ozone Season fuel use in MMBtu) x «estimated average NOx Emission Rate

Ib/mmbtu) - (0.95 x O.l5Ib/mmbtu»)} + 2000 Ibs/ton

b. No later than thirty (30) days after the end of each Non-Ozone Season, the

Respondent shall calculate Actual Non-Ozone Season DERCs and/or Allowances

used by Table 2 emission units during that Non-Ozone Season for each emission

unit as follows:

Actual Non-Ozone Season DERCs/Allowances Required =

{(Actual Non-Ozone Season fuel use in MMBtu) x «Non-Ozone Season Average Actual NOx

Emission Rate Ib/mmbtu) - (0.95 x 0.15 Ib/mmbtu»)} +2000 Ibs/ton - ~(DERCS and/or

Allowances Required for all months ofthe Non-Ozone Season calculated pursuant to Paragraph

8.7)

10. Non-Ozone Season DERC Generation. No later than the thirty (30) days after the end ofthe

Non-Ozone Season, Respondent shall calculate actual DERCs generated during the NonOzone Season by the emission unit described in Table 2 as follows:

{Non-Ozone Season fuel use (MMBtu) x [(0.15 Ib/mmbtu) - Non-Ozone Season average

emission rate (Ib/mmbtu)]} + 2000 Ibs/ton

Where:

Non-Ozone Season Average Emission Rate < O.l5Ib/mmbtu; and

Non-Ozone Season fuel use and Non-Ozone Season Average Emission rate shall not

include missing data calculated in accordance with any missing data substitution

procedures, including those allowed under Section 22a-174-22c ofthe Regulations and

40 CFR Part 75.

II. The Respondent shall retire ten (10) percent of all DERCs (tons) generated by the emission

units identified in Tables I and 2, prior to use, and permanently remove them from all

calculations ofavailable DERCs on a monthly or non-ozone season basis to assure a benefit to

the enviromnent.
Pfizer Inc. 7 Trading Agreement and Order 8296

12. 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 and/or Compliance Accounts to

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

that the total is equal to the sum of(Actual DERCs/Allowances Required determined pursuant

to Paragraph B.7 for the preceding calendar year) - 0.9*(Actual DERCs Generated determined

pursuant to B.8 during the preceding calendar year), rounded up to the nearest whole ton.

13. Not more than thirty (30) days after the completion ofthe Non-Ozone Season, the Respondent

shall deduct a quantity ofDERCS from the current balance ofDERCs possessed by the

Respondent and/or transfer a quantity ofAllowances from the Respondent's NOx General

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

NATS) such that the total is equal to 0 or (Actual Non-Ozone Season DERCs/Allowances

Required for the most recently completed Non-Ozone Season) - 0.9*(Actual DERCs

Generated in the most recently completed Non-Ozone Season), whichever is greater.

Notwithstanding the control period limitations of Paragraph B.2 ofthis Trading Agreement

and Order, Allowances used to comply with this Paragraph for a Non-Ozone Season must

have been originally allocated for the control periods that correspond to the same calendar

years within that Non-Ozone Season.

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

accordance with Paragraph B.7, 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 B.12, the Respondent shall also deduct a quantity ofDERCs

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

Allowances from the Respondent's NOx General and/or Compliance Accounts 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 that month) - 0.9*(Actual

DERCs Generated in that month). Such additional DERC deduction or Allowance transfer

shall be performed at the same time as any DERC deduction and/or Allowance transfer

specified in Paragraph B.12 ofthis Trading Agreement and Order.

Ifthe Actual DERCs/Allowances Required for any Non-Ozone Season, determined in

accordance with Paragraph B.9, exceeds the quantity ofDERCs and/or Allowances in the

Respondent's possession on the first day of Non-Ozone Season, then in addition to the

deduction or transfer specified in Paragraphs B.13, the Respondent shall also deduct a quantity

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

quantity ofAllowances from the Respondent's NOx General Account to the CT State NOx

Retirement Account (Account ID CT0000000300 in the CAIR NATS) such that the total is

equal to 0 or (Actual Non-Ozone Season DERCs/Allowances Required for the most recently

completed Non-Ozone Season) - 0.9*(Actual DERCs Generated in the most recently

completed Non-Ozone Season), whichever is greater. 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.13 ofthis Trading Agreement and Order.

Notwithstanding the provisions of Paragraph B.14 ofthis Trading Agreement and Order, any

violation of Paragraphs B.7 and B.9 ofthis Trading Agreement and Order may be subject to

additional enforcement action as may be deemed appropriate by the Commissioner in
Pfizer Inc. 8 Trading Agreement and Order 8296

accordance with the Department's enforcement response policy.

15. At the end of each calendar year, the Respondent shall demonstrate that any Allowances used

for compliance with this Trading Agreement and Order during the year are surplus,

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

actual NOx emissions during the ozone season, as reported to the United States Environmental

Protection Agency, from the emission nnit to which the Allowances were originally allocated

were equal to or less than the amount ofAllowances allocated to snch unit by the State of

Connecticut minus the Allowances used for compliance with this Trading Agreement and

Order.

16. Maintenance and Tune-up. Not more than 18 months from the date ofissuance ofthis Trading

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

emission unit listed in Tables I and 2. Such maintenance and inspection shall include, but not

be limited to, the following:

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

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

or current good engineering practice;

b. Inspect the system controlling the air-to-fuel ratio, and ensure that it is calibrated

or functioning in accordance with the manufacturer's specifications or current

good engineering practice;

c. Measure the NOx and O2 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 Tables I and 2 in

accordance with Paragraph B.l6 ofthis Trading Agreement and Order

has been performed in accordance with the manufacturer's

specifications or current good engineering practice,

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

inspection activity performed on the emission units described in Tables

I and 2 in accordance with Paragraph B.l6 ofthis Trading Agreement

and Order,

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

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

emission units described in Tables I and 2 in accordance with

Paragraph B.16 ofthis Trading Agreement and Order,

iv. The NOx and O2 parameters ofthe emission unit used to determine that

the emission unit is operating in accordance with manufacturer's
Pfizer Inc. 9 Trading Agreement and Order 8296

17. Record Keeping;

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.16 ofthis Trading

Agreement and Order.

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

24-hour average NOx emission rate for any emission unit equipped with an

approved CEMS and the actual fuel type and the actual quantity of each

lype offuel in units of volume per day or MMbtu per day for each fuel used

on the preceding day in any ofthe emission units described in this Trading

Agreement and Order;

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

record the number ofDERCs and corresponding serial numbers and

vintagesJor all DERCs in its possession on the first calendar day ofthat

calendar month,

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

record the number ofAllowances and corresponding identification numbers

and allocation control periods for all Allowances in its possession on the

first calendar day ofthat calendar month,

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

record the number ofDERCs and corresponding serial numbers, vintages,

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

during the preceding calendar month,

e. On or before the first day of each 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,

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.7 ofthis Trading Agreement

and Order.

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.7 of

this Trading Agreement and Order;

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

Respondent shall record the Actual DERCs/Allowances Generated for the

preceding calendar month determined in accordance with Paragraph B.I 0 of

this Trading Agreement and Order and DERCs retired for environmental

benefit in accordance with paragraph B.II ofthis Trading Agreement and

Order;

l. On or before January 31 of each calendar year, the Respondent shall record
Pfizer Inc. 10 Trading Agreement and Order 8296

the quantity ofDERCs deducted in accordance with Paragraphs B.12 and

B.l4 ofthis Trading Agreement and Order for the preceding month. Such

records shall include the serial number and vintage of each DERC deducted

from the Respondents current balance pursuant to Paragraphs B.12 and

B.l4 ofthis Trading Agreement and Order.

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

the quantity ofAllowances transferred in accordance with Paragraphs RI2

and RI4 ofthis Trading Agreement and Order. Such records shall include

the identification number and allocation control period of each Allowance

transferred pursuant to Paragraphs B.l2 and RI4 ofthis Trading

Agreement and Order.

k. Not more than thirty (30) days after the completion of each Non-Ozone

Season, the Respondent shall record the Non-Ozone Season average NOx

emission rate for the emissions unit described in Table 2, the quantity

DERCs and/or allowances possessed on the first day ofthe Non-Ozone

Season, the quantity ofDERCs deducted and/or Allowances transferred in

accordance with Paragraphs Rl3 and B.l4 ofthis Trading Agreement and

Order, the quantity ofDERCs generated in accordance with Paragraph RIO

ofthis Trading Agreement and Order, and the quantity ofDERCs generated

during the Non-Ozone Season and retired for environmental benefit in

accordance with Paragraph B.II ofthis Trading Agreement and Order;

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

attesting to the fact that any DERCs deducted from its balance in

accordance with Paragraphs RI2 and B.l4 ofthis Trading Agreement and

Order satisfY the requirements of Paragraph R2. Generator certification of

this fact shall be sufficient.

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

accordance with Paragraph R6 ofthis Trading Agreement and Order, the

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

accordance with Paragraph R6 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.

18. 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.

19. 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 Paragraphs R17.a - B.l7.j, B.17.! and R17.m ofthis

Trading Agreement and Order. Not later than July 30 of each calendar year, the Respondent

shall submit a written report containing copies of all records required pursuant to Paragraph

R17.k 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, ifprescribed by the Commissioner.
Pfizer Inc. 11 Trading Agreement and Order 8296

20. 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.

21. 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 lUlder 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.

22. 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.

23. 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.

24. 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, ifRespondent 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 certify in writing as follows:

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

document and all attachments thereto, and I certify, 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 ofmy 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."
Pfizer Inc. 12 Trading Agreement and Order 8296

25. 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.

26. 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.

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

Trading Agreement and Order, Respondent shall notifY 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.

28. 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. If at 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.

29. 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.

30. 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.

31. Access to premises. Any representative ofthe Department ofEnvironmental Protection may

enter the without prior notice for the purposes of monitoring and enforcing the actions

required or allowed by this Trading Agreement and Order.

32. 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.

33. No Creation ofProperty Rights. This Consent Order does not create any property rights with

respect to these DERCs or Allowances.
Pfizer Inc. 13 Trading Agreement and Order 8296

34. 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.

3S. 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, ifunavoidable, is

minimized to the greatest extent possible. Within five (S) 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.

36. 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 ofAir Management

Department ofEnvironmental Protection

79 Elm Street, Sth Floor

Hartford, Connecticut 06106

(860) 424-3702
Pfizer Inc. 14 Trading Agreement and Order 8296

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.

/7 Respondent

Signature:Ctf~ ~~./) Type Name: Cameron Mackenzie P.E., Executive Director

Type Title: Pfizer Inc, Global Operations, East Area

Date: April 26, 20I0

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

04 -.2.7- - :Lore

. Ro e Director Date

Engi eering & Enforcement Division

Bureau ofAir Management

CITY OF GROTON

MAILED CERTIFIED MAIL,

RETURN RECEIPT REQUESTED

Certified Document
Pfizer Inc. 15 Trading Agreement and Order 8296

[Note: This sheet is not a part ofthe order and is only attached to the original order which is

retained in separate DEP files which are accessible to the public with close supervision. The order

must be mailed to the User by certified mail, return receipt requested. Ifthe User is a business, send

a certified copy to the attention of a person at the business.]

Certification of Mailing

On ,2010, at _ A.M./P.M., I mailed a certified copy ofTrading Agreement and

Order No. 8296 to the following, by placing it in the [U.S. mail/interdepartmental

mail]:

On ,2010, at _ A.M./P.M., I mailed a plain copy ofTrading Agreement and

Order No. 8296 to the following, by placing it in the [U.S. mail/interdepartmental mail]:

Signature:

Name:

Title:

Date: