UNITED STATES ENVIRONMENTAL PROTECTION AGENCY

REGION IX AIR DIVISION

Technical Support Document 

for

EPA’s Proposed Rulemaking

for the

California State Implementation Plan

San Joaquin Valley Unified Air Pollution Control District 

Rule 4401

Steam Enhanced Crude Oil Production Wells

Prepared by: Joanne Wells

Reviewed by: Andrew Steckel

August 2011
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RULE IDENTIFICATION

Agency: San Joaquin Valley Unified Air Pollution Control District 

(SJVUAPCD)

SIP Approved Rule: Rule 4401 - Steam Enhanced Crude Oil Production Wells 

Adopted – December 14, 2006

Submitted – May 8, 2007

Approved – January 26, 2010, effective February 25, 2010

(75 FR 3996)

Subject of this TSD: Rule 4401 – Steam-Enhanced Crude Oil Production Wells 

Adopted – June 16, 2011

Submitted – July 28, 2011

BACKGROUND 

On January 26, 2010, EPA finalized a limited approval/limited disapproval of 

SJVUAPCD Rule 4401. EPA found that, while the rule strengthened the SIP, some 

provisions of the rule did not fully satisfy requirements of section 110 and part D of the 

Clean Air Act (CAA or the Act). The limited disapproval was based on a deficiency in 

Section 6.2.4 of the rule. This deficiency is discussed further in the Rule Summary 

section below.

EPA’s limited approval/limited disapproval started sanctions clocks under section 179 of 

the Act and our regulations at 40 CFR 52.31. Unless EPA approves a subsequent SIP 

revision which corrects the deficiencies, sanctions will become effective within 18 

months for offset sanctions (August 25, 2011) and 24 months for highway sanctions 

(February 25, 2012).

RULE SUMMARY

SJVUAPCD Rule 4401, Steam-Enhanced Crude Oil Production Wells, is designed to 

limit volatile organic compound (VOC) emissions at steam-enhanced crude oil 

production wells. This rule also applies to any VOC collection and control systems

associated with these wells. The rule establishes requirements for inspection, component 

replacement, re-inspection, maintenance, repair periods, and replacement/retrofit for 

leaking components. It also includes administrative and recordkeeping requirements, 

such as inspection logs.

The purpose of the most recent rule amendment is to correct the rule deficiency in 

Section 6.2.4 of the rule and to clarify existing rule provisions by removing expired 

language throughout the rule and renumbering the remaining sections as needed. The 

following is a discussion of the deficiency identified by EPA in Section 6.2.4 and the

revisions made to Section 6.2, including Section 6.2.4, to correct it.

Section 6.2 of Rule 4401, submitted in May 2007, required annual source testing but 

allowed SJVUAPCD, the California Air Resources Board (CARB), and EPA to waive 
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this test requirement. Section 6.2.4 stated that waiver requests would be deemed 

approved by EPA if EPA did not object within 45 days of receipt. However, as EPA 

explained in its June 2009 Technical Support Document (TSD) analyzing Rule 4401, 

Section 6.2.4 effectively provided executive officer discretion in conflict with the 

requirements of CAA section 110(a) and (i) and longstanding national policy set forth in 

the Bluebook and Little Bluebook. 

To correct this deficiency, SJVUAPCD deleted Sections 6.2.3 and 6.2.4 and revised

Section 6.2.2. Section 6.2.2 now provides that, “[i]f approved by the APCO, a VOC 

collection and control system is not subject to Section 6.2.1 [i.e. annual compliance 

source testing requirements] if all uncondensed VOC emissions collected by the system 

are controlled by a device meeting one of the requirements in Sections 6.2.2.1 through 

6.2.2.3.” Sections 6.2.2.1 through 6.2.2.3 refer to other SJVUAPCD rules that limit

emissions from internal combustion engines, other combustion devices (e.g. boilers and 

steam generators) and flares. Thus, under the revised rule, a VOC collection and control 

system may be exempted from source testing requirements if all the VOC emissions

collected by the system are controlled by a device that is regulated under one of the 

specified rules.

RULE EVALUATION CRITERIA

We used the following criteria to evaluate the submitted rule:

1. Enforceability - CAA section 110(a)(2)(A) requires that regulations submitted to 

EPA for approval into a SIP must be clear and legally enforceable.

2. Rule Stringency – CAA section 172(c)(1) requires nonattainment areas to 

implement all reasonably available control measures (RACM), including such 

reductions in emissions from existing sources in the area as may be obtained 

through the adoption, at a minimum, of reasonably available control technology 

(RACT), as expeditiously as practicable. In addition, under CAA section 

182(b)(2), ozone nonattainment areas classified as moderate or above must 

implement RACT for all VOC sources covered by a CTG document and all other 

major sources of VOCs. The SJVUAPCD regulates an ozone nonattainment area 

that is classified as Extreme under both the one-hour ozone and eight-hour ozone 

standards. 40 C.F.R. § 81.305 (2010).1Therefore, submitted Rule 4401 must fulfill 

RACT requirements for VOCs.

 

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SJVUAPCD also regulates a nonattainment area under the 2006 24-Hour PM2.5 National 

Ambient Air Quality Standard (NAAQS). 40 C.F.R. § 81.305 (2010). By December 14, 

2012, California must submit a revision to the State Implementation Plan (SIP) for this 

nonattainment area that provides for, among other things, implementation of all RACM

as expeditiously as practicable (including RACT for existing sources). CAA § 

172(a)(2)(A), (b) & (c)(1), 74 FR 58689 (Nov. 13, 2009). EPA will take action on this 

RACM demonstration in a separate rulemaking.
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3. SIP Revisions - CAA section 110(l) prohibits EPA from approving any SIP 

revision that would interfere with any applicable requirement concerning 

attainment and reasonable further progress (RFP) or any other applicable 

requirement of the CAA. In addition, CAA section 193 prohibits the modification 

of any SIP-approved control requirement in effect before November 15, 1990, in a 

nonattainment area.

In applying these criteria to the submitted rule, we used the following guidance and 

policy documents to inform our evaluation:

Issues Relating to VOC Regulation, Cutpoints, Deficiencies, and Deviations (the 

"Blue Book"), US EPA, OAQPS (May 25, 1988).

Guidance Document for Correcting Common VOC and Other Rule Deficiencies, 

EPA Region IX (August 21, 2001, the “Little Bluebook”).

State Implementation Plans; General Preamble for the Implementation of Title I 

of the Clean Air Act Amendments of 1990, 57 FR 13498 (April 16, 1992); 57 FR 

18070 (April 28, 1992).

Final Rule To Implement the 8-Hour Ozone NAAQS – Phase 2, 70 FR 71612 

(Nov. 25, 2005).

RULE EVALUATION 

1. Enforceability - As stated in the previous evaluation of Rule 4401, the 

recordkeeping and other compliance provisions generally ensure that Rule 

4401 can be enforced adequately. See June 2009 TSD. The revised provision in 

Section 6.2.2 allowing the APCO to exempt certain systems from source 

appropriately limits director’s discretion by ensuring that exempted sources are 

subject to specific restrictions (Sections 6.2.2.1 to 6.2.2.3) under other district 

rules. None of the other revisions made to Rule 4401 affect its’ enforceability. 

Therefore, we propose to determine that submitted Rule 4401 is sufficiently 

clear and enforceable.

2. Rule Stringency - In our previous evaluation of Rule 4401, we concurred with 

SJVUAPCD that Rule 4401 fulfills CAA RACT requirements for reasons 

including: (1) Rule 4401 requires significant (e.g., 99%) emissions control, and 

(2) Rule 4401 requirements are as stringent as the requirements applicable to 

similar sources in other large California nonattainment areas. See June 2009

TSD. None of the recent revisions to Rule 4401 undermine its stringency and 

we are not aware of any basis to undermine our previous conclusion that Rule 

4401 fulfills RACT. Therefore, we propose to determine that submitted Rule 

4401 continues to implement RACT for this source category.

3. SIP Revisions - None of the revisions to Rule 4401 relax any of the 

requirements of the version of the rule previously approved into the SIP. We

therefore propose to determine that our approval of the submittal complies with 

CAA sections 110(l) and 193 because the submitted SIP revision: (1) would 

not interfere with the on-going process for ensuring that requirements for RFP 
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and attainment of the NAAQS are met, and (2) is at least as stringent as the 

rule previously approved into the SIP and will insure equivalent or greater 

emission reductions of VOCs.

RULE DEFICIENCIES

We have not identified any deficiencies in Rule 4401 that are sufficient for EPA to 

propose less than full approval. 

ADDITIONAL RECOMMENDATIONS FOR THE NEXT RULE REVISION 

The following recommendations are not currently the basis for rule disapproval, but we

encourage SJVUAPCD to consider them the next time the rule is amended.

1. For clarity and to strengthen enforcement, we recommend adding a definition for 

year.

2. We encourage the district to further study if changing the definitions of critical 

process unit and process unit as proposed in draft rule revisions dated April 5, 

2001, would further strengthen enforceability of Rule 4401. 

3. We encourage the district to further study if changes, also proposed in draft rule 

revisions dated April 5, 2011, to language in Sections 4.6.2 which exempts 

“component buried underground” and to Section 5.2.1 which addresses when 

leaks must be repaired, would strengthen enforceability. 

4. For clarity and enforceability, we recommend that the district replace “by the 

APCO” in Section 6.2.2 with “in writing by the APCO” and add the following 

language to Section 6.1.3 “and/or keep a copy of the APCO approval for VOC 

collection and control systems not subject to source testing under Section 6.2.1”.

EPA ACTION

The submitted Rule 4401 will incorporate revisions to Section 6.2.4 that correct the 

deficiency identified in the limited disapproval on January 26, 2010 into the SIP. The 

submitted rule fulfills the relevant CAA requirements as discussed above. Therefore, 

EPA staff recommends full approval of Rule 4401 pursuant to CAA section 110(k)(3).

Because of the recommendation for full approval, EPA staff also recommends 

simultaneously issuing an interim final determination to defer the imposition of sanctions 

pending EPA’s final approval of Rule 4401. The issuance of the interim final 

determination to defer sanctions is based on a finding that it is more likely than not that 

Rule 4401 fulfills the relevant CAA section 110 and part D requirements. EPA staff 

believes relief from sanctions should be provided as quickly as possible. 

ADDITIONAL REFERENCES
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1. SJVUAPCD Rule 4401 - Steam Enhanced Crude Oil Production Wells, as 

submitted on July 28, 2011

2. SJVUAPCD Rule 4401 - Steam Enhanced Crude Oil Production Wells, as given 

limited approval and limited disapproval on January 26, 2010. 

3. SJVUAPCD “Final Draft Staff Report For Draft Amendments to Rule 4401 

(Steam-Enhanced Crude Oil Production Wells), May 19. 2011.

4. EPA Technical Support Document, Rule 4401, Steam-Enhanced Crude Oil 

Production Wells, June 2009.