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 issued a limited approval/limited disapproval of 

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

rule provisions did not fully satisfy requirements of section 110 and part D of 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 CRF 52.31. Unless EPA approves a 

subsequent SIP revision which corrects the deficiencies, sanctions would 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 a rule 

designed to limit volatile organic compound (VOC) emissions at these sites. This 

rule also applies to any associated VOC collection and control systems. The rule 

establishes requirements for inspection, component replacement, re-inspection, 

maintenance, repair periods, and replacement/retrofit for leaking components. It 

includes administrative and recordkeeping requirements, such as inspection logs.

The purpose of this rule amendment is to correct the rule deficiency in Section 

6.2.4 as identified by EPA and to clarify existing rule provisions by removing 

expired language throughout the rule, renumbering those 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, CARB and EPA to waive this test requirement. Section 
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6.2.4 stated that waiver requests are deemed approved by EPA, if EPA does not 

object within 45 days of receipt. However, EPA noted in the Technical Support 

Document (TSD) dated, June 2009, that the local agency cannot obligate EPA’s 

decision in this manner and that Section 6.2.4 effectively provided executive 

officer discretion in conflict with §CAA 110(a) and (i) and longstanding national

policy as discussed in The Bluebook and Little Bluebook. 

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

the language stating that waiver requests are deemed approved by EPA, if EPA 

does not object within 45 days of receipt. Section 6.2.2 was revised to state that if 

approved by the APCO, a VOC collection and control system is not subject to 

source testing (Section 6.2.1) 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 to 6.2.2.3. These sections refer to other SJVUAPCD rules controlling the 

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

boilers and steam generators) and flares. This demonstrates that if the collected 

VOC emissions are feed to one of these combustion devices, the emissions from 

that device are regulated by other district rules. Therefore, source testing under 

Rule 4401 for these devices is not required.

EPA EVALUATION -

The following criteria were used to evaluate the submitted rule:

1. Enforceability - The Bluebook (Issues Relating to VOC Regulation 

Cutpoints, Deficiencies, and Deviations, EPA, May 25, 1988) and the Little 

Bluebook (Guidance Document for Correcting Common VOC & Other Rule 

Deficiencies, EPA Region 9, August 21, 2001) were used to help evaluate 

compliance with the CAA §110(a)(2)(A) requirement for enforceability. 

2. Rule Stringency – SJVUAPCD regulates an extreme nonattainment area for 

8 hour ozone (see 40 CFR part 81) and therefore must fulfill the 

requirements of RACT. No federal guidelines or CTGs were found that 

address these specific sources. Other state and local rules for this category 

were used to help evaluate the RACT requirements of CAA §182(b)(2).

3. SIP Relaxation - Where previous versions of rules have been SIP approved, 

new submittals must comply with CAA §110(l) and §193 regarding SIP 

relaxations.

As stated in the previous evaluation of Rule 4401 (See TSD dated June 2009), the 

recordkeeping and other compliance provisions generally ensure that the 

submitted rule can be enforced adequately. In addition, it was found that there are 

no national guidance (e.g., CTG or ACT) or regulation (e.g., NSPS or NESHAP) to 

help define RACT for this activity and overall Rule 4401’s requirements are as 

stringent as other large California nonattainment areas. Therefore it was 

determined that Rule 4401 generally implements relevant RACT requirements.
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None of the revisions made to Rule 4401 affect its’ enforceability, implementing 

RACT, or relax any requirements. The revised provision in Section 6.2.2 allowing 

the APCO to approve that source testing is not required, no longer falls under 

APCO discretion because of the additional specific restrictions (Sections 6.2.2.1 to 

6.2.2.3) under other district rules also apply. 

RULE DEFICIENCIES – We have not identified any new deficiencies with Rule 

4401 sufficient for EPA to propose less than full approval. 

ADDITIONAL RECOMMENDATIONS FOR THE NEXT RULE REVISION - The 

following revision is not currently the basis for rule disapproval, but is

recommended for 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 §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 §110 and part D requirements of 

the CAA. EPA staff believes relief from sanctions should be provided as quickly 

as possible.

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.