Page 1 of 57

For

1

the reasons stated in the preamble, part 63 of title 

40, chapter I, of the Code of Federal Regulations is amended as 

follows:

PART 63—[AMENDED]

1. The authority citation for part 63 continues to read as 

follows:

Authority: 42 U.S.C. 7401, et seq.

2. Section 63.14 is amended by revising paragraph (p)(2) to 

read as follows:

§63.14 Incorporations by reference.

* * * * *

(p) * * *

(2) Office Of Air Quality Planning And Standards (OAQPS), 

Fabric Filter Bag Leak Detection Guidance, EPA–454/R–98–015, 

September 1997, IBR approved for §§63.548(e)(4), 63.7525(j)(2), 

and 63.11224(f)(2).

* * * * *

3. Part 63 is amended by revising subpart X to read as 

follows: 

Subpart X--National Emission Standards For Hazardous Air 

Pollutants From Secondary Lead Smelting

63.541 Applicability.

63.542 Definitions.

63.543 What are my standards for process vents?

 

1

Note that the EPA is reprinting portions of the language from the 1997 

NESHAP here so the entire rule appears in one place, for readers’ 

convenience. The EPA is not amending, reopening or otherwise reconsidering 

these reprinted portions of the 1997 rule.
Page 2 of 57

63.544 What are my total enclosure standards?

63.545 What are my standards for fugitive dust sources?

63.546 Compliance dates.

63.547 Test methods.

63.548 Monitoring requirements.

63.549 Notification requirements.

63.550 Recordkeeping and reporting requirements.

63.551 Implementation and enforcement.

63.552 Affirmative Defense to Civil Penalties for Exceedance of 

Emissions Limit During Malfunction

Tables to Subpart X

Table 1 to Subpart X of Part 63—General Provisions Applicability 

to Subpart X 

Table 2 to Subpart X of Part 63—Emissions limits for Secondary 

Lead Smelting Furnaces

Table 3 to Subpart X of Part 63—Toxic Equivalency Factors

Subpart X—National Emission Standards For Hazardous Air 

Pollutants From Secondary Lead Smelting

§63.541 Applicability.

(a) You are subject to this subpart if you own or operate 

any of the following affected sources at a secondary lead 

smelter: blast, reverberatory, rotary, and electric furnaces; 

refining kettles; agglomerating furnaces; dryers; process 

fugitive emissions sources; buildings containing lead bearing 

materials; and fugitive dust sources. The provisions of this 

subpart do not apply to primary lead processors, lead refiners, 

or lead remelters.

(b) Table 1 to this subpart specifies the provisions of 

subpart A of this part that apply to owners and operators of 

secondary lead smelters subject to this subpart.
Page 3 of 57

(c) If you are subject to the provisions of this subpart, 

you are also subject to title V permitting requirements under 40 

CFR parts 70 or 71, as applicable. 

(d) Emissions standards in this subpart apply at all times. 

§63.542 Definitions.

Terms used in this subpart are defined in the Clean Air 

Act, in subpart A of this part, or in this section as follows:

Affected source means any of the following sources at a 

secondary lead smelter: blast, reverberatory, rotary, and 

electric furnaces; refining kettles; agglomerating furnaces; 

dryers; process fugitive emissions sources; buildings containing 

lead bearing materials; and fugitive dust sources.

Affirmative defense means, in the context of an enforcement 

proceeding, a response or defense put forward by a defendant, 

regarding which the defendant has the burden of proof, and the 

merits of which are independently and objectively evaluated in a 

judicial or administrative proceeding.

Agglomerating furnace means a furnace used to melt into a 

solid mass flue dust that is collected from a baghouse.

Bag leak detection system means an instrument that is 

capable of monitoring particulate matter (dust) loadings in the 

exhaust of a baghouse in order to detect bag failures. A bag 

leak detection system includes, but is not limited to, an 

instrument that operates on triboelectric, light scattering, 
Page 4 of 57

transmittance or other effect to monitor relative particulate 

matter loadings.

Battery breaking area means the plant location at which 

lead-acid batteries are broken, crushed, or disassembled and 

separated into components.

Blast furnace means a smelting furnace consisting of a 

vertical cylinder atop a crucible, into which lead-bearing 

charge materials are introduced at the top of the furnace and 

combustion air is introduced through tuyeres at the bottom of 

the cylinder, and that uses coke as a fuel source and that is 

operated at such a temperature in the combustion zone (greater 

than 980 Celsius) that lead compounds are chemically reduced to 

elemental lead metal.

Blast furnace charging location means the physical opening 

through which raw materials are introduced into a blast furnace.

Collocated blast furnace and reverberatory furnace means 

operation at the same location of a blast furnace and a 

reverberatory furnace where the vent streams of the furnaces are 

mixed before cooling, with the volumetric flow rate discharged 

from the blast furnace being equal to or less than that 

discharged from the reverberatory furnace.

Dryer means a chamber that is heated and that is used to 

remove moisture from lead-bearing materials before they are 

charged to a smelting furnace.
Page 5 of 57

Dryer transition equipment means the junction between a 

dryer and the charge hopper or conveyor, or the junction between 

the dryer and the smelting furnace feed chute or hopper located 

at the ends of the dryer.

Electric furnace means a smelting furnace consisting of a 

vessel into which reverberatory furnace slag is introduced and 

that uses electrical energy to heat the reverberatory furnace 

slag to such a temperature (greater than 980 Celsius) that lead 

compounds are reduced to elemental lead metal.

Fugitive dust source means a stationary source of hazardous 

air pollutant emissions at a secondary lead smelter that is not 

associated with a specific process or process fugitive vent or 

stack. Fugitive dust sources include, but are not limited to, 

roadways, storage piles, lead bearing material handling transfer 

points, lead bearing material transport areas, lead bearing 

material storage areas, other lead bearing material process 

areas, and buildings.

Furnace and refining/casting area means any area of a 

secondary lead smelter in which:

(1) Smelting furnaces are located; 

(2) Refining operations occur; or

(3) Casting operations occur.

Lead alloy means an alloy in which the predominant 

component is lead.
Page 6 of 57

Lead bearing material means material with a lead content 

equal to or greater than 5 mg/l as measured by EPA Method 1311 

(Under Method 1311, only materials with at least 100 ppm lead 

will be considered to be lead bearing).

Leeward wall means the furthest exterior wall of a total 

enclosure that is opposite the windward wall. 

Maintenance activity means any of the following routine 

maintenance and repair activities that could generate fugitive 

lead dust: 

(1) Replacement or repair of refractory, or any internal or 

external part of equipment used to process, handle or control 

lead-containing materials. 

(2) Replacement of any duct section used to convey leadcontaining exhaust. 

(3) Metal cutting or welding that penetrates the metal 

structure of any equipment, and its associated components, used 

to process lead-containing material such that lead dust within 

the internal structure or its components can become fugitive 

lead dust. 

(4) Resurfacing, repair or removal of ground, pavement, 

concrete, or asphalt. 

Materials storage and handling area means any area of a 

secondary lead smelter in which lead-bearing materials 

(including, but not limited to, broken battery components, 
Page 7 of 57

reverberatory furnace slag, flue dust, and dross) are stored or 

handled between process steps including, but not limited to, 

areas in which materials are stored in open piles, bins, or 

tubs, and areas in which material is prepared for charging to a 

smelting furnace.

Natural draft opening means any permanent opening in an 

enclosure that remains open during operation of the facility and 

is not connected to a duct in which a fan is installed. 

New source means any affected source at a secondary lead 

smelting facility the construction or reconstruction of which is 

commenced after May 19, 2011. A building that is constructed for 

the purpose of controlling fugitive emissions from an existing 

source is not considered to be a new source.

Partial enclosure means a structure comprised of walls or 

partitions on at least three sides or three-quarters of the 

perimeter surrounding stored materials or process equipment to 

prevent the entrainment of particulate matter into the air. 

Pavement cleaning means the use of vacuum equipment, water 

sprays, or a combination thereof to remove dust or other 

accumulated material from the paved areas of a secondary lead 

smelter.

Plant roadway means any area of a secondary lead smelter 

outside of a total enclosure that is subject to vehicle traffic, 

including traffic by forklifts, front-end loaders, or vehicles 
Page 8 of 57

carrying whole batteries or cast lead ingots. Excluded from this 

definition are employee and visitor parking areas, provided they 

are not subject to traffic by vehicles carrying lead-bearing 

materials.

Pressurized dryer breaching seal means a seal system 

connecting the dryer transition pieces which is maintained at a 

higher pressure than the inside of the dryer. 

Process fugitive emissions source means a source of 

hazardous air pollutant emissions at a secondary lead smelter 

that is associated with lead smelting or refining, but is not 

the primary exhaust stream from a smelting furnace, and is not a 

fugitive dust source. Process fugitive emissions sources 

include, but are not limited to, smelting furnace charging 

points, smelting furnace lead and slag taps, refining kettles, 

agglomerating furnaces, and drying kiln transition pieces.

Process vent means furnace vents, dryer vents, 

agglomeration furnace vents, vents from battery breakers, vents 

from buildings containing lead bearing material, and any 

ventilation system controlling lead emissions.

Refining kettle means an open-top vessel that is 

constructed of cast iron or steel and is indirectly heated from 

below and contains molten lead for the purpose of refining and 

alloying the lead. Included are pot furnaces, receiving kettles, 

and holding kettles.
Page 9 of 57

Reverberatory furnace means a refractory-lined furnace that 

uses one or more flames to heat the walls and roof of the 

furnace and lead-bearing scrap to such a temperature (greater 

than 980 Celsius) that lead compounds are chemically reduced to 

elemental lead metal.

Rotary furnace (also known as a rotary reverberatory 

furnace) means a furnace consisting of a refractory-lined 

chamber that rotates about a horizontal axis and that uses one 

or more flames to heat the walls of the furnace and lead-bearing 

scrap to such a temperature (greater than 980 Celsius) that lead 

compounds are chemically reduced to elemental lead metal.

Secondary lead smelter means any facility at which leadbearing scrap material, primarily, but not limited to, lead-acid 

batteries, is recycled into elemental lead or lead alloys by 

smelting.

Shutdown means the period when no lead bearing materials 

are being fed to the furnace and smelting operations have ceased 

during which the furnace is cooled from steady-state operating 

temperature to ambient temperature. 

Smelting means the chemical reduction of lead compounds to 

elemental lead or lead alloys through processing in hightemperature (greater than 980 Celsius) furnaces including, but 

not limited to, blast furnaces, reverberatory furnaces, rotary 

furnaces, and electric furnaces.
Page 10 of 57

Startup means the period when no led bearing materials have 

been fed to the furnace and smelting operations have not yet 

commenced during which the furnace is heated from ambient 

temperature to steady-state operating temperature.

Total enclosure means a containment building that is 

completely enclosed with a floor, walls, and a roof to prevent 

exposure to the elements and to assure containment of lead 

bearing material with limited openings to allow access and 

egress for people and vehicles. The total enclosure must provide 

an effective barrier against fugitive dust emissions such that 

the direction of air flow through any openings is inward and the 

enclosure is maintained under constant negative pressure. 

Vehicle wash means a device for removing dust and other 

accumulated material from the wheels, body, and underside of a 

vehicle to prevent the inadvertent transfer of lead contaminated 

material to another area of a secondary lead smelter or to 

public roadways.

Wet suppression means the use of water, water combined with 

a chemical surfactant, or a chemical binding agent to prevent 

the entrainment of dust into the air from fugitive dust sources.

Windward wall means the exterior wall of a total enclosure 

that is most impacted by the wind in its most prevailing 

direction determined by a wind rose using available data from 

the closest representative meteorological station. 
Page 11 of 57

§63.543 What are my standards for process vents?

(a) For existing sources, you must maintain the 

concentration of lead compounds in any process vent gas at or 

below 1.0 milligrams of lead per dry standard cubic meter 

(0.00043 grains of lead per dry standard cubic foot). You must 

maintain the flow-weighted average concentration of lead 

compounds in vent gases from a secondary lead smelting facility 

at or below 0.20 milligrams of lead per dry standard cubic meter 

(0.000087 grains of lead per dry standard cubic foot).

(1) You must demonstrate compliance with the flow weighted 

average emissions limit on a 12-month rolling average basis, 

calculated monthly using the most recent test data available. 

(2) Until 12 monthly weighted average emissions rates have 

been accumulated, calculate only the monthly average weighted 

emissions rate.

(3) You must use Equation 1 of this section to calculate 

the flow-weighted average concentration of lead compounds from 

process vents:







 n

i

i

n

i

i i

FWA

F

F C

C

1

(Eq. 1)

Where: 
Page 12 of 57

CFWA = Flow-weighted average concentration of all process 

vents.

n = Number of process vents.

Fi = Flow rate from process vent i in dry standard cubic 

feet per minute, as measured during the most recent 

compliance test.

Ci = Concentration of lead in process vent i, as measured 

during the most recent compliance test.

(4) Each month, you must use the concentration of lead and 

flow rate obtained during the most recent compliance test 

performed prior to or during that month to perform the 

calculation using Equation 1 of this section.

(5) If a continuous emissions monitoring system (CEMS) is 

used to measure the concentration of lead in a vent, the monthly 

average lead concentration and monthly average flow rate must be 

used rather than the most recent compliance test data. 

(b) For new sources that begin construction or 

reconstruction after May 19, 2011 you must maintain the 

concentration of lead compounds in any process vent gas at or 

below 0.20 milligrams of lead per dry standard cubic meter 

(0.000087 grains of lead per dry standard cubic foot). 

(c) You must meet the applicable emissions limits for total 

hydrocarbons and dioxins and furans from furnace sources 

specified in Table 2 of this subpart. There are no standards for 

dioxins and furans during periods of startup and shutdown.
Page 13 of 57

(d) If you combine furnace emissions from multiple types of 

furnaces and these furnaces do not meet the definition of 

collocated blast and reverberatory furnaces, you must calculate 

your emissions limit for the combined furnace stream using 

Equation 2 of this section.







 n

i

i

n

i

i ELi

EL

F

F C

C

1

(Eq. 2)

Where: 

CEL = Flow-weighted average emissions limit (concentration) 

of combined furnace vents.

n = Number of furnace vents.

Fi = Flow rate from furnace vent i in dry standard cubic 

feet per minute.

CEli = Emissions limit (concentration) of pollutant in 

furnace vent i as specified in Table 2 of this 

subpart.

(e) If you combine furnace emissions with the furnace 

charging process fugitive emissions and discharge them to the 

atmosphere through a common emissions point, you must 

demonstrate compliance with the applicable total hydrocarbons 

concentration limit specified in paragraph (c) of this section 

at a location downstream from the point at which the two 

emissions streams are combined.
Page 14 of 57

(f) If you do not combine the furnace charging process 

fugitive emissions with the furnace process emissions, and 

discharge such emissions to the atmosphere through separate 

emissions points, you must maintain the total hydrocarbons 

concentration in the exhaust gas at or below 20 parts per 

million by volume, expressed as propane and corrected to 4 

percent carbon dioxide.

(g) Following the initial performance or compliance test to 

demonstrate compliance with the lead emissions limits specified 

in paragraph (a) or (b) of this section, you must conduct

performance tests according to the schedule in paragraph (g)(1) 

or (g)(2) of this section.

(1) Conduct an annual performance test for lead compounds 

from each process vent (no later than 12 calendar months 

following the previous compliance test), unless you install and 

operate a CEMS meeting the requirements of §63.8.

(2) If an annual compliance test demonstrates that a 

process vent emitted lead compounds at 0.10 milligram of lead 

per dry standard cubic meter or less during the time of the 

annual compliance test, you may submit a written request to the 

Administrator applying for an extension of up to 24 calendar 

months from the previous compliance test to conduct the next 

compliance test for lead compounds. 
Page 15 of 57

(h) Following the initial performance or compliance test to 

demonstrate compliance with the total hydrocarbons emissions 

limits in paragraphs (c) and (f) of this section, you must 

conduct an annual performance test for total hydrocarbons 

emissions from each process vent that has established limits for 

total hydrocarbons (no later than 12 calendar months following 

the previous compliance test), unless you install and operate a 

CEMS meeting the requirements of §63.8. If an annual compliance 

test demonstrates that a process vent emitted total hydrocarbons 

at less than 50 percent of the allowable limit during the time 

of the annual compliance test, you may submit a written request 

to the Administrator applying for an extension of up to 24 

calendar months from the previous compliance test to conduct the 

next compliance test for total hydrocarbons.

(i) Following the initial performance or compliance test to 

demonstrate compliance with the dioxins and furans emissions 

limits specified in paragraph (c) of this section, you must 

conduct a performance test for dioxins and furans emissions from 

each process vent that has established limits for dioxins and 

furans at least once every 6 years following the previous 

compliance test. 

(j) You must conduct the performance tests specified in 

paragraphs (g) through (i) of this section under maximum

representative operating conditions for the process. During the 
Page 16 of 57

performance test, you may operate the control device at maximum 

or minimum representative operating conditions for monitored

control device parameters, whichever results in lower emission 

reduction. Upon request, you must make available to the 

Administrator such records as may be necessary to determine the 

conditions of performance tests.

(k) At all times, you must operate and maintain any 

affected source, including associated air pollution control 

equipment and monitoring equipment, in a manner consistent with 

safety and good air pollution control practices for minimizing 

emissions. Determination of whether such operation and 

maintenance procedures are being used will be based on 

information available to the Administrator that may include, but 

is not limited to, monitoring results, review of operation and 

maintenance procedures, review of operation and maintenance 

records, and inspection of the source.

(l) If you own or operate a unit subject to emission limits 

in Table 2 of this subpart, you must minimize the unit’s startup 

and shutdown periods following the manufacturer’s recommended 

procedures, if available. You must develop and follow standard 

operating procedures designed to minimize emissions of total 

hydrocarbon for each startup or shutdown scenario anticipated. 

You must submit a signed statement in the Notification of 

Compliance Status report that indicates that you conducted 
Page 17 of 57

startups and shutdowns according to the manufacturer’s 

recommended procedures, if available, and the standard operating 

procedures designed to minimize emissions of total hydrocarbons.

(m) In addition to complying with the applicable emissions 

limits for dioxins and furans listed in Table 2 to this subpart, 

you must operate a process to separate plastic battery casing 

materials from all automotive batteries prior to introducing 

feed into a furnace.

§63.544 What are my total enclosure standards?

(a) You must operate the process fugitive emissions sources 

and fugitive dust sources listed in paragraphs (a)(1) through 

(a)(9) of this section in a total enclosure that is maintained 

at negative pressure at all times and vented to a control device 

designed to capture lead particulate. The total enclosure must 

meet the requirements specified in paragraph (c) of this 

section. 

(1) Smelting furnaces.

(2) Smelting furnace charging areas.

(3) Lead taps, slag taps, and molds during tapping.

(4) Battery breakers.

(5) Refining kettles, casting areas.

(6) Dryers.

(7) Agglomerating furnaces and agglomerating furnace 

product taps.
Page 18 of 57

(8) Material handling areas for any lead bearing materials 

except those listed in paragraph (b) of this section. 

(9) Areas where dust from fabric filters, sweepings or used 

fabric filters are processed. 

(b) Total enclosures are not required in the following 

areas: lead ingot product handling areas, stormwater and 

wastewater treatment areas, intact battery storage areas, areas 

where lead bearing material is stored in closed containers or 

enclosed mechanical conveyors, and areas where clean battery 

casing material is handled. 

(c) You must construct and operate total enclosures for the 

sources listed in paragraph (a) of this section as specified in 

paragraphs (c)(1) and (c)(2) of this section. The total 

enclosure must be free of significant cracks, gaps, corrosion or 

other deterioration that could cause lead bearing material to be 

released from the primary barrier. Measures must be in place to 

prevent the tracking of lead bearing material out of the unit by 

personnel or by equipment used in handling the material. An area 

must be designated to decontaminate equipment and any rinsate 

must be collected and properly managed.

(1) You must ventilate the total enclosure continuously to 

ensure negative pressure values of at least 0.013 mm of mercury 

(0.007 inches of water). 
Page 19 of 57

(2) You must maintain an inward flow of air through all 

natural draft openings. 

(d) You must inspect enclosures and facility structures 

that contain any lead-bearing materials at least once per month.

You must repair any gaps, breaks, separations, leak points or 

other possible routes for emissions of lead to the atmosphere 

within one week of identification unless you obtain approval for 

an extension from the Administrator before the repair period is 

exceeded. 

§63.545 What are my standards for fugitive dust sources?

(a) You must prepare, and at all times operate according 

to, a standard operating procedures manual that describes in 

detail the measures that will be put in place and implemented to 

control the fugitive dust emissions from the sources listed in 

paragraphs (a)(1) through (a)(7) of this section.

(1) Plant roadways.

(2) Plant buildings.

(3) Accidental releases.

(4) Battery storage area.

(5) Equipment maintenance.

(6) Material storage areas.

(7) Material handling areas.

(b) You must submit the standard operating procedures 

manual to the Administrator or delegated authority for review 
Page 20 of 57

and approval when initially developed and any time changes are 

made. 

(c) The controls specified in the standard operating 

procedures manual must at a minimum include the requirements 

specified in paragraphs (c)(1) through (c)(7) of this section.

(1) Cleaning. Where a cleaning practice is specified, you 

must clean by wet wash or a vacuum equipped with a filter rated 

by the manufacturer to achieve 99.97 percent capture efficiency 

for 0.3 micron particles in a manner that does not generate 

fugitive lead dust.

(2) Plant roadways and paved areas. You must pave all areas 

subject to vehicle traffic and you must clean the pavement twice 

per day, except on days when natural precipitation makes 

cleaning unnecessary or when sand or a similar material has been 

spread on plant roadways to provide traction on ice or snow. 

Limited access and limited use roadways such as unpaved roads to 

remote locations on the property may be exempt from this 

requirement if they are used infrequently (no more than one 

round trip per day). 

(3) Accidental releases. You must initiate cleaning of all 

affected areas within one hour after detection of any accidental 

release of lead dust that exceeds 10 pounds (the Comprehensive 

Environmental Response, Compensation, and Liability Act (CERCLA) 

reportable quantity for lead at 40 CFR 302.4).
Page 21 of 57

(4) Battery storage areas. You must inspect any batteries 

that are not stored in a total enclosure once each week and move 

any broken batteries to an enclosure within 72 hours of 

identification. You must clean residue from broken batteries 

within 72 hours of identification. 

(5) Materials storage and handling areas. You must wash 

each vehicle at each exit of the material storage and handling 

areas. The vehicle wash must include washing of tires, 

undercarriage and exterior surface of the vehicle followed by 

vehicle inspection. 

(6) Equipment maintenance. You must perform all maintenance 

activities that could generate lead dust in a manner that 

minimizes emissions of fugitive dust. This must include one or 

more of the following: 

(i) Performing maintenance inside a total permanent

enclosure maintained at negative pressure.

(ii) Performing maintenance inside a temporary enclosure 

and use a vacuum system either equipped with a filter rated by 

the manufacturer to achieve a capture efficiency of 99.97 

percent for 0.3 micron particles or routed to an existing 

control device permitted for this activity. 

(iii) Performing maintenance inside a partial enclosure and 

use of wet suppression sufficient to prevent dust formation.
Page 22 of 57

(iv) Decontamination of equipment prior to removal from an 

enclosure. 

(v) Immediate repair of ductwork or structure leaks without 

an enclosure if the time to construct a temporary enclosure 

would exceed the time to make a temporary or permanent repair, 

or if construction of an enclosure would cause a higher level of 

emissions than if an enclosure were not constructed. 

(vi) Activities required for inspection of fabric filters 

and maintenance of filters that are in need of removal and 

replacement are not required to be conducted inside of total 

enclosures. Used fabric filters must be placed in sealed plastic 

bags or containers prior to removal from a baghouse. 

(7) Material transport. You must collect and transport all 

lead bearing dust i.e. lead bearing material which is a dust)

within closed conveyor systems or in sealed, leak-proof 

containers unless the collection and transport activities are 

contained within a total enclosure. All other lead bearing 

material must be contained and covered for transport outside of 

a total enclosure in a manner that prevents spillage or dust 

formation. Intact batteries and lead ingot product are exempt 

from the requirement to be covered for transport. 

(d) Your standard operating procedures manual must specify 

that records be maintained of all pavement cleaning, vehicle 
Page 23 of 57

washing, and battery storage inspection activities performed to 

control fugitive dust emissions. 

(e) You must pave all grounds on the facility or plant 

groundcover sufficient to prevent wind-blown dust. You may use 

dust suppressants on unpaved areas that will not support a 

groundcover (e.g., roadway shoulders, steep slopes, limited 

access and limited use roadways).

(f) As provided in §63.6(g), as an alternative to the 

requirements specified in this section, you can demonstrate to 

the Administrator (or delegated State, local, or Tribal 

authority) that an alternative measure(s) is equivalent or 

better than a practice(s) described in this section.

§63.546 Compliance dates.

(a) For affected sources that commenced construction or 

reconstruction on or before May 19, 2011, you must demonstrate 

compliance with the requirements of this subpart no later than 

[INSERT THE DATE TWO YEARS AFTER THE DATE OF PUBLICATION OF THIS

FINAL RULE IN THE FEDERAL REGISTER]. 

(b) For affected sources that commenced construction or 

reconstruction after May 19, 2011, you must demonstrate 

compliance with the requirements of this subpart by [INSERT THE 

DATE OF PUBLICATION OF THIS FINAL RULE IN THE FEDERAL REGISTER] 

or upon startup of operations, whichever is later.

§63.547 Test methods.
Page 24 of 57

(a) You must use the test methods from appendix A of part 

60 as listed in paragraphs (a)(1) through (a)(5) of this section 

to determine compliance with the emissions standards for lead 

compounds specified in §63.543(a) and (b). 

(1) EPA Method 1 at 40 CFR part 60, appendix A-1 to select 

the sampling port location and the number of traverse points.

(2) EPA Method 2 at 40 CFR part 60, appendix A-1 or EPA 

Method 5D at 40 CFR part 60, appendix A-3, section 8.3 for 

positive pressure fabric filters, to measure volumetric flow 

rate.

(3) EPA Method 3, 3A, or 3B at 40 CFR part 60, appendix A-2 

to determine the dry molecular weight of the stack gas.

(4) EPA Method 4 at 40 CFR part 60, appendix A-3 to 

determine moisture content of the stack gas.

(5) EPA Method 12 or Method 29 at 40 CFR part 60, appendix 

A-8 to determine compliance with the lead compound emissions 

standards. The minimum sample volume must be 2.0 dry standard 

cubic meters (70 dry standard cubic feet) for each run. You must 

perform three test runs and you must determine compliance using 

the average of the three runs.

(b) You must use the following test methods in appendix A 

of part 60 listed in paragraphs (b)(1) through (b)(4) of this 

section, as specified, to determine compliance with the 
Page 25 of 57

emissions standards for total hydrocarbons specified in 

§63.543(c) through (f).

(1) EPA Method 1 at 40 CFR part 60, appendix A-1 to select 

the sampling port location and number of traverse points.

(2) The Single Point Integrated Sampling and Analytical 

Procedure of Method 3B to measure the carbon dioxide content of 

the stack gases when using either EPA Method 3A or 3B at 40 CFR 

part 60, appendix A-2.

(3) EPA Method 4 at 40 CFR part 60, appendix A-3 to measure 

moisture content of the stack gases. 

(4) EPA Method 25A at 40 CFR part 60, appendix A-7 to 

measure total hydrocarbons emissions. The minimum sampling time 

must be 1 hour for each run. You must perform a minimum of three 

test runs. You must calculate a 1-hour average total 

hydrocarbons concentration for each run and use the average of 

the three 1-hour averages to determine compliance. 

(c) You must correct the measured total hydrocarbons 

concentrations to 4 percent carbon dioxide as specified in 

paragraphs (c)(1) through (c)(3) of this section.

(1) If the measured percent carbon dioxide is greater than 

0.4 percent in each compliance test, you must determine the 

correction factor using Equation 2 of this section.

2

4.0

CO

F  (Eq. 2)
Page 26 of 57

Where:

F = Correction factor (no units).

CO2 = Percent carbon dioxide measured using EPA Method 3A or 

3B at 40 CFR part 60, appendix A-2, where the measured 

carbon dioxide is greater than 0.4 percent.

(2) If the measured percent carbon dioxide is equal to or 

less than 0.4 percent, you must use a correction factor (F) of 

10.

(3) You must determine the corrected total hydrocarbons 

concentration by multiplying the measured total hydrocarbons 

concentration by the correction factor (F) determined for each 

compliance test.

(d) You must use the following test methods in appendix A 

of part 60 listed in paragraphs (d)(1) through (d)(5) of this 

section, as specified, to determine compliance with the 

emissions standards for dioxins and furans specified in 

§63.543(c).

(1) EPA Method 1 at 40 CFR part 60, appendix A-1 to select 

the sampling port location and the number of traverse points.

(2) EPA Method 2 at 40 CFR part 60, appendix A-1 or EPA 

Method 5D at 40 CFR part 60, appendix A-3, section 8.3 for 

positive pressure fabric filters to measure volumetric flow 

rate.
Page 27 of 57

(3) EPA Method 3A or 3B at 40 CFR part 60, appendix A-2 to 

determine the oxygen and carbon dioxide concentrations of the 

stack gas.

(4) EPA Method 4 at 40 CFR part 60, appendix A-3 to 

determine moisture content of the stack gas.

(5) EPA Method 23 at 40 CFR part 60, appendix A-7 to 

determine the dioxins and furans concentration.

(e) You must determine the dioxins and furans toxic 

equivalency by following the procedures in paragraphs (e)(1) 

through (e)(3) of this section.

(1) Measure the concentration of each dioxins and furans 

congener shown in Table 3 of this subpart using EPA Method 23 at 

40 CFR part 60, appendix A-7. You must correct the concentration 

of dioxins and furans in terms of toxic equivalency to 7 percent 

O2 using Equation 3 of this section.

(20.9 % 2)

(20.9 7)

O

Cmeas Cadj





 (Eq. 3)

Where:

Cadj = Dioxins and furans concentration adjusted to 7 

percent oxygen.

Cmeas = Dioxins and furans concentration measured in 

nanograms per dry standard cubic meter.

(20.9–7) = 20.9 percent oxygen − 7 percent oxygen (defined 

oxygen correction basis).

20.9 = Oxygen concentration in air, percent.
Page 28 of 57

%O2 = Oxygen concentration measured on a dry basis, 

percent.

(2) For each dioxins and furans congener measured as 

specified in paragraph (e)(1) of this section, multiply the 

congener concentration by its corresponding toxic equivalency 

factor specified in Table 3 to this subpart.

(3) Sum the values calculated as specified in paragraph 

(e)(2) of this section to obtain the total concentration of 

dioxins and furans emitted in terms of toxic equivalency.

§63.548 Monitoring requirements.

(a) You must prepare, and at all times operate according 

to, a standard operating procedures manual that describes in 

detail procedures for inspection, maintenance, and bag leak 

detection and corrective action plans for all baghouses (fabric 

filters or cartridge filters) that are used to control process 

vents, process fugitive, or fugitive dust emissions from any 

source subject to the lead emissions standards in §§63.543, 

63.544, and 63.545, including those used to control emissions 

from building ventilation. 

(b) You must submit the standard operating procedures 

manual for baghouses required by paragraph (a) of this section 

to the Administrator or delegated authority for review and 

approval.

(c) The procedures that you specify in the standard 

operating procedures manual for inspections and routine 
Page 29 of 57

maintenance must, at a minimum, include the requirements of 

paragraphs (c)(1) through (c)(9) of this section.

(1) Daily monitoring of pressure drop across each baghouse 

cell.

(2) Weekly confirmation that dust is being removed from 

hoppers through visual inspection, or equivalent means of 

ensuring the proper functioning of removal mechanisms.

(3) Daily check of compressed air supply for pulse-jet 

baghouses.

(4) An appropriate methodology for monitoring cleaning 

cycles to ensure proper operation.

(5) Monthly check of bag cleaning mechanisms for proper 

functioning through visual inspection or equivalent means.

(6) Monthly check of bag tension on reverse air and shakertype baghouses. Such checks are not required for shaker-type 

baghouses using self-tensioning (spring loaded) devices.

(7) Quarterly confirmation of the physical integrity of the 

baghouse through visual inspection of the baghouse interior for 

air leaks.

(8) Quarterly inspection of fans for wear, material 

buildup, and corrosion through visual inspection, vibration 

detectors, or equivalent means.

(9) Except as provided in paragraphs (g) and (h) of this 

section, continuous operation of a bag leak detection system, 
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unless a system meeting the requirements of paragraph (m) of 

this section for a continuous emissions monitoring system is 

installed for monitoring the concentration of lead. 

(d) The procedures you specify in the standard operating 

procedures manual for baghouse maintenance must include, at a 

minimum, a preventative maintenance schedule that is consistent 

with the baghouse manufacturer's instructions for routine and 

long-term maintenance.

(e) The bag leak detection system required by paragraph 

(c)(9) of this section, must meet the specification and 

requirements of paragraphs (e)(1) through (e)(8) of this 

section.

(1) The bag leak detection system must be certified by the 

manufacturer to be capable of detecting particulate matter 

emissions at concentrations of 1.0 milligram per actual cubic 

meter (0.00044 grains per actual cubic foot) or less. 

(2) The bag leak detection system sensor must provide 

output of relative particulate matter loadings.

(3) The bag leak detection system must be equipped with an 

alarm system that will alarm when an increase in relative 

particulate loadings is detected over a preset level.

(4) You must install and operate the bag leak detection 

system in a manner consistent with the guidance provided in 

“Office of Air quality Planning and Standards (OAQPS) Fabric 
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Filter Bag Leak Detection Guidance” EPA-454/R-98-015, September 

1997 (incorporated by reference, see §63.14) and the 

manufacturer's written specifications and recommendations for 

installation, operation, and adjustment of the system.

(5) The initial adjustment of the system must, at a 

minimum, consist of establishing the baseline output by 

adjusting the sensitivity (range) and the averaging period of 

the device, and establishing the alarm set points and the alarm 

delay time.

(6) Following initial adjustment, you must not adjust the 

sensitivity or range, averaging period, alarm set points, or 

alarm delay time, except as detailed in the approved standard 

operating procedures manual required under paragraph (a) of this 

section. You cannot increase the sensitivity by more than 100 

percent or decrease the sensitivity by more than 50 percent over 

a 365 day period unless such adjustment follows a complete 

baghouse inspection that demonstrates that the baghouse is in 

good operating condition.

(7) For negative pressure, induced air baghouses, and 

positive pressure baghouses that are discharged to the 

atmosphere through a stack, you must install the bag leak 

detector downstream of the baghouse and upstream of any wet acid 

gas scrubber.
Page 32 of 57

(8) Where multiple detectors are required, the system's 

instrumentation and alarm may be shared among detectors.

(f) You must include in the standard operating procedures 

manual required by paragraph (a) of this section a corrective 

action plan that specifies the procedures to be followed in the 

case of a bag leak detection system alarm. The corrective action 

plan must include, at a minimum, the procedures that you will 

use to determine and record the time and cause of the alarm as 

well as the corrective actions taken to minimize emissions as 

specified in paragraphs (f)(1) and (f)(2) of this section.

(1) The procedures used to determine the cause of the alarm 

must be initiated within 30 minutes of the alarm.

(2) The cause of the alarm must be alleviated by taking the 

necessary corrective action(s) that may include, but not be 

limited to, those listed in paragraphs (f)(2)(i) through 

(f)(2)(vi) of this section.

(i) Inspecting the baghouse for air leaks, torn or broken 

filter elements, or any other malfunction that may cause an 

increase in emissions.

(ii) Sealing off defective bags or filter media.

(iii) Replacing defective bags or filter media, or 

otherwise repairing the control device.

(iv) Sealing off a defective baghouse compartment.
Page 33 of 57

(v) Cleaning the bag leak detection system probe, or 

otherwise repairing the bag leak detection system.

(vi) Shutting down the process producing the particulate 

emissions.

(g) Baghouses equipped with high efficiency particulate air 

(or HEPA) filters as a secondary filter used to control 

emissions from any source subject to the lead emission standards 

in §65.543(a) or (b), are exempt from the requirement to be 

equipped with a bag leak detection system. You must monitor and 

record the pressure drop across each HEPA filter system daily. 

If the pressure drop is outside the limit(s) specified by the 

filter manufacturer, you must take appropriate corrective 

measures, which may include but not be limited to those given in 

paragraphs (g)(1) through (g)(4) of this section.

(1) Inspecting the filter and filter housing for air leaks 

and torn or broken filters.

(2) Replacing defective filter media, or otherwise 

repairing the control device. 

(3) Sealing off a defective control device by routing air 

to other control devices

(4) Shutting down the process producing the particulate 

emissions. 

(h) Baghouses followed by a wet electrostatic precipitator 

used as a secondary control device for any source subject to the 
Page 34 of 57

lead emission standards in §63.543(a) or (b), are exempt from 

the requirement to be equipped with a bag leak detection system. 

(i) If you use a wet scrubber to control particulate matter 

and metal hazardous air pollutant emissions from a process vent

to demonstrate continuous compliance with the emissions 

standards, you must monitor and record the pressure drop and 

water flow rate of the wet scrubber during the initial 

performance or compliance test conducted to demonstrate 

compliance with the lead emissions limit under §63.543(a) or 

(b). Thereafter, you must monitor and record the pressure drop 

and water flow rate values at least once every hour and you must 

maintain the pressure drop and water flow rate at levels no 

lower than 30 percent below the pressure drop and water flow 

rate measured during the initial performance or compliance test.

(j) You must comply with the requirements specified in 

paragraphs (j)(1) through (j)(4) of this section to demonstrate 

continuous compliance with the total hydrocarbons and dioxins 

and furans emissions standards. During periods of startup and 

shutdown, the requirements of paragraph (j)(4) of this section 

do not apply. Instead, you must demonstrate compliance with the 

standard for total hydrocarbon by meeting the requirements of 

§63.543(l).

(1) Continuous temperature monitoring. You must install, 

calibrate, maintain, and continuously operate a device to 
Page 35 of 57

monitor and record the temperature of the afterburner or furnace 

exhaust streams consistent with the requirements for continuous 

monitoring systems in §63.8.

(2) Prior to or in conjunction with the initial performance 

or compliance test to determine compliance with §63.543(c), you 

must conduct a performance evaluation for the temperature 

monitoring device according to §63.8(e). The definitions, 

installation specifications, test procedures, and data reduction 

procedures for determining calibration drift, relative accuracy, 

and reporting described in Performance Specification 2, 40 CFR 

part 60, appendix B, sections 2, 3, 5, 7, 8, 9, and 10 must be 

used to conduct the evaluation. The temperature monitoring 

device must meet the following performance and equipment 

specifications:

(i) The recorder response range must include zero and 1.5 

times the average temperature identified in paragraph (j)(3) of 

this section.

(ii) The monitoring system calibration drift must not 

exceed 2 percent of 1.5 times the average temperature identified 

in paragraph (j)(3) of this section.

(iii) The monitoring system relative accuracy must not 

exceed 20 percent.

(iv) The reference method must be a National Institute of 

Standards and Technology calibrated reference thermocouple-
Page 36 of 57

potentiometer system or an alternate reference, subject to the 

approval of the Administrator.

(3) You must monitor and record the temperature of the 

afterburner or the furnace exhaust streams every 15 minutes 

during the initial performance or compliance test for total 

hydrocarbons and dioxins and furans and determine an arithmetic 

average for the recorded temperature measurements.

(4) To demonstrate continuous compliance with the standards 

for total hydrocarbons and dioxins and furans, you must maintain 

an afterburner or exhaust temperature such that the average 

temperature in any 3-hour period does not fall more than 28 

°Celsius (50 °Fahrenheit) below the average established in 

paragraph (j)(3) of this section.

(k) You must install, operate, and maintain a digital 

differential pressure monitoring system to continuously monitor 

each total enclosure as described in paragraphs (k)(1) through 

(k)(5) of this section.

(1) You must install and maintain a minimum of one building 

digital differential pressure monitoring system at each of the 

following three walls in each total enclosure that has a total 

ground surface area of 10,000 square feet or more:

(i) The leeward wall.

(ii) The windward wall.
Page 37 of 57

(iii) An exterior wall that connects the leeward and 

windward wall at a location defined by the intersection of a 

perpendicular line between a point on the connecting wall and a 

point on its furthest opposite exterior wall, and intersecting 

within plus or minus ten meters of the midpoint of a straight 

line between the two other monitors specified. The midpoint 

monitor must not be located on the same wall as either of the 

other two monitors.

(2) You must install and maintain a minimum of one building 

digital differential pressure monitoring system at the leeward 

wall of each total enclosure that has a total ground surface 

area of less than 10,000 square feet.

(3) The digital differential pressure monitoring systems 

must be certified by the manufacturer to be capable of measuring 

and displaying negative pressure in the range of 0.01 to 0.2 

millimeters mercury (0.005 to 0.11 inches of water) with a 

minimum accuracy of plus or minus 0.001 millimeters of mercury 

(0.0005 inches of water). 

(4) You must equip each digital differential pressure 

monitoring system with a continuous recorder. 

(5) You must calibrate each digital differential pressure 

monitoring system in accordance with manufacturer’s 

specifications at least once every 12 calendar months or more 

frequently if recommended by the manufacturer.
Page 38 of 57

(l) Except as provided in paragraphs (l)(2) or (l)(3) of 

this section, all new or reconstructed sources subject to the 

requirements under §63.543 must install, calibrate, maintain, 

and operate a CEMS for measuring lead emissions. In addition to 

the General Provisions requirements for CEMS in §63.8(c) that 

are referenced in Table 1 to this subpart, you must comply with 

the requirements for CEMS specified in paragraph (m) of this 

section. 

(1) Sources subject to the emissions limits for lead 

compounds under §63.543(b) must install a CEMS for measuring 

lead emissions within 180 days of promulgation by the EPA of 

performance specifications for lead CEMS.

(2) Prior to 180 days after the EPA promulgates performance 

specifications for CEMS used to measure lead concentrations, you 

must use the procedure described in §63.543(g)(1) to determine 

compliance.

(3) Vents from control devices that serve only to control 

emissions from buildings containing lead bearing materials are 

exempt from the requirement to install a CEMS for measuring lead 

emissions. 

(m) If a CEMS is used to measure lead emissions, you must 

install a continuous emissions monitoring system with a sensor 

in a location that provides representative measurement of the 

exhaust gas flow rate at the sampling location of the CEMS used 
Page 39 of 57

to measure lead emissions, taking into account the 

manufacturer’s recommendations. The flow rate sensor is that 

portion of the system that senses the volumetric flow rate and 

generates an output proportional to that flow rate.

(1) The continuous emissions monitoring system must be 

designed to measure the exhaust gas flow rate over a range that 

extends from a value of at least 20 percent less than the lowest 

expected exhaust flow rate to a value of at least 20 percent 

greater than the highest expected exhaust gas flow rate. 

(2) The continuous emissions monitoring system must be 

equipped with a data acquisition and recording system that is 

capable of recording values over the entire range specified in 

paragraph (m)(1) of this section. 

(3) You must perform an initial relative accuracy test of 

the continuous emissions monitoring system in accordance with 

the applicable Performance Specification in appendix B to part 

60 of this chapter. 

(4) You must operate the continuous emissions monitoring 

system and record data during all periods of operation of the 

affected facility including periods of startup, shutdown, and 

malfunction, except for periods of monitoring system 

malfunctions, repairs associated with monitoring system 

malfunctions, and required monitoring system quality assurance 
Page 40 of 57

or quality control activities including, as applicable, 

calibration checks and required zero and span adjustments.

(5) If you have a CEMS to measure lead emissions, you must 

calculate the average lead concentration and flow rate monthly 

to determine compliance with §63.543(a).

(6) When the continuous emissions monitoring system is 

unable to provide quality assured data, the following apply: 

(i) When data are not available for periods of up to 48 

hours, the highest recorded hourly emissions rate from the 

previous 24 hours must be used.

(ii) When data are not available for 48 or more hours, the 

maximum daily emissions rate based on the previous 30 days must 

be used.

§63.549 Notification requirements.

(a) You must comply with all of the notification 

requirements of §63.9. Electronic notifications are encouraged 

if suitable for the specific case (e.g., by electronic media 

such as Excel spreadsheet, on CD or hard copy), and when 

required by this subpart.

(b) You must submit the fugitive dust control standard 

operating procedures manual required under §63.545(a) and the 

standard operating procedures manual for baghouses required 

under §63.548(a) to the Administrator or delegated authority 

along with a notification that the smelter is seeking review and 
Page 41 of 57

approval of these plans and procedures. You must submit this 

notification no later than [INSERT THE DATE ONE YEAR AFTER 

PUBLICATION OF THIS FINAL RULE IN THE FEDERAL REGISTER]. For 

sources that commenced construction or reconstruction after 

[INSERT THE DATE OF PUBLICATION OF THIS FINAL RULE IN THE 

FEDERAL REGISTER], you must submit this notification no later 

than 180 days before startup of the constructed or reconstructed 

secondary lead smelter, but no sooner than [INSERT THE DATE OF 

PUBLICATION OF THIS FINAL RULE IN THE FEDERAL REGISTER]. For an 

affected source that has received a construction permit from the 

Administrator or delegated authority on or before [INSERT THE 

DATE OF PUBLICATION OF THIS FINAL RULE IN THE FEDERAL REGISTER], 

you must submit this notification no later than [INSERT THE DATE 

ONE YEAR AFTER PUBLICATION OF THIS FINAL RULE IN THE FEDERAL 

REGISTER].

§63.550 Recordkeeping and reporting requirements.

(a) You must comply with all of the recordkeeping and 

reporting requirements specified in §63.10 that are referenced 

in Table 1 to this subpart.

(1) Records must be maintained in a form suitable and 

readily available for expeditious review, according to 

§63.10(b)(1). However, electronic recordkeeping and reporting if 

suitable for the specific case (e.g., by electronic media such 
Page 42 of 57

as Excel spreadsheet, on CD or hard copy), and when required by 

this subpart. 

(2) Records must be kept on site for at least 2 years after 

the date of occurrence, measurement, maintenance, corrective 

action, report, or record, according to §63.10(b)(1). 

(b) The standard operating procedures manuals required in 

§63.545(a) and §63.548(a) must be submitted to the Administrator 

in electronic format for review and approval of the initial 

submittal and whenever an update is made to the procedure.

(c) You must maintain for a period of 5 years, records of 

the information listed in paragraphs (c)(1) through (c)(13) of 

this section.

(1) Electronic records of the bag leak detection system 

output.

(2) An identification of the date and time of all bag leak 

detection system alarms, the time that procedures to determine 

the cause of the alarm were initiated, the cause of the alarm, 

an explanation of the corrective actions taken, and the date and 

time the cause of the alarm was corrected. 

(3) All records of inspections and maintenance activities 

required under §63.548(c) as part of the practices described in 

the standard operating procedures manual for baghouses required 

under §63.548(a).
Page 43 of 57

(4) Electronic records of the pressure drop and water flow 

rate values for wet scrubbers used to control metal hazardous 

air pollutant emissions from process fugitive sources as 

required in §63.548(i).

(5) Electronic records of the output from the continuous 

temperature monitor required in §63.548(j)(1), and an 

identification of periods when the 3-hour average temperature 

fell below the minimum established under §63.548(j)(4), and an 

explanation of the corrective actions taken. 

(6) Electronic records of the continuous pressure monitors 

for total enclosures required in §63.548(k), and an 

identification of periods when the pressure was not maintained 

as required in §63.544(c)(1).

(7) Records of any time periods power was lost to the 

continuous pressure monitors for total enclosures required in 

§63.548(k) and records of loss of power to the air handling 

system maintaining negative pressure on total enclosures. 

(8) Records of the inspections of facility enclosures 

required in §63.544(d). 

(9) Records of all cleaning and inspections required as 

part of the practices described in the standard operating 

procedures manual required under §63.545(a) for the control of 

fugitive dust emissions.
Page 44 of 57

(10) Electronic records of the output of any CEMS installed 

to monitor lead emissions meeting the requirements of 

§63.548(m).

(11) Records of the occurrence and duration of each 

malfunction of operation (i.e., process equipment) or the air 

pollution control equipment and monitoring equipment.

(12) Records of actions taken during periods of malfunction 

to minimize emissions in accordance with §63.543(k), including 

corrective actions to restore malfunctioning process and air 

pollution control and monitoring equipment to its normal or 

usual manner of operation.

(13) Records of any periods of startup or shutdown of a 

furnace and actions taken to minimize emissions during that 

period in accordance with §63.543(l). 

(d) You must comply with all of the reporting requirements 

specified in §63.10 of the General Provisions that are 

referenced in Table 1 to this subpart. 

(1) You must submit reports no less frequent than specified 

under §63.10(e)(3) of the General Provisions. 

(2) Once a source reports a violation of the standard or 

excess emissions, you must follow the reporting format required 

under §63.10(e)(3) until a request to reduce reporting frequency 

is approved by the Administrator.
Page 45 of 57

(e) In addition to the information required under the 

applicable sections of §63.10, you must include in the reports 

required under paragraph (d) of this section the information 

specified in paragraphs (e)(1) through (e)(14) of this section.

(1) Records of the concentration of lead in each process 

vent, and records of the rolling 12-month flow-weighted average 

concentration of lead compounds in vent gases calculated monthly 

as required in §63.543(a), except during the first year when the 

concentration is calculated using the method described in 

§63.543(a)(2). 

(2) Records of the concentration of total hydrocarbon and 

dioxins and furans in each process vent that has established 

limits for total hydrocarbon and dioxins and furans as required 

in §63.543(c).

(3) Records of all periods when monitoring using a CEMS for 

lead or total hydrocarbon was not in compliance with applicable 

limits. 

(4) Records of all alarms from the bag leak detection 

system specified in §63.548.

(5) A description of the procedures taken following each 

bag leak detection system alarm pursuant to §63.548(f)(1) and 

(2).

(6) A summary of the records maintained as part of the 

practices described in the standard operating procedures manual 
Page 46 of 57

for baghouses required under §63.548(a), including an 

explanation of the periods when the procedures were not followed 

and the corrective actions taken.

(7) An identification of the periods when the pressure drop 

and water flow rate of wet scrubbers used to control process 

fugitive sources dropped below the levels established in 

§63.548(i), and an explanation of the corrective actions taken.

(8) Records of the temperature monitor output, in 3-hour 

block averages, for those periods when the temperature monitored 

pursuant to §63.548(j) fell below the level established in 

§63.548(j)(4).

(9) Certification that the plastic separation process for 

battery breakers required in §63.543(m) was operated at all 

times the battery breaker was in service.

(10) Records of periods when the pressure was not 

maintained as required in §63.544(c) or power was lost to the 

continuous pressure monitoring system as required in §63.548(k).

(11) If a malfunction occurred during the reporting period, 

the report must include the number, duration, and a brief 

description for each type of malfunction that occurred during 

the reporting period and caused or may have caused any 

applicable emissions limitation to be exceeded. The report must 

also include a description of actions taken during a malfunction 
Page 47 of 57

of an affected source to minimize emissions in accordance with 

§63.543(k), including actions taken to correct a malfunction. 

(12) A summary of the fugitive dust control measures 

performed during the required reporting period, including an 

explanation of the periods when the procedures outlined in the 

standard operating procedures manual pursuant to §63.545(a) were 

not followed and the corrective actions taken. The reports must 

not contain copies of the daily records required to demonstrate 

compliance with the requirements of the standard operating 

procedures manuals required under §63.545(a). 

(13) Records of any periods of startup or shutdown of a 

furnace including an explanation of the periods when the 

procedures required in §63.543(l) were not followed and the 

corrective actions taken. 

(14) You must submit records pursuant to paragraphs 

(e)(14)(i) through (iii) of this section below.

(i) As of January 1, 2012 and within 60 days after the date 

of completing each performance test, as defined in §63.2 and as 

required in this subpart, you must submit performance test data, 

except opacity data, electronically to EPA’s Central Data 

Exchange by using the Electronic Reporting Tool (see 

http://www.epa.gov/ttn/chief/ert/ert_tool.html/). Only data 

collected using test methods compatible with the Electronic 
Page 48 of 57

Reporting Tool are subject to this requirement to be submitted 

electronically into EPA’s WebFIRE database. 

(ii) Within 60 days after the date of completing each CEMS 

performance evaluation test, as defined in §63.2 and required by 

this subpart, you must submit the relative accuracy test audit 

data electronically into EPA’s Central Data Exchange by using 

the Electronic Reporting Tool as mentioned in paragraph 

(e)(14)(i) of this section. Only data collected using test 

methods compatible with the Electronic Reporting Tool are 

subject to this requirement to be submitted electronically into 

EPA’s WebFIRE database.

(iii) All reports required by this subpart not subject to 

the requirements in paragraph (e)(14)(i) and (ii) of this 

section must be sent to the Administrator at the appropriate 

address listed in §63.13. The Administrator or the delegated 

authority may request a report in any form suitable for the 

specific case (e.g., by electronic media such as Excel 

spreadsheet, on CD or hard copy). The Administrator retains the 

right to require submittal of reports subject to paragraph 

(e)(14)(i) and (ii) of this section in paper format.

§63.551 Implementation and Enforcement.

(a) This subpart can be implemented and enforced by the 

U.S. EPA, or a delegated authority such as the applicable State, 

local, or tribal agency. If the U.S. EPA Administrator has 
Page 49 of 57

delegated authority to a State, local, or tribal agency, then 

that agency, in addition to the U.S. EPA, has the authority to 

implement and enforce this subpart. Contact the applicable U.S. 

EPA Regional Office to find out if this subpart is delegated to 

a State, local, or tribal agency.

(b) In delegating implementation and enforcement authority 

of this subpart to a State, local, or tribal agency under 

subpart E of this part, the authorities contained in paragraph 

(c) of this section are retained by the Administrator of U.S. 

EPA and cannot be transferred to the State, local, or tribal 

agency.

(c) The authorities that cannot be delegated to State, 

local, or tribal agencies are as specified in paragraphs (c)(1) 

through (c)(4) of this section.

(1) Approval of alternatives to the requirements in 

§§63.541, 63.543 through 63.544, §63.545, and §63.546.

(2) Approval of major alternatives to test methods under 

§63.7(e)(2)(ii) and (f), as defined in §63.90, and as required 

in this subpart.

(3) Approval of major alternatives to monitoring under 

§63.8(f), as defined in §63.90, and as required in this subpart.

(4) Approval of major alternatives to recordkeeping and 

reporting under §63.10(f), as defined in §63.90, and as required 

in this subpart.
Page 50 of 57

§63.552 Affirmative Defense to Civil Penalties for Exceedance of 

Emissions Limit During Malfunction.

In response to an action to enforce the standards set forth 

in this subpart, you may assert an affirmative defense to a 

claim for civil penalties for exceedances of such standards that 

are caused by malfunction, as defined at §63.2. Appropriate 

penalties may be assessed, however, if you fail to meet your 

burden of proving all of the requirements in the affirmative 

defense. The affirmative defense shall not be available for 

claims for injunctive relief.

(a) Affirmative defense. To establish the affirmative 

defense in any action to enforce such a limit, you must timely 

meet the notification requirements in paragraph (b) of this 

section, and must prove by a preponderance of evidence that:

(1) The excess emissions: 

(i) Were caused by a sudden, infrequent, and unavoidable 

failure of air pollution control and monitoring equipment, 

process equipment, or a process to operate in a normal or usual 

manner.

(ii) Could not have been prevented through careful 

planning, proper design or better operation and maintenance 

practices. 

(iii) Did not stem from any activity or event that could 

have been foreseen and avoided, or planned for.
Page 51 of 57

(iv) Were not part of a recurring pattern indicative of 

inadequate design, operation, or maintenance.

(2) Repairs were made as expeditiously as possible when the 

applicable emissions limitations were being exceeded. Off-shift 

and overtime labor were used, to the extent practicable to make 

these repairs.

(3) The frequency, amount and duration of the excess 

emissions (including any bypass) were minimized to the maximum 

extent practicable during periods of such emissions.

(4) If the excess emissions resulted from a bypass of 

control equipment or a process, then the bypass was unavoidable 

to prevent loss of life, personal injury, or severe property 

damage.

(5) All possible steps were taken to minimize the impact of 

the excess emissions on ambient air quality, the environment and 

human health.

(6) All emissions monitoring and control systems were kept 

in operation if at all possible, consistent with safety and good 

air pollution control practices.

(7) All of the actions in response to the excess emissions 

were documented by properly signed, contemporaneous operating 

logs. 

(8) At all times, the affected source was operated in a 

manner consistent with good practices for minimizing emissions.
Page 52 of 57

(9) A written root cause analysis has been prepared, the 

purpose of which is to determine, correct, and eliminate the 

primary causes of the malfunction and the excess emissions 

resulting from the malfunction event at issue. The analysis 

shall also specify, using best monitoring methods and 

engineering judgment, the amount of excess emissions that were 

the result of the malfunction. 

(b) Notification. The owner or operator of the affected 

source experiencing an exceedance of its emissions limit(s) 

during a malfunction, shall notify the Administrator by 

telephone or facsimile transmission as soon as possible, but no 

later than two business days after the initial occurrence of the 

malfunction, it wishes to avail itself of an affirmative defense 

to civil penalties for that malfunction. The owner or operator 

seeking to assert an affirmative defense, shall also submit a 

written report to the Administrator within 45 days of the 

initial occurrence of the exceedance of the standard in this 

subpart to demonstrate, with all necessary supporting 

documentation, that it has met the requirements set forth in 

paragraph (a) of this section. The owner or operator may seek an 

extension of this deadline for up to 30 additional days by 

submitting a written request to the Administrator before the 

expiration of the 45 day period. Until a request for an 

extension has been approved by the Administrator, the owner or 
Page 53 of 57

operator is subject to the requirement to submit such report 

within 45 days of the initial occurrence of the exceedance. 

Table 1 to Subpart X of Part 63—General Provisions Applicability 

to Subpart X 

Reference

Applies to 

subpart X Comment

63.1 Yes

63.2 Yes

63.3 Yes

63.4 Yes

63.5 Yes

63.6(a), (b), (c) Yes

63.6(d) No Section reserved.

63.6(e)(1)(i) No See 63.543(k) for 

general duty 

requirement. 

63.6(e)(1)(ii) No

63.6(e)(1)(iii) Yes

63.6(e)(2) No Section reserved.

63.6(e)(3) No

63.6(f)(1) No

63.6(g) Yes

63.6(h) No No opacity limits in 

rule.

63.6(i) Yes

63.6(j) Yes

63.7(a)-(d) Yes

63.7(e)(1) No See 63.543(j)

63.7(e)(2)-(e)(4) Yes

63.7(f), (g), (h) Yes

63.8(a)-(b) Yes

63.8(c)(1)(i) No See 63.543(k) for 

general duty 

requirement. 

63.8(c)(1)(ii) Yes

63.8(c)(1)(iii) No

63.8(c)(2)-(d)(2) Yes

63.8(d)(3) Yes, 

except for 

last 

sentence

63.8(e)-(g) Yes
Page 54 of 57

Reference

Applies to 

subpart X Comment

63.9(a),(b),(c),(e),(g),(h)(1)t

hrough (3), (h)(5) and (6), (i) 

and (j)

Yes

63.9(f) No

63.9(h)(4) No Reserved

63.10 (a) Yes

63.10 (b)(1) Yes

63.10(b)(2)(i) No

63.10(b)(2)(ii) No See 63.550 for 

recordkeeping of 

occurrence and 

duration of 

malfunctions and 

recordkeeping of 

actions taken during 

malfunction. 

63.10(b)(2)(iii) Yes

63.10(b)(2)(iv)-(b)(2)(v) No

63.10(b)(2)(vi)-(b)(2)(xiv) Yes

63.(10)(b)(3) Yes

63.10(c)(1)-(9) Yes

63.10(c)(10)-(11) No See 63.550 for 

recordkeeping of 

malfunctions. 

63.10(c)(12)-(c)(14) Yes

63.10(c)(15) No

63.10(d)(1)-(4) Yes

63.10(d)(5) No See 63.550(e)(11) 

for reporting of 

malfunctions.

63.10(e)-((f) Yes

63.11 No Flares will not be 

used to comply with 

the emission limits

63.12 to 63.15 Yes
Page 55 of 57

Table 2 to Subpart X of Part 63-–Emissions Limits for Secondary 

Lead Smelting Furnaces

For vents from these 

processes...

You must meet the following emissions 

limits...a

Total Hydrocarbon

ppm by volume 

expressed as propane 

corrected to 4 

percent carbon 

dioxide

Dioxin and Furan 

(dioxins and 

furans) 

nanograms/dscm 

expressed as TEQ 

corrected to 7 

percent O2

Collocated blast and 

reverberatory furnace

(new and existing)

20 ppmv 0.50 ng/dscm

Collocated blast and 

reverberatory furnace 

when the 

Reverberatory furnace 

is not operating

(existing)

360 ppmv 170 ng/dscm

Collocated blast and 

reverberatory furnace 

when the 

reverberatory furnace 

is not operating for 

units that commence 

construction after 

June 9, 1994

70 ppmv 170 ng/dscm

Blast furnace that 

commence construction 

or reconstruction 

before June 9, 1994

360 ppmv 170 ng/dscm

Blast furnaces that 

commence construction 

or reconstruction 

after June 9, 1994

70 ppmv 170 ng/dscm

Blast furnaces that 

commence construction 

or reconstruction 

after May 19, 2011

70 ppmv 10 ng/dscm

Reverberatory and 

electric furnace

12 ppmv 0.20 ng/dscm

Reverberatory and 

electric furnace that 

commence construction 

or reconstruction 

12 ppmv 0.10 ng/dscm
Page 56 of 57

For vents from these 

processes...

You must meet the following emissions 

limits...a

Total Hydrocarbon

ppm by volume 

expressed as propane 

corrected to 4 

percent carbon 

dioxide

Dioxin and Furan 

(dioxins and 

furans) 

nanograms/dscm 

expressed as TEQ 

corrected to 7 

percent O2

after May 19, 2011

aThere are no standards for dioxins and furans during periods of 

startup and shutdown.

Table 3 to Subpart X of Part 63 – Toxic Equivalency Factors

Dioxin/furan congener Toxic equivalency factor

2,3,7,8-tetrachlorinated dibenzop-dioxin 1

1,2,3,7,8-pentachlorinated 

dibenzo-p-dioxin 0.5

1,2,3,4,7,8-hexachlorinated 

dibenzo-p-dioxin 0.1

1,2,3,7,8,9-hexachlorinated 

dibenzo-p-dioxin 0.1

1,2,3,6,7,8-hexachlorinated 

dibenzo-p-dioxin 0.1

1,2,3,4,6,7,8-heptachlorinated 

dibenzo-p-dioxin 0.01

octachlorinated dibenzo-p-dioxin 0.001

2,3,7,8-tetrachlorinated 

dibenzofuran 0.1

2,3,4,7,8-pentachlorinated 

dibenzofuran 0.05

1,2,3,7,8-pentachlorinated 

dibenzofuran 0.5

1,2,3,4,7,8-hexachlorinated 

dibenzofuran 0.1

1,2,3,6,7,8-hexachlorinated 

dibenzofuran 0.1

1,2,3,7,8,9-hexachlorinated 0.1
Page 57 of 57

Dioxin/furan congener Toxic equivalency factor

dibenzofuran