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Subpart OOO—National Emission Standards for Hazardous Air 

Pollutant Emissions: Manufacture of Amino/Phenolic Resins

Table of Contents

§63.1400 Applicability and designation of affected sources.

§63.1401 Compliance schedule.

§63.1402 Definitions.

§63.1403 Emission standards.

§63.1404 Storage vessel provisions.

§63.1405 Continuous process vent provisions.

§63.1406 Reactor batch process vent provisions.

§63.1407 Non-reactor batch process vent provisions.

§63.1408 Aggregate batch vent stream provisions.

§63.1409 Heat exchange system provisions.

§63.1410 Equipment leak provisions.

§63.1411 Requirements for pressure relief devices.

§63.1412 Continuous process vent applicability assessment 

procedures and methods.

§63.1413 Compliance demonstration procedures.

§63.1414 Test methods and emission estimation equations.

§63.1415 Monitoring requirements.

§63.1416 Recordkeeping requirements.

§63.1417 Reporting requirements.

§63.1418 [Reserved]

§63.1419 Implementation and enforcement.

Tables to Subpart OOO of Part 63

Table 1 to Subpart OOO of Part 63—Applicability of General 

Provisions to Subpart OOO Affected Sources

Table 2 to Subpart OOO of Part 63—Known Organic Hazardous Air 

Pollutants (HAP) From the Manufacture of Amino/Phenolic Resins

Table 3 to Subpart OOO of Part 63—Batch Process Vent Monitoring 

Requirements

Table 4 to Subpart OOO of Part 63—Operating Parameter Levels

Table 5 to Subpart OOO of Part 63—Reports Required by This 

Subpart

Table 6 to Subpart OOO of Part 63—Coefficients for Total 

Resource Effectiveness

§63.1400 Applicability and designation of affected sources.
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(a) Applicability. The provisions of this subpart apply to 

the owner or operator of processes that produce amino/phenolic 

resins and that are located at a plant site that is a major 

source as defined in §63.2.

(b) Affected source. The affected source is:

(1) The total of all amino/phenolic resin process units 

(APPU);

(2) The associated heat exchange systems;

(3) Equipment required by, or utilized as a method of 

compliance with, this subpart which may include control devices 

and recovery devices;

(4) Equipment that does not contain organic hazardous air 

pollutants (HAPs) and is located within an APPU that is part of 

an affected source;

(5) Vessels and equipment storing and/or handling material 

that contain no organic HAP and/or organic HAP as impurities 

only;

(6) Equipment that is intended to operate in organic HAP 

service for less than 300 hours during the calendar year;

(7) Each waste management unit; and

(8) Maintenance wastewater.

(c) Existing affected source. The affected source to which 

the existing source provisions of this subpart apply is defined 

in paragraph (b) of this section.
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(d) New affected source. The affected source to which the 

new source provisions of this subpart apply is:

(1) Each affected source defined in paragraph (b) of this 

section that commences construction or reconstruction after 

December 14, 1998;

(2) Each additional group of one or more APPU and 

associated heat exchange systems that has the potential to emit 

10 tons per year or more of any organic HAP or 25 tons per year 

or more of any combination of organic HAP that commences 

construction after December 14, 1998; or

(3) Each group of one or more process units and associated 

heat exchange systems that are converted to APPUs after December 

14, 1998, that has the potential to emit 10 tons per year or 

more of any organic HAP or 25 tons per year or more of any 

combination of organic HAP.

(e) APPUs without organic HAP. An APPU that is part of an 

affected source, as defined in paragraph (c) or (d) of this 

section, but that does not use or manufacture any organic HAP, 

is not subject to any other provisions of this subpart and is 

not required to comply with the provisions of subpart A of this 

part. When requested by the Administrator, the owner or operator 

shall demonstrate that the APPU does not use or manufacture any 

organic HAP. Types of information that could document this 

determination include, but are not limited to, records of 
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chemicals purchased for the process, analyses of process stream 

composition, engineering calculations, or process knowledge.

(f) Exemption from equipment leak provisions. Affected 

sources with actual annual production of amino/phenolic resin 

equal to or less than 800 megagrams per year (Mg/yr) for the 12-

month period preceding December 14, 1998 are exempt from the 

equipment leak provisions specified in §63.1410. The owner or 

operator utilizing this exemption shall recheck the actual 

annual production of amino/phenolic resins for each 12-month 

period following December 14, 1998. The beginning of each 12-

month period shall be the anniversary of December 14, 1998. If 

the actual annual production of amino/phenolic resins is greater 

than 800 Mg/yr for any 12-month period, the owner or operator 

shall comply with §63.1410 for the life of the affected source 

or until the affected source is no longer subject to the 

provisions of this subpart.

(g) Primary product determination and applicability. For 

purposes of this paragraph, amino resins and phenolic resins 

shall be considered to be the same product and production time 

or production mass of amino and phenolic resins shall be 

combined for purposes of determining the primary product under 

this paragraph (g). If the owner or operator determines that a 

process unit is not an APPU under paragraphs (g)(1) through (4) 

of this section, the owner or operator shall, when requested by 
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the Administrator, demonstrate that the process unit is not an 

APPU.

(1) Applicability determinations for process units 

producing multiple products. A process unit that produces more 

than one intended product at the same time is an APPU if 

amino/phenolic resin production accounts for the greatest 

percent of the annual design capacity on a mass basis. If a 

process unit has the same annual design capacity on a mass basis 

for two or more products, the process unit shall be an APPU if 

amino/phenolic resins are one of those products.

(2) Flexible operations process unit determination based on 

operating time. A flexible operations process unit is an APPU if 

amino/phenolic resins will be produced for the greatest 

operating time over the 5 years following December 14, 1998 at 

existing process units, or for the first year after the process 

unit begins production of any product for new process units.

(3) Flexible operations process unit determination based on 

mass production basis. A flexible operations process unit that 

will manufacture multiple products equally based on operating 

time is an APPU if amino/phenolic resins account for the 

greatest percentage of the expected production on a mass basis 

over the 5 years following December 14, 1998 at existing process

units, or for the first year after the process unit begins 

production of any product for new process units.
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(4) Flexible operations process unit default determination. 

If the owner or operator cannot determine whether or not 

amino/phenolic resins are the primary product of a flexible 

operations process unit in accordance with paragraphs (g)(2) and 

(3) of this section, the flexible operations process unit shall 

be designated as an APPU if amino/phenolic resins were produced 

for 5 percent or greater of the total operating time since 

December 14, 1998 for existing process units. The flexible 

operations process unit shall be designated as an APPU if the 

owner or operator anticipates that amino/phenolic resins will be 

manufactured in the flexible operations process unit at any time 

in the first year after the date the unit begins production of 

any product for new process units.

(5) Annual applicability determination for non-APPUs that 

have produced amino/phenolic resins. Once per year beginning 

December 14, 2003, the owner or operator of each flexible 

operations process unit that is not designated as an APPU, but 

that has produced amino/phenolic resins at any time in the 

preceding 5-year period or since the date that the unit began 

production of any product, whichever is shorter, shall perform 

an evaluation to determine whether the process unit has become 

an APPU. A flexible operations process unit has become an APPU 

if amino/phenolic resins were produced for the greatest 

operating time over the preceding 5-year period or since the 
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date that the process unit began production of any product, 

whichever is shorter.

(6) Applicability determination for non-APPUs that have not 

produced amino/phenolic resins. The owner or operator that 

anticipates the production of amino/phenolic resins in a process 

unit that is not designated as an APPU, and in which no 

amino/phenolic resins have been produced in the previous 5-year 

period or since the date that the process unit began production 

of any product, whichever is shorter, shall determine if the 

process unit will become an APPU. The owner or operator shall 

use the procedures in paragraphs (g)(1) through (4) of this 

section to determine if the process unit is designated as an 

APPU, with the following exception: for existing process units, 

production shall be projected for the 5 years following the date 

that the owner or operator anticipates initiating the production 

of amino/phenolic resins, instead of the 5 years following 

December 14, 1998.

(7) Redetermination of applicability to APPU that are 

flexible operations process units. Whenever changes in 

production occur that could reasonably be expected to cause a 

flexible operations process unit to no longer be an APPU (i.e., 

amino/phenolic resins will no longer be the primary product 

according to the determination procedures in paragraphs (g)(2) 

through (4) of this section), the owner or operator shall 
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reevaluate the status of the process unit as an APPU. A flexible 

operations process unit has ceased to be an APPU subject to this 

subpart if the following criteria are met:

(i) If amino/phenolic resins were not produced for the 

greatest operating time over the preceding 5-year period or 

since the date that the process unit began production of any 

product, whichever is shorter;

(ii) If the new primary product, which is not 

amino/phenolic resins, is subject to another subpart of this 

part; and

(iii) If the owner or operator has notified the 

Administrator of the pending change in status for the flexible 

operations process unit, as specified in §63.1417(h)(4).

(8) APPU terminating production of all amino/phenolic 

resins. If an APPU terminates the production of all 

amino/phenolic resins and does not anticipate the production of 

any amino/phenolic resins in the future, the process unit is no 

longer an APPU and is not subject to this subpart after 

notification is made to the Administrator, as specified in 

§63.1417(h)(4).

(h) Storage vessel applicability determination. The owner 

or operator of a storage vessel at a new affected source shall 

determine assignment to a process unit as follows:
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(1) If a storage vessel is already subject to another 

subpart of part 63 on January 20, 2000, said storage vessel 

shall continue to be assigned to the process unit subject to the 

other subpart.

(2) If a storage vessel is dedicated to a single process 

unit, the storage vessel shall be assigned to that process unit.

(3) If a storage vessel is shared among process units, then 

the storage vessel shall be assigned to that process unit 

located on the same plant site as the storage vessel that has 

the greatest input into or output from the storage vessel (i.e., 

said process unit has the predominant use of the storage 

vessel).

(4) If predominant use cannot be determined for a storage 

vessel that is shared among process units, and if one or more of 

those process units is an APPU subject to this subpart, the 

storage vessel shall be assigned to any of the APPUs.

(5) [Reserved]

(6) If the predominant use of a storage vessel varies from 

year to year, then predominant use shall be determined based on 

the use as follows:

(i) For existing affected sources, use shall be determined 

based on the following:

(A) The year preceding January 20, 2000; or
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(B) The expected use for the 5 years following January 20, 

2000.

(ii) For new affected sources, use shall be determined 

based on the first 5 years after initial start-up.

(7) Where the storage vessel is located in a tank farm 

(including a marine tank farm), the assignment of the storage 

vessel shall be determined according to paragraphs (h)(7)(i) and 

(ii) of this section. Only those storage vessels where a portion 

or all of the input into or output from the storage vessel is 

hardpiped directly to one or more process units are covered by 

this paragraph.

(i) The storage vessel is assigned to a process unit if the 

product or raw material entering or leaving the process unit 

flows directly into (or from) the storage vessel in the tank 

farm without passing through any intervening storage vessel. An 

intervening storage vessel means a storage vessel connected by 

hardpiping both to the process unit and to the storage vessel in 

the tank farm.

(ii) If there are two or more process units that meet the 

criteria of paragraph (h)(7)(i) of this section with respect to 

a storage vessel, the storage vessel shall be assigned to one of 

those process units according to the provisions of paragraphs 

(h)(3) through (6) of this section.
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(8) If the storage vessel begins receiving material from 

(or sending material to) a process unit that was not included in 

the initial determination, or ceases to receive material from 

(or send material to) a process unit, the owner or operator 

shall reevaluate the applicability of this subpart to the 

storage vessel according to the procedures in paragraphs (h)(3) 

through (7) of this section.

(i) Applicability of other subparts to this subpart. 

Paragraphs (i)(1) through (5) describe the applicability of 

other subparts to this subpart.

(1) After the compliance dates specified in this section, a 

storage vessel that is assigned to an affected source subject to 

this subpart that is also subject to and complying with the 

provisions of 40 CFR part 60, subpart Kb, shall continue to 

comply with 40 CFR part 60, subpart Kb. After the compliance 

dates specified in this section, a storage vessel that is 

assigned to an affected source subject to this subpart that is 

also subject to the provisions of 40 CFR part 60, subpart Kb, 

but the owner or operator has not been required to apply 

controls as part of complying with 40 CFR part 60, subpart Kb, 

is required to comply only with the provisions of this subpart. 

After the compliance dates specified in this section, said 

storage vessel shall no longer be subject to 40 CFR part 60, 

subpart Kb.
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(2) Affected sources subject to this subpart that are also 

subject to the provisions of subpart Q of this part shall comply 

with both subparts.

(3) After the compliance dates specified in this section, 

an affected source subject to this subpart that is also subject 

to the provisions of 40 CFR part 60, subpart VV, or the 

provisions of subpart H of this part, is required to comply only 

with the provisions of this subpart. After the compliance dates 

specified in this section, said source shall no longer be 

subject to 40 CFR part 60, subpart VV, or subpart H of this 

part, as appropriate.

(4) After the applicable compliance date specified in this 

subpart, if a heat exchange system subject to this subpart is 

also subject to a standard identified in paragraph (i)(4)(i) or 

(ii) of this section, compliance with the applicable provisions

of the standard identified in paragraph (i)(4)(i) or (ii) of 

this section shall constitute compliance with the applicable 

provisions of this subpart with respect to that heat exchange 

system.

(i) Subpart F of this part.

(ii) A subpart of this part that requires compliance with 

§63.104 (e.g., subpart U of this part).

(5) After the compliance dates specified in this subpart, 

if any combustion device, recovery device or recapture device 
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subject to this subpart is also subject to monitoring, 

recordkeeping, and reporting requirements in 40 CFR part 264, 

subparts AA, BB, or CC, or is subject to monitoring and 

recordkeeping requirements in 40 CFR part 265, subparts AA, BB, 

or CC, and the owner or operator complies with the periodic 

reporting requirements under 40 CFR part 264, subparts AA, BB, 

or CC, that would apply to the device if the facility had finalpermitted status, the owner or operator may elect to comply 

either with the monitoring, recordkeeping and reporting 

requirements of this subpart, or with the monitoring, 

recordkeeping and reporting requirements in 40 CFR parts 264 

and/or 265, as described in this paragraph, which shall 

constitute compliance with the monitoring, recordkeeping and 

reporting requirements of this subpart. If the owner or operator 

elects to comply with the monitoring, recordkeeping, and 

reporting requirements in 40 CFR parts 264 and/or 265, the owner 

or operator shall report all information required by 

§63.1417(f), Periodic Reports, as part of complying with the 

requirements of 40 CFR parts 264 and/or 265.

(j) Applicability of general provisions. Table 1 of this 

subpart specifies the provisions of subpart A of this part that 

apply and do not apply to owners and operators of affected 

sources subject to this subpart.
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(k) Applicability of this subpart during periods of startup, shutdown, malfunction, or non-operation. Paragraphs (k)(1) 

through (4) of this section shall be followed during periods of 

start-up, shutdown, malfunction, or non-operation of the 

affected source or any part thereof.

(1) The emission limitations set forth in this subpart and 

the emission limitations referred to in this subpart shall apply 

at all times except during periods of non-operation of the 

affected source (or specific portion thereof) resulting in 

cessation of the emissions to which this subpart applies. The 

emission limitations of this subpart and the emission 

limitations referred to in this subpart shall not apply during 

periods of start-up, shutdown, or malfunction. However, if a 

start-up, shutdown, malfunction, or period of non-operation of 

one portion of an affected source does not affect the ability of 

a particular emission point to comply with the emission 

limitations to which it is subject, then that emission point 

shall still be required to comply with the applicable emission 

limitations of this subpart during the start-up, shutdown, 

malfunction, or period of non-operation. For example, if there 

is an overpressure in the reactor area, a storage vessel that is 

part of the affected source would still be required to be 

controlled in accordance with §63.1404.
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(2) The emission limitations set forth in 40 CFR part 63, 

subpart UU, as referred to in §63.1410, shall apply at all times 

except during periods of non-operation of the affected source 

(or specific portion thereof) in which the lines are drained and 

depressurized resulting in cessation of the emissions to which 

§63.1410 applies, or during periods of start-up, shutdown, 

malfuncton, or process unit shutdown.

(3) The owner or operator shall not shut down items of 

equipment that are required or utilized for compliance with this 

subpart during periods of start-up, shutdown, or malfunction; or 

during times when emissions are being routed to such items of 

equipment if the shutdown would contravene requirements of this 

subpart applicable to such items of equipment. This paragraph 

does not apply if the item of equipment is malfunctioning. This 

paragraph also does not apply if the owner or operator shuts 

down the compliance equipment (other than monitoring systems) to 

avoid damage due to a contemporaneous start-up, shutdown, or 

malfunction of the affected source or portion thereof. If the 

owner or operator has reason to believe that monitoring 

equipment would be damaged due to a contemporaneous start-up, 

shutdown, or malfunction of the affected source or portion 

thereof, the owner or operator shall provide documentation 

supporting such a claim in the Precompliance Report as provided 

in §63.1417(d)(9) or in a supplement to the Precompliance 
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Report. Once approved by the Administrator in accordance with 

§63.1417(d)(9), the provision for ceasing to collect, during a 

start-up, shutdown, or malfunction, monitoring data that would 

otherwise be required by the provisions of this subpart shall be 

incorporated into the start-up, shutdown, malfunction plan for 

the affected source, as stated in paragraph (k) of this section.

(4) During start-ups, shutdowns, and malfunctions when the 

emission limitations of this subpart do not apply pursuant to 

paragraphs (k)(1) through (3) of this section, the owner or 

operator shall implement, to the extent reasonably available, 

measures to prevent or minimize excess emissions to the extent 

practical. For purposes of this paragraph, the term “excess 

emissions” means emissions in excess of those that would have 

occurred if there were no start-up, shutdown, or malfunction and 

the owner or operator complied with the relevant provisions of 

this subpart. The measures to be taken shall be identified in 

the applicable start-up, shutdown, and malfunction plan, and may 

include, but are not limited to, air pollution control 

technologies, recovery technologies, work practices, pollution 

prevention, monitoring, and/or changes in the manner of 

operation of the affected source. Back-up control devices are 

not required, but may be used if available.General duty. At all 

times, the owner or operator must operate and maintain any 

affected source, including associated air pollution control 
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equipment and monitoring equipment, in a manner consistent with 

safety and good air pollution control practices for minimizing 

emissions. The general duty to minimize emissions does not 

require the owner operator to make any further efforts to reduce 

emissions if levels required by the applicable standard have 

been achieved. Determination of whether a source is operating in 

compliance with operation and maintenance requirements will be 

based on information available to the Administrator, which 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) Affirmative defense for violation of emission standards 

during malfunction. In response to an action to enforce the 

standards set forth in this subpart, the owner or operator may 

assert an affirmative defense to a claim for civil penalties for 

violations of such standards that are caused by malfunction, as 

defined at 40 CFR 63.2. Appropriate penalties may be assessed if 

the owner or operator fails to meet their burden of proving all 

of the requirements in the affirmative defense. The affirmative 

defense shall not be available for claims for injunctive relief.

(1) Assertion of affirmative defense. To establish the 

affirmative defense in any action to enforce such a standard, 

the owner or operator must timely meet the reporting
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requirements in paragraph (l)(2) of this section, and must prove 

by a preponderance of evidence that:

(i) The violation: 

(A) Was caused by a sudden, infrequent, and unavoidable 

failure of air pollution control equipment, process equipment, 

or a process to operate in a normal or usual manner; and 

(B) Could not have been prevented through careful planning, 

proper design or better operation and maintenance practices; and

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

been foreseen and avoided, or planned for; and

(D) Was not part of a recurring pattern indicative of 

inadequate design, operation, or maintenance; and

(ii) Repairs were made as expeditiously as possible when a 

violation occurred; and

(iii) The frequency, amount, and duration of the violation

(including any bypass) were minimized to the maximum extent 

practicable; and

(iv) If the violation 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; and

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

the violation on ambient air quality, the environment, and human 

health; and
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(vi) All emissions monitoring and control systems were kept 

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

air pollution control practices; and

(vii) All of the actions in response to the violation were 

documented by properly signed, contemporaneous operating logs; 

and

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

manner consistent with good practices for minimizing emissions; 

and

(ix) 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 violation resulting 

from the malfunction event at issue. The analysis shall also 

specify, using best monitoring methods and engineering judgment, 

the amount of any emissions that were the result of the 

malfunction.

(2) Report. The owner or operator seeking to assert an 

affirmative defense shall submit a written report to the 

Administrator, with all necessary supporting documentation, that 

explains how it has met the requirements set forth in paragraph 

(l)(1) of this section. This affirmative defense report shall be 

included in the first periodic compliance report, deviation 

report, or excess emission report otherwise required after the 

initial occurrence of the violation of the relevant standard 
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(which may be the end of any applicable averaging period). If 

such compliance report, deviation report, or excess emission 

report is due less than 45 days after the initial occurrence of 

the violation, the affirmative defense report may be included in 

the second compliance report, deviation report, or excess 

emission report due after the initial occurrence of the 

violation of the relevant standard.

§63.1401 Compliance schedule.

(a) New affected sources that commence construction or 

reconstruction after December 14, 1998, shall be in compliance 

with this subpart (except § 63.1411(c)) upon initial start-up or 

January 20, 2000, whichever is later. New affected sources that 

commenced construction or reconstruction after December 14, 

1998, but on or before [INSERT DATE OF PUBLICATION IN THE 

FEDERAL REGISTER], shall be in compliance with the pressure 

relief device monitoring requirements of § 63.1411(c) by 3 years 

after the effective date of the final amendments. New affected 

sources that commence construction or reconstruction after 

[INSERT DATE OF PUBLICATION IN THE FEDERAL REGISTER], shall be 

in compliance with the pressure relief device monitoring 

requirements of § 63.1411(c) upon initial startup or by the 

effective date of the final amendments, whichever is later.

(b) Existing affected sources shall be in compliance with 

this subpart (except §§ 63.1404, 63.1405, and 63.1411(c)) no 
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later than 3 years after January 20, 2000. Existing affected 

sources shall be in compliance with the storage vessel 

requirements of § 63.1404 by the effective date of the final 

amendments. Existing affected sources shall be in compliance 

with the continuous process vent requirements of § 63.1405 and 

the pressure relief device monitoring requirements of §

63.1411(c) by 3 years after the effective date of the final 

amendments.

(c) If an affected source using the exemption provided in 

§63.1400(f) has an actual annual production of amino/phenolic 

resins exceeding 800 Mg/yr for any 12-month period, the owner or 

operator shall comply with the provisions of §63.1410 for the 

affected source within 3 years. The starting point for the 3-

year compliance time period shall be the end of the 12-month 

period in which actual annual production for amino/phenolic 

resins exceeds 800 Mg/yr.

(d) Pursuant to section 112(i)(3)(B) of the Clean Air Act, 

an owner or operator may request an extension allowing the 

existing affected source up to 1 additional year to comply with 

section 112(d) standards. For purposes of this subpart, a 

request for an extension shall be submitted to the permitting 

authority as part of the operating permit application or to the 

Administrator as a separate submittal or as part of the 

Precompliance Report.
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(1) Requests for extensions shall be submitted no later 

than 120 days prior to the compliance dates specified in 

paragraphs (a) and (b) of this section and shall include the 

data described in §63.6(i)(6)(i)(A), (B), and (D). The dates 

specified in §63.6(i) for submittal of requests for extensions 

shall not apply to this subpart.

(2) An owner or operator may submit a compliance extension 

request less than 120 days prior to the compliance dates 

specified in paragraphs (a) and (b) of this section provided 

that the need for the compliance extension arose after that 

date, and the need arose due to circumstances beyond reasonable 

control of the owner or operator. This request shall include, in 

addition to the information specified in §63.6(i)(6)(i)(A), (B), 

and (D), a statement of the reasons additional time is needed 

and the date when the owner or operator first learned of the 

circumstances necessitating a request for compliance extension.

(e) All terms in this subpart that define a period of time 

for completion of required tasks (e.g., weekly, monthly, 

quarterly, annual), unless specified otherwise, refer to the 

standard calendar periods.

(1) Notwithstanding time periods specified in this subpart 

for completion of required tasks, such time periods may be 

changed by mutual agreement between the owner or operator and 

the Administrator, as specified in subpart A of this part (e.g., 
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a period could begin on the compliance date or another date, 

rather than on the first day of the standard calendar period). 

For each time period that is changed by agreement, the revised 

period shall remain in effect until it is changed. A new request 

is not necessary for each recurring period.

(2) Where the period specified for compliance is a standard 

calendar period, if the initial compliance date occurs after the 

beginning of the period, compliance shall be required according 

to the schedule specified in paragraph (e)(2)(i) or (ii) of this 

section, as appropriate:

(i) Compliance shall be required before the end of the 

standard calendar period within which the compliance deadline 

occurs, if there remain at least 3 days for tasks that must be 

performed weekly, at least 2 weeks for tasks that must be 

performed monthly, at least 1 month for tasks that must be 

performed each quarter, or at least 3 months for tasks that must 

be performed annually; or

(ii) In all other cases, compliance shall be required 

before the end of the first full standard calendar period after 

the period within which the initial compliance deadline occurs.

(3) In all instances where a provision of this subpart 

requires completion of a task during each of multiple successive 

periods, an owner or operator may perform the required task at 

any time during the specified period, provided that the task is 
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conducted at a reasonable interval after completion of the task 

during the previous period.

§63.1402 Definitions.

(a) The following terms used in this subpart shall have the 

meaning given them in §§63.2, 63.101, 63.111, and 63.161 as 

specified after each term:

Act (§63.2)

Administrator (§63.2)

Annual average concentration (§63.111)

Annual average flow rate (§63.111)

Automated monitoring and recording system (§63.111)

Boiler (§63.111)

Bottoms receiver (§63.161)

By compound (§63.111)

By-product (§63.101)

Car-seal (§63.111)

Closed-vent system (§63.111)

Combustion device (§63.111)

Commenced (§63.2)

Compliance date (§63.2)

Connector (§63.161)

Construction (§63.2)

Continuous monitoring system (§63.2)

Distillation unit (§63.111)
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Duct work (§63.161)

Emission standard (§63.2)

EPA (§63.2)

External floating roof (§63.111)

First attempt at repair (§63.111)

Flame zone (§63.111)

Floating roof (§63.111)

Flow indicator (§63.111)

Fuel gas (§63.101)

Fuel gas system (§63.101)

Hard-piping (§63.111)

Hazardous air pollutant (§63.2)

Impurity (§63.101)

Inorganic hazardous air pollutant service (§63.161)

Incinerator (§63.111)

Instrumentation system (§63.161)

Internal floating roof (§63.111)

Lesser quantity (§63.2)

Major source (§63.2)

Open-ended valve or line (§63.161)

Operating permit (§63.101)

Organic monitoring device (§63.111)

Owner or operator (§63.2)

Performance evaluation (§63.2)
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Performance test (§63.2)

Permitting authority (§63.2)

Plant site (§63.101)

Potential to emit (§63.2)

Pressure release (§63.161)

Pressure relief device or valve (§63.161)

Primary fuel (§63.111)

Process heater (§63.111)

Process unit shutdown (§63.161)

Process wastewater (§63.111)

Reactor (§63.111)

Reconstruction (§63.2)

Routed to a process or route to a process (§63.161)

Run (§63.2)

Secondary fuel (§63.111)

Sensor (§63.161)

Specific gravity monitoring device (§63.111)

Start-up, shutdown, and malfunction plan (§63.101)

State (§63.2)

Surge control vessel (§63.161)

Temperature monitoring device (§63.111)

Test method (§63.2)

Total resource effectiveness (TRE) index value (§63.111)

Treatment process (§63.111)
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Unit operation (§63.101)

Visible emission (§63.2)

(b) All other terms used in this subpart shall have the 

meaning given them in this section. If a term is defined in 

§§63.2, 63.101, 63.111, or 63.161 or defined in 40 CFR part 63, 

subparts SS, UU, or WW and in this section, it shall have the 

meaning given in this section for purposes of this subpart.

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.

Aggregate batch vent stream means a process vent containing 

emissions from at least one reactor batch process vent and at 

least one additional reactor or non-reactor batch process vent 

where the emissions are ducted, hardpiped, or otherwise 

connected together for a continuous flow.

Amino resin means a thermoset resin produced through the 

reaction of formaldehyde, or a formaldehyde containing solution 

(e.g., aqueous formaldehyde), with compound(s) that contain the 

amino group; these compounds include melamine, urea, and urea 

derivatives. Formaldehyde substitutes are exclusively aldehydes.

Amino/phenolic resin means one or both of the following:

(1) Amino resin; or
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(2) Phenolic resin.

Amino/phenolic resin. Pprocess unit (APPU) means a 

collection of equipment assembled and connected by hardpiping or 

ductwork used to process raw materials and to manufacture an 

amino/phenolic resin as its primary product. This collection of 

equipment includes unit operations; process vents; storage 

vessels, as determined in §63.1400(h); and the equipment that is 

subject to the equipment leak provisions as specified in 

§63.1410. Utilities, lines and equipment not containing process 

fluids, and other non-process lines, such as heating and cooling 

systems which do not combine their materials with those in the 

processes they serve, are not part of the amino/phenolic resin 

process unit. An amino/phenolic resin process unit consists of 

more than one unit operation.

Batch cycle means the operational step or steps, from start 

to finish, that occur as part of a batch unit operation.

Batch emission episode means a discrete emission venting 

episode associated with a single batch unit operation. Multiple 

batch emission episodes may occur from a single batch unit 

operation.

Batch mode means the discontinuous bulk movement of 

material through a unit operation. Mass, temperature, 

concentration, and other properties may vary with time. For a 

unit operation operated in a batch mode (i.e., batch unit 
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operation), the addition of material and withdrawal of material 

do not typically occur simultaneously.

Batch process vent means a process vent from a batch unit 

operation within an affected source. Batch process vents are 

either reactor batch process vents or non-reactor batch process 

vents.

Batch unit operation means a unit operation operated in a 

batch mode.

Block means the time period that comprises a single batch 

cycle.

Combustion device burner means a device designed to mix and 

ignite fuel and air to provide a flame to heat and oxidize waste 

organic vapors in a combustion device.

Continuous mode means the continuous movement of material 

through a unit operation. Mass, temperature, concentration, and 

other properties typically approach steady-state conditions. For 

a unit operation operated in a continuous mode (i.e., continuous 

unit operation), the simultaneous addition of raw material and 

withdrawal of product is typical.

Continuous process vent means a process vent from a 

continuous unit operation within an affected source. Process 

vents that are serving as control devices are not subject to 

additional control requirements.
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Continuous record means documentation, either in hard copy 

or computer readable form, of data values measured at least once 

every 15 minutes and recorded at the frequency specified in 

§63.1416(c) or (h).

Continuous recorder means a data recording device that 

either records an instantaneous data value at least once every 

15 minutes or records 1 hour or more frequent block average 

values.

Continuous unit operation means a unit operation operated 

in a continuous mode.

Control device means any combustion device, recovery 

device, or recapture device. Such equipment includes, but is not 

limited to, absorbers, carbon adsorbers, condensers, 

incinerators, flares, boilers, and process heaters. For 

continuous process vents, recapture devices are considered 

control devices but recovery devices are not considered control 

devices. Condensers operating as process condensers are not 

considered control devices. For a condenser that sometimes 

operates as a process condenser to be considered a control 

device, it shall not be operating as a process condenser for a 

given batch emission episode, and it shall recycle of the 

recovered material within the process.

Control technology means any process modification or use of 

equipment that reduces organic HAP emissions. Examples include, 
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but are not limited to, product reformulation to reduce solvent 

content and/or use, batch cycle time reduction to reduce the 

duration of emissions, reduction of nitrogen purge rate, and the 

lowering of process condenser coolant temperatures.

Controlled organic HAP emissions means the quantity of 

organic HAP discharged to the atmosphere from a control device.

Emission point means an individual continuous process vent, 

batch process vent, aggregate batch vent stream, storage vessel, 

equipment leak, or heat exchange system.

Equipment means , for the purposes of the provisions in 

§63.1410, each pump, compressor, agitator, pressure relief 

device, sampling connection system, open-ended valve or line, 

valve, connector, and instrumentation system in organic HAP 

service; and any control devices or systems required by 

§63.1410. For purposes of this subpart, surge control vessels 

and bottom receivers are not equipment for purposes of 

regulating equipment leak emissions. Surge control vessels and 

bottoms receivers are regulated as non-reactor batch process 

vents for the purposes of this subpart.

Equipment leak means emissions of organic HAP from a pump, 

compressor, agitator, pressure relief device, sampling 

connection system, open-ended valve or line, valve, or 

instrumentation system that either contains or contacts a fluid 
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(liquid or gas) that is at least 5 percent by weight of total 

organic HAP.

Existing process unit means any process unit that is not a 

new process unit.

Flexible operations process unit means a process unit that 

periodically manufactures different chemical products, polymers, 

or resins by alternating raw materials or operating conditions. 

These units are also referred to as campaign plants or blocked 

operations.

Heat exchange system means any cooling tower system or 

once-through cooling water system (e.g., river or pond water) 

designed and intended to operate to not allow contact between 

the cooling medium and process fluid or gases (i.e., a 

noncontact system). A heat exchange system may include more than 

one heat exchanger and may include recirculating or once-through 

cooling systems.

Highest-HAP recipe for a product means the recipe of the 

product with the highest total mass of organic HAP charged to 

the reactor during the production of a single batch of product.

Initial start-up means the first time a new or 

reconstructed affected source begins production, or, for 

equipment added or changed, the first time the equipment is put 

into operation. Initial start-up does not include operation 

solely for testing equipment. Initial start-up does not include 
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subsequent start-ups of an affected source or portion thereof 

following malfunctions or shutdowns, or following changes in 

product for flexible operation process units, or following 

recharging of equipment in batch operation. Further, for 

purposes of §§63.1401 and 63.1410, initial start-up does not 

include subsequent start-ups of affected sources or portions 

thereof following malfunctions or process unit shutdowns.

Inprocess recycling means a recycling operation in which 

recovered material is used by a unit operation within the same 

affected source. It is not necessary for recovered material to 

be used by the unit operation from which they were recovered.

Maintenance wastewater means wastewater generated by the 

draining of process fluid from components in the APPU into an 

individual drain system prior to or during maintenance 

activities. Maintenance wastewater can be generated during 

planned and unplanned shutdowns and during periods not 

associated with a shutdown. Examples of activities that can 

generate maintenance wastewaters include descaling of heat 

exchanger tubing bundles, cleaning of distillation column traps, 

draining of low legs and high point bleeds, draining of pumps 

into an individual drain system, and draining of portions of the 

APPU for repair. The generation of wastewater from the routine 

rinsing or washing of equipment in batch operation between 
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batches is not maintenance wastewater for the purposes of this 

subpart.

Malfunction means any sudden, infrequent, and not 

reasonably preventable failure of air pollution control 

equipment or process equipment, or failure of a process to 

operate in a normal or usual manner, or opening of a safety 

device which causes, or has the potential to cause, the emission 

limitations in an applicable standard to be exceeded. Failures 

that are caused in part by poor maintenance or careless 

operation are not malfunctions.

Maximum representative operating conditions means, for 

purposes of testing or measurements required by §63.1413, those 

conditions which reflect the highest organic HAP emissions 

reasonably expected to be vented to the control device or 

emitted to the atmosphere. For affected sources that produce the 

same product(s) using multiple recipes, the production of the 

highest-HAP recipe is reflective of maximum representative 

operating conditions.

Maximum true vapor pressure means the equilibrium partial 

pressure exerted by the total organic HAP in the stored liquid 

at the temperature equal to the highest calendar-month average 

of the liquid storage temperature for liquids stored above or 

below the ambient temperature, or at the local maximum monthly 
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average temperature as reported by the National Weather Service 

for liquids stored at the ambient temperature, as determined:

(1) In accordance with methods described in American 

Petroleum Institute Publication 2517, Evaporative Loss From 

External Floating-Roof Tanks (incorporated by reference as 

specified in §63.14); or

(2) As obtained from standard reference texts; or

(3) As determined by the American Society for Testing and 

Materials Method D2879–83 (incorporated by reference as 

specified in §63.14); or

(4) Any other method approved by the Administrator.

Multicomponent system means, as used in conjunction with 

batch process vents, a stream whose liquid and/or vapor contains 

more than one compound.

Net heating value means the difference between the heat 

value of the recovered chemical stream and the minimum heat 

value required to ensure a stable flame in the combustion 

device. This difference must have a positive value when used in 

the context of “recovering chemicals for fuel value” (e.g., in 

the definition of “recovery device” in this section).

New process unit means a process unit for which the 

construction or reconstruction commenced after December 14, 

1998.
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Non-reactor batch process vent means a batch process vent 

originating from a unit operation other than a reactor. Nonreactor batch process vents include, but are not limited to, 

batch process vents from filter presses, surge control vessels, 

bottoms receivers, weigh tanks, and distillation systems.

Non-solvent-based resin means an amino/phenolic resin 

manufactured without the use of a solvent as described in the 

definition of solvent-based resin.

On-site or On site means, with respect to records required 

to be maintained by this subpart or required by another subpart 

referenced by this subpart, records are stored at a location 

within a major source which encompasses the affected source. Onsite includes, but is not limited to, storage at the affected 

source or APPU to which the records pertain, or storage in 

central files elsewhere at the major source.

Operating day means the period defined by the owner or 

operator in the Notification of Compliance Status required by 

§63.1417(e). The operating day is the period for which daily 

average monitoring values and batch cycle daily average 

monitoring values are determined.

Organic hazardous air pollutant(s) (organic HAP) means one 

or more of the chemicals listed in Table 2 of this subpart or 

any other chemical which is:
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(1) Knowingly produced or introduced into the manufacturing 

process other than as an impurity; and

(2) Listed in Table 2 of subpart F of this part.

Phenolic resin means a thermoset resin that is a 

condensation product of formaldehyde and phenol, or a 

formaldehyde substitute and/or a phenol substitute. Substitutes 

for formaldehyde are exclusively aldehydes and include 

acetaldehyde or furfuraldehyde. Substitutes for phenol include 

other phenolic starting compounds such as cresols, xylenols, ptert-butylphenol, p-phenylphenol, nonylphenol, and resorcinols.

Process condenser means a condenser functioning so as to 

recover material as an integral part of a unit operation(s). A 

process condenser shall support a vapor-to-liquid phase change 

for periods of equipment operation that are at or above the 

boiling or bubble point of substance(s) at the liquid surface. 

Examples of process condensers include distillation condensers, 

reflux condensers, and condensers used in stripping or flashing 

operations. In a series of condensers, all condensers up to and 

including the first condenser with an exit gas temperature below 

the boiling or bubble point of the substance(s) at the liquid 

surface are considered to be process condensers. All condensers 

in line prior to a vacuum source are considered process 

condensers when the vacuum source is being operated. A condenser 

may be a process condenser for some batch emission episodes and, 
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when meeting certain conditions, may be a control device for 

other batch emission episodes.

Process unit means a collection of equipment assembled and 

connected by hardpiping or ductwork used to process raw 

materials and to manufacture a product.

Process vent means a gaseous emission stream from a unit 

operation where the gaseous emission stream is discharged to the 

atmosphere either directly or after passing through one or more 

control, recovery, or recapture devices. Unit operations that 

may have process vents are condensers, distillation units, 

reactors, or other unit operations within the APPU. Emission 

streams that are undiluted and uncontrolled containing less than 

50 parts per million volume (ppmv) organic HAP, as determined 

through process knowledge that no organic HAP are present in the 

emission stream or using an engineering assessment as discussed 

in §63.1414(d)(6); test data using the test methods specified in 

§63.1414(a); or any other test method that has been validated 

according to the procedures in Method 301 of appendix A of this 

part are not considered process vents. Process vents exclude 

relief valve discharges, gaseous streams routed to a fuel gas 

system(s), and leaks from equipment regulated under §63.1410. 

Process vents that are serving as control devices are not 

subject to additional control requirements.
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Product means a resin, produced using the same monomers and 

varying in additives (e.g., initiators, terminators, etc.), 

catalysts, or in the relative proportions of monomers, that is 

manufactured by a process unit. With respect to resins, more 

than one recipe may be used to produce the same product. Product 

also means a chemical that is not a resin that is manufactured 

by a process unit. By-products, isolated intermediates, 

impurities, wastes, and trace contaminants are not considered 

products.

Reactor batch process vent means a batch process vent 

originating from a reactor.

Recapture device means an individual unit of equipment 

capable of and used for the purpose of recovering chemicals, but 

not normally for use, reuse, or sale. For example, a recapture 

device may recover chemicals primarily for disposal. Recapture 

devices include, but are not limited to, absorbers, carbon 

adsorbers, and condensers.

Recipe means a specific composition from among the range of 

possible compositions that may occur within a product, as 

defined in this section. A recipe is determined by the 

proportions of monomers and, if present, other reactants and 

additives that are used to make the recipe. For example, a 

methylated amino resin and a non-methylated amino resin are both 

different recipes of the same product, amino resin.
Page 40 of 217

Recovery device means an individual unit of equipment 

capable of and normally used for the purpose of recovering 

chemicals for use, reuse, fuel value (i.e., net heating value); 

or for sale for use, reuse, or fuel value (i.e., net heating 

value). Examples of equipment that may be recovery devices 

include absorbers, carbon adsorbers, condensers, oil-water 

separators or organic-water separators, or organic removal 

devices such as decanters, strippers, or thin-film evaporation 

units. For the purposes of the monitoring, recordkeeping, or 

reporting requirements of this subpart, recapture devices are 

considered recovery devices.

Safety device means a closure device such as a pressure 

relief valve, frangible disc, fusible plug, or any other type of 

device which functions exclusively to prevent physical damage or 

permanent deformation to a unit or its air emission control 

equipment by venting gases or vapors directly to the atmosphere 

during unsafe conditions resulting from an unplanned, 

accidental, or emergency event. For the purposes of this 

subpart, a safety device is not used for routine venting of 

gases or vapors from the vapor headspace underneath a cover such 

as during filling of the unit or to adjust the pressure in this 

vapor headspace in response to normal daily diurnal ambient 

temperature fluctuations. A safety device is designed to remain 

in a closed position during normal operations and open only when 
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the internal pressure, or another relevant parameter, exceeds 

the device threshold setting applicable to the air emission 

control equipment as determined by the owner or operator based 

on manufacturer recommendations, applicable regulations, fire 

protection and prevention codes, standard engineering codes and 

practices, or other requirements for the safe handling of 

flammable, combustible, explosive, reactive, or hazardous 

materials.

Seal means, for the purpose of complying with the 

requirements of § 63.1033(b) of subpart UU of this part, that 

instrument monitoring of the open-ended valve or line conducted 

according to the method specified in § 63.1023(b) and, as 

applicable, § 63.1023(c) of subpart UU of this part indicates no 

readings of 500 parts per million or greater.

Shutdown means for purposes including, but not limited to, 

periodic maintenance, replacement of equipment, or repair, the 

cessation of operation of an affected source, an APPU(s) within 

an affected source, or equipment required or used to comply with 

this subpart, or the emptying or degassing of a storage vessel. 

For purposes of the batch process vent provisions in §§63.1406 

through 63.1408, the cessation of equipment in batch operations 

is not a shutdown, unless the equipment undergoes maintenance, 

is replaced, or is repaired.
Page 42 of 217

Solvent-based resin means an amino/phenolic resin that 

consumes a solvent (i.e., methanol, xylene) as a reactant in the 

resin producing reaction. The use of a solvent as a carrier 

(i.e., adding methanol to the product/water solution after the 

reaction is complete) does not meet this definition.

Start-up means the setting into operation of an affected 

source, an APPU(s) within an affected source, a unit operation 

within an affected source, or equipment required or used to 

comply with this subpart, or a storage vessel after emptying and 

degassing. For both continuous and batch unit operations, startup includes initial start-up and operation solely for testing 

equipment. For both continuous and batch unit operations, startup does not include the recharging of equipment in batch 

operation. For continuous unit operations, start-up includes 

transitional conditions due to changes in product for flexible 

operation process units. For batch unit operations, start-up 

does not include transitional conditions due to changes in 

product for flexible operation process units.

Steady-state conditions means that all variables 

(temperatures, pressures, volumes, flow rates, etc.) in a 

process do not vary significantly with time; minor fluctuations

about constant mean values may occur.
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Storage vessel means a tank or other vessel that is used to 

store liquids that contain one or more organic HAP. Storage 

vessels do not include:

(1) Vessels permanently attached to motor vehicles such as 

trucks, railcars, barges, or ships;

(2) Pressure vessels designed to operate in excess of 204.9 

kilopascals and without emissions to the atmosphere;

(3) Vessels with capacities smaller than 38 cubic meters;

(4) Vessels and equipment storing and/or handling material 

that contains no organic HAP and/or organic HAP as impurities 

only;

(5) Wastewater storage tanks;

(6) Surge control vessels or bottoms receivers; and

(7) Vessels and equipment storing and/or handling 

amino/phenolic resin.

Supplemental combustion air means the air that is added to 

a vent stream after the vent stream leaves the unit operation. 

Air that is part of the vent stream as a result of the nature of 

the unit operation is not considered supplemental combustion 

air. Air required to operate combustion device burner(s) is not 

considered supplemental combustion air.

Uncontrolled organic HAP emissions means the organic HAP 

emitted from a unit operation prior to introduction of the 

emission stream into a control device. Uncontrolled HAP 
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emissions are determined after any condenser that is operating 

as a process condenser. If an emission stream is not routed to a 

control device, uncontrolled organic HAP emissions are those 

organic HAP emissions released to the atmosphere.

Vent stream, as used in reference to batch process vents, 

aggregate batch vent streams, continuous process vents, and 

storage vessels, means the emissions from that emission point.

Waste management unit means the equipment, structure(s), 

and/or device(s) used to convey, store, treat, or dispose of 

wastewater streams or residuals. Examples of waste management 

units include: wastewater tanks, surface impoundments, 

individual drain systems, and biological wastewater treatment 

units. Examples of equipment that may be waste management units 

include containers, air flotation units, oil-water separators or 

organic-water separators, or organic removal devices such as 

decanters, strippers, or thin-film evaporation units. If such 

equipment is used for recovery, then it is part of an APPU and 

is not a waste management unit.

Wastewater is either a process wastewater or maintenance 

wastewater and means water that:

(1) Contains either:

(i) An annual average concentration of organic HAP, as 

indicated on Table 2 of this subpart, of at least 5 parts per 
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million by weight and has an annual average flow rate of 0.02 

liter per minute or greater; or

(ii) An annual average concentration of organic HAP, as 

indicated on Table 2 of this subpart, of at least 10,000 parts 

per million by weight at any flow rate.

(2) Is discarded from an APPU that is part of an affected 

source.

(3) Does not include:

(i) Stormwater from segregated sewers;

(ii) Water from fire-fighting and deluge systems in 

segregated sewers;

(iii) Spills;

(iv) Water from safety showers;

(v) Water from testing of deluge systems; and

(vi) Water from testing of firefighting systems.

Wastewater stream means a stream that contains wastewater 

as defined in this section.

§63.1403 Emission standards.

(a) Provisions of this subpart. Except as allowed under 

paragraph (b) of this section, the owner or operator of an 

affected source shall comply with the provisions of §§63.1404 

through 63.1410, as appropriate. When emissions are vented to a 

control device or control technology as part of complying with 

this subpart, emissions shall be vented through a closed vent 
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system meeting the requirements of 40 CFR part 63, subpart SS 

(national emission standards for closed vent systems, control 

devices, recovery devices).

(b) Combined emission streams. When emissions of different 

kinds (e.g., emissions from continuous process vents, storage 

vessels, etc.) are combined at a new affected source, and at 

least one of the emission streams would be required by this 

subpart to apply controls in the absence of combination with 

other emission streams, the owner or operator shall comply with 

the requirements of paragraph (b)(1) or (2) of this section, as 

appropriate.

(1) For any combined vent stream that includes one or more 

aggregate batch vent streams, comply with the provisions for 

aggregate batch vent streams.

(2) For any combined vent stream that does not include one 

or more aggregate batch vent streams:

(i) Reactor batch process vents and non-reactor batch 

process vents shall comply with the provisions for reactor batch 

process vents and non-reactor batch process vents, as 

appropriate.

(ii) The remaining emissions (i.e., storage vessel and/or 

continuous process vent emissions) included in the combined vent 

stream shall comply the provisions for storage vessels when 

storage vessel emissions are included and shall comply with the 
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provisions for continuous process vents in the absence of 

storage vessel emissions (i.e., when only continuous process 

vents are included).

(c) Compliance for flexible operations process units. With 

the exceptions specified in paragraphs (c)(1) and (2) of this 

section, owners or operators of APPUs that are flexible 

operations process units shall comply with the provisions of 

this subpart at all times, regardless of the product being 

manufactured. Once it has been determined that an emission point 

requires control during manufacture of amino/phenolic resins, 

that emission point shall be controlled at all times regardless 

of the product being manufactured.

(1) When a flexible operations process unit is 

manufacturing a product in which no organic HAP are used or 

manufactured, the owner or operator is not required to comply 

with the provisions of this subpart or with the provisions of 

subpart A of this part during manufacture of that product. When 

requested by the Administrator, the owner or operator shall 

demonstrate that no organic HAP are used or manufactured.

(2) When a flexible operations process unit is 

manufacturing a product subject to subpart GGG of this part, the 

owner or operator is not required to comply with the provisions 

of this subpart during manufacture of that product (i.e., a 

pharmaceutical).
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§63.1404 Storage vessel provisions.

(a) Emission standards. For each storage vessel located at 

a new or existing affected source that has a capacity of 

50greater than or equal to 20,000 gallons, but less than 40,000 

gallons, or greater and vapor pressure of 2.451.9 pounds per 

square inch absolute (psia) or greater; has a capacity of 

greater than or equal to 40,000 gallons, but less than 90,000 

gallons, and vapor pressure of 0.75 psia or greater; or has a 

capacity of 90,000 gallons or greater and vapor pressure of 0.15 

psia or greater, the owner or operator shall comply with either 

paragraph (a) (1) or (2) of this section. As an alternative to 

complying with paragraph (a) of this section, an owner or 

operator may comply with paragraph (b) of this section.

(1) Reduce emissions of total organic HAP by 95 weightpercent. Control shall be achieved by venting emissions through 

a closed vent system to any combination of control devices 

meeting the requirements of 40 CFR part 63, subpart SS (national 

emission standards for closed vent systems, control devices, 

recovery devices). When complying with the requirements of 40 

CFR part 63, subpart SS, the following apply for purposes of 

this subpart:

(i) Design evaluations are allowed for control devices that 

control emission points with total emissions less than 10 tons 
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of organic HAP per year before control (i.e., small control 

devices).

(ii) When 40 CFR part 63, subpart SS refers to specific 

test methods for the measurement of organic HAP concentration, 

the test methods presented in §63.1414(a) shall be used.

(iii) The option to measure TOC instead of organic HAP, as 

a basis for demonstrating compliance, is not allowed.

(iv) Excused excursions are not allowed.

(v) The provisions in §63.1403(b), rather than the 

provisions in §63.982(f), are to be followed for combined vent 

streams.

(vi) When a scrubber is used as a control device, the owner 

or operator shall follow the guidance provided in this subpart 

for design evaluations or performance tests, as appropriate, and 

for monitoring, recordkeeping, and reporting.

(vii) When there are conflicts between the due dates for 

reports presented in 40 CFR part 63, subpart SS and this 

subpart, reports shall be submitted according to the due dates 

presented in this subpart.

(viii) When there are conflicts between the recordkeeping 

and reporting requirements presented in 40 CFR part 63, subpart 

SS and this subpart, the owner or operator shall either follow 

both sets of requirements (i.e., follow the requirements in 40 

CFR part 63, subpart SS for emission points covered by 40 CFR 
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part 63, subpart SS and follow the requirements of this subpart 

for emission points covered by this subpart) or shall follow the 

set of requirements they prefer. If an owner or operator chooses 

to follow just one set of requirements, the owner or operator 

shall identify which set of requirements are being followed and 

which set of requirements are being disregarded in the 

appropriate report.

(2) Comply with the requirements of 40 CFR part 63, subpart 

WW (national emission standards for storage vessels (control 

level 2)). When complying with the requirements of 40 CFR part 

63, subpart WW, the following apply for purposes of this 

subpart:

(i) When there are conflicts between the due dates for 

reports presented in 40 CFR part 63, subpart WW and this 

subpart, reports shall be submitted according to the due dates 

presented in this subpart.

(ii) When there are conflicts between the recordkeeping and 

reporting requirements presented in 40 CFR part 63, subpart WW 

and this subpart, the owner or operator shall either follow both 

sets of requirements (i.e., follow the requirements in 40 CFR 

part 63, subpart WW for emission points covered by 40 CFR part 

63, subpart WW and follow the requirements of this subpart for 

emission points covered by this subpart) or shall follow the set 

of requirements they prefer. If an owner or operator chooses to 
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follow just one set of requirements, the owner or operator shall 

identify which set of requirements are being followed and which 

set of requirements are being disregarded in the appropriate 

report.

(b) Alternative standard. Vent all organic HAP emissions 

from a storage vessel meeting either of the capacity and vapor 

pressure criteria specified in paragraph (a) of this section to 

a combustion control device achieving an outlet organic HAP 

concentration of 20 ppmv or less or to a non-combustion control 

device achieving an outlet organic HAP concentration of 50 ppmv 

or less. Any storage vessels that are not vented to a control 

device meeting these conditions shall be controlled in 

accordance with the provisions of paragraph (a)(1) or (2) of 

this section.

§63.1405 Continuous process vent provisions.

(a) Emission standards. For each continuous process vent 

located at a new or existing affected source with a Total 

Resource Effectiveness (TRE) index value, as determined 

following the procedures specified in §63.1412(j), less than or 

equal to 1.2, the owner or operator shall comply with either 

paragraph (a)(1) or (2) of this section. As an alternative to 

complying with paragraph (a) of this section, an owner or 

operator may comply with paragraph (b) of this section.

(1) Vent all emissions of organic HAP to a flare.
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(2) Reduce emissions of total organic HAP by 85 weightpercent or to a concentration of 20 ppmv when using a combustion 

control device or to a concentration of 50 ppmv when using a 

non-combustion control device, whichever is less stringent. 

Control shall be achieved by venting emissions through a closed 

vent system to any combination of control devices meeting the 

requirements of 40 CFR part 63, subpart SS (national emission 

standards for closed vent systems, control devices, recovery 

devices). When complying with the requirements of 40 CFR part 

63, subpart SS, the following apply for purposes of this 

subpart:

(i) Design evaluations are allowed for control devices that 

control emission points with total emissions less than 10 tons 

of organic HAP per year before control (i.e., small control 

devices).

(ii) When 40 CFR part 63, subpart SS refers to specific 

test methods for the measurement of organic HAP concentration, 

the test methods presented in §63.1414(a) shall be used.

(iii) The option to measure TOC instead of organic HAP, as 

a basis for demonstrating compliance, is not allowed.

(iv) Excused excursions are not allowed.

(v) The provisions in §63.1403(b), rather than the 

provisions in §63.982(f), are to be followed for combined vent 

streams.
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(vi) When a scrubber is used as a control device, the owner 

or operator shall follow the guidance provided in this subpart 

for design evaluations or performance tests, as appropriate, and 

for monitoring, recordkeeping, and reporting.

(vii) When there are conflicts between the due dates for 

reports presented in 40 CFR part 63, subpart SS and this 

subpart, reports shall be submitted according to the due dates 

presented in this subpart.

(viii) When there are conflicts between the recordkeeping 

and reporting requirements presented in 40 CFR part 63, subpart 

SS and this subpart, the owner or operator shall either follow 

both sets of requirements (i.e., follow the requirements in 40 

CFR part 63, subpart SS for emission points covered by 40 CFR 

part 63, subpart SS and follow the requirements of this subpart 

for emission points covered by this subpart) or shall follow the 

set of requirements they prefer. If an owner or operator chooses 

to follow just one set of requirements, the owner or operator 

shall identify which set of requirements are being followed and 

which set of requirements are being disregarded in the 

appropriate report.

(b) Alternative standard. Vent all organic HAP emissions 

from a continuous process vent meeting the TRE value specified 

in paragraph (a) of this section to a combustion control device 

achieving an outlet organic HAP concentration of 20 ppmv or less 
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or to a non-combustion control device achieving an outlet 

organic HAP concentration of 50 ppmv or less. Any continuous 

process vents that are not vented to a control device meeting 

these conditions shall be controlled in accordance with the 

provisions of paragraphs (a)(1) or (2) of this section.

§63.1406 Reactor batch process vent provisions.

(a) Emission standards. Owners or operators of reactor 

batch process vents located at new or existing affected sources 

shall comply with paragraph (a)(1) or (2) of this section, as 

appropriate. As an alternative to complying with paragraph (a) 

of this section, an owner or operator may comply with paragraph 

(b) of this section.

(1) The owner or operator of a reactor batch process vent 

located at a new affected source shall control organic HAP 

emissions by complying with either paragraph (a)(1)(i), (ii), or 

(iii) of this section.

(i) Vent all emissions of organic HAP to a flare.

(ii) Reduce organic HAP emissions for the batch cycle by 95 

weight percent using a control device or control technology.

(iii) Reduce organic HAP emissions from the collection of 

all reactor batch process vents within the affected source, as a 

whole, to 0.0045 kilogram of organic HAP per megagram of product 

or less for solvent-based resin production, or to 0.0004 
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kilogram of organic HAP per megagram of product or less for nonsolvent-based resin production.

(2) The owner or operator of a reactor batch process vent 

located at an existing affected source shall control organic HAP 

emissions by complying with either paragraph (a)(2)(i), (ii), or 

(iii) of this section.

(i) Vent all emissions of organic HAP to a flare.

(ii) Reduce organic HAP emissions for the batch cycle by 83 

weight percent using a control device or control technology.

(iii) Reduce organic HAP emissions from the collection of 

all reactor batch process vents within the affected source, as a 

whole, to 0.0567 kilogram of organic HAP per megagram of product 

or less for solvent-based resin production, or to 0.0057 

kilogram of organic HAP per megagram of product or less for nonsolvent-based resin production.

(b) Alternative standard. Vent all organic HAP emissions 

from a reactor batch process vent to a combustion control device 

achieving an outlet organic HAP concentration of 20 ppmv or less 

or to a non-combustion control device achieving an outlet 

organic HAP concentration of 50 ppmv or less. Any reactor batch 

process vents that are not vented to a control device meeting 

these conditions shall be controlled in accordance with the 

provisions of paragraph (a)(1)(ii), or paragraph (a)(2)(ii) of 

this section.
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(c) Use of boiler or process heater. If a boiler or process 

heater is used to comply with the requirements of paragraph 

(a)(1)(i) or (ii), or paragraph (a)(2)(i) or (ii) of this 

section, the reactor batch process vent shall be introduced into 

the flame zone of such a device.

§63.1407 Non-reactor batch process vent provisions.

(a) Emission standards. (1) Owners or operators of nonreactor batch process vents located at new or existing affected 

sources with 0.25 tons per year (0.23 megagrams per year) of 

uncontrolled organic HAP emissions or greater from the 

collection of non-reactor batch process vents within the 

affected source shall comply with the requirements in paragraph 

(a)(2) or (3) of this section, as appropriate. As an alternative 

to complying with paragraph (a)(2) or (3) of this section, an 

owner or operator may comply with paragraph (b) of this section. 

Owners or operators shall determine uncontrolled organic HAP 

emissions from the collection of non-reactor batch process vents 

within the affected source as specified in paragraph (d) of this 

section. If the owner or operator finds that uncontrolled 

organic HAP emissions from the collection of non-reactor batch 

process vents within the affected source are less than 0.25 tons 

per year (0.23 megagrams per year), non-reactor batch process 

vents are not subject to the control requirements of this 

section. Further, the owner or operator shall, when requested by 
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the Administrator, demonstrate that organic HAP emissions for 

the collection of non-reactor batch process vents within the 

affected source are less than 0.25 tons per year (0.23 megagrams 

per year).

(2) The owner or operator of a non-reactor batch process 

vent located at a new affected source shall:

(i) Vent all emissions of organic HAP to a flare; or

(ii) For the collection of non-reactor batch process vents 

within the affected source, reduce organic HAP emissions for the 

batch cycle by 76 weight percent using a control device or 

control technology.

(3) The owner or operator of a non-reactor batch process 

vent located at an existing affected source shall:

(i) Vent all emissions of organic HAP to a flare; or

(ii) For the collection of non-reactor batch process vents 

within the affected source, reduce organic HAP emissions for the 

batch cycle by 62 weight percent using a control device or 

control technology.

(b) Alternative standard. Comply with either paragraph 

(b)(1) or (2) of this section.

(1) Control device outlet concentration. Vent all organic 

HAP emissions from a non-reactor batch process vent to a 

combustion control device achieving an outlet organic HAP 

concentration of 20 ppmv or less or to a non-combustion control 
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device achieving an outlet organic HAP concentration or 50 ppmv 

or less. Any reactor batch process vents that are not vented to 

a control device meeting these conditions shall be controlled in 

accordance with the provisions of paragraph (a)(2) or (3) of 

this section.

(2) Mass emission limit. Include the emissions from all 

non-reactor batch process vents in the compliance demonstration 

required for reactor batch process vents complying with the mass 

emission limits specified in §63.1406(a)(1)(iii) and 

(a)(2)(iii), as appropriate. This compliance option may only be 

used when the owner or operator has elected to comply with the 

mass emission limit for reactor batch process vents.

(c) Use of boiler or process heater. If a boiler or process 

heater is used to comply with paragraph (a)(2)(ii) or (a)(3)(ii) 

of this section, the reactor batch process vent shall be 

introduced into the flame zone of such a device.

(d) Determining uncontrolled organic HAP emissions. Owners 

or operators shall determine uncontrolled organic HAP emissions 

from the collection of non-reactor batch process vents within 

the affected source based on engineering assessment as described 

in §63.1414(d)(6).

§63.1408 Aggregate batch vent stream provisions.

(a) Emission standards. Owners or operators of aggregate 

batch vent streams at a new or existing affected source shall 
Page 59 of 217

comply with either paragraph (a)(1) or (2) of this section, as 

appropriate. As an alternative to complying with paragraph 

(a)(1) or (2) of this section, an owner or operator may comply 

with paragraph (b) of this section.

(1) The owner or operator of an aggregate batch vent stream 

located at a new affected source shall:

(i) Vent all emissions of organic HAP to a flare; or

(ii) Reduce organic HAP emissions by 95 weight percent or 

to a concentration of 20 ppmv when using a combustion control 

device or to a concentration of 50 ppmv when using a noncombustion control device, whichever is less stringent, on a 

continuous basis.

(2) The owner or operator of an aggregate batch vent stream 

located at an existing affected source shall:

(i) Vent all emissions of organic HAP to a flare; or

(ii) Reduce organic HAP emissions by 83 weight percent or 

to a concentration of 20 ppmv when using a combustion control 

device or to a concentration of 50 ppmv when using a noncombustion control device, whichever is less stringent, on a 

continuous basis.

(b) Alternative standard. Comply with either paragraph 

(b)(1) or (2) of this section.

(1) Control device outlet concentration. Vent all organic 

HAP emissions from an aggregate batch vent stream to a 
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combustion control device achieving an outlet organic HAP 

concentration of 20 ppmv or less or to a non-combustion control 

device achieving an outlet organic HAP concentration of 50 ppmv 

or less. Any aggregate batch vent streams that are not vented to 

a control device meeting these conditions shall be controlled in 

accordance with the provisions of paragraphs (a)(1) or (a)(2) of 

this section.

(2) Mass emission limit. Include the emissions from all 

aggregate batch vent streams in the compliance demonstration 

required for reactor batch process vents complying with the mass 

emission limits specified in §63.1406(a)(1)(iii) and 

(a)(2)(iii), as appropriate. This compliance option may only be 

used when the owner or operator has elected to comply with the 

mass emission limit for reactor batch process vents.

§63.1409 Heat exchange system provisions.

(a) Unless one or more of the conditions specified in 

paragraphs (a)(1) through (6) of this section are met, owners 

and operators of sources subject to this subpart shall monitor 

each heat exchange system used to cool process equipment in an 

affected source, according to the provisions in either paragraph 

(b) or (c) of this section. Whenever a leak is detected, the 

owner or operator shall comply with the requirements in 

paragraph (d) of this section.
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(1) The heat exchange system is operated with the minimum 

pressure on the cooling water side at least 35 kilopascals 

greater than the maximum pressure on the process side.

(2) There is an intervening cooling fluid, containing less 

than 5 percent by weight of total HAP listed in column A of 

Table 2 of this subpart, between the process and the cooling 

water. This intervening fluid serves to isolate the cooling 

water from the process fluid, and the intervening fluid is not 

sent through a cooling tower or discharged. For purposes of this 

section, discharge does not include emptying for maintenance 

purposes.

(3) The once-through heat exchange system is subject to a 

National Pollution Discharge Elimination System (NPDES) permit 

with an allowable discharge limit of 1 part per million or less 

above influent concentration or 10 percent or less above 

influent concentration, whichever is greater.

(4) The once-through heat exchange system is subject to an 

NPDES permit that:

(i) Requires monitoring of a parameter(s) or condition(s) 

to detect a leak of process fluids into cooling water;

(ii) Specifies or includes the normal range of the 

parameter or condition;
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(iii) Requires monitoring for the parameters selected as 

leak indicators no less frequently than monthly for the first 6 

months and quarterly thereafter; and

(iv) Requires the owner or operator to report and correct 

leaks to the cooling water when the parameter or condition 

exceeds the normal range.

(5) The recirculating heat exchange system is used to cool 

process fluids that contain less than 5 percent by weight of 

total HAP listed in column A of Table 2 of this subpart.

(6) The once-through heat exchange system is used to cool 

process fluids that contain less than 5 percent by weight of 

total HAP listed in column B of Table 2 of this subpart.

(b) The owner or operator who elects to comply with the 

requirements of paragraph (a) of this section by monitoring the 

cooling water for the presence of one or more organic HAP or 

other representative substances whose presence in cooling water 

indicate a leak shall comply with the requirements specified in 

paragraphs (b)(1) through (6) of this section. The cooling water 

shall be monitored for total HAP, total volatile organic 

compounds, total organic carbon, one or more speciated HAP 

compounds, or other representative substances that would 

indicate the presence of a leak in the heat exchange system.

(1) The cooling water shall be monitored monthly for the 

first 6 months and quarterly thereafter to detect leaks.
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(2)(i) For recirculating heat exchange systems (cooling 

tower systems), the monitoring of speciated HAP or total HAP 

refers to the HAP listed in column A of Table 2 of this subpart.

(ii) For once-through heat exchange systems, the monitoring 

of speciated HAP or total HAP refers to the HAP listed in column 

B of Table 2 of this subpart.

(3) The concentration of the monitored substance(s) in the 

cooling water shall be determined using any EPA-approved method 

listed in part 136 of this chapter, as long as the method is 

sensitive to concentrations as low as 10 parts per million and 

the same method is used for both entrance and exit samples. 

Alternative methods may be used upon approval by the 

Administrator.

(4) The samples shall be collected either at the entrance 

and exit of each heat exchange system or at locations where the 

cooling water enters and exits each heat exchanger or any 

combination of heat exchangers.

(i) For samples taken at the entrance and exit of 

recirculating heat exchange systems, the entrance is the point 

at which the cooling water leaves the cooling tower prior to 

being returned to the process equipment, and the exit is the 

point at which the cooling water is introduced to the cooling 

tower after being used to cool the process fluid.
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(ii) For samples taken at the entrance and exit of oncethrough heat exchange systems, the entrance is the point at 

which the cooling water enters, and the exit is the point at 

which the cooling water exits the plant site or chemical 

manufacturing process units.

(iii) For samples taken at the entrance and exit of each 

heat exchanger or any combination of heat exchangers, the 

entrance is the point at which the cooling water enters the 

individual heat exchanger or group of heat exchangers, and the 

exit is the point at which the cooling water exits the heat 

exchanger or group of heat exchangers.

(5) A minimum of three sets of samples shall be taken at 

each entrance and exit as defined in paragraph (b)(4) of this 

section. The average entrance and exit concentrations shall then 

be calculated. The concentration shall be corrected for the 

addition of any makeup water or for any evaporative losses, as 

applicable.

(6) A leak is detected if the exit mean concentration is 

found to be greater than the entrance mean concentration using a 

one-sided statistical procedure at the 0.05 level of 

significance, and the amount by which it is greater is at least 

1 part per million or 10 percent of the entrance mean, whichever

is greater.
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(c) The owner or operator who elects to comply with the 

requirement of paragraph (a) of this section by monitoring using 

a surrogate indicator of heat exchange system leaks shall comply 

with the requirements specified in paragraphs (c)(1) through (3) 

of this section. Surrogate indicators that could be used to 

develop an acceptable monitoring program are ion specific 

electrode monitoring, pH, conductivity or other representative 

indicators.

(1) The owner or operator shall prepare and implement a

monitoring plan that documents the procedures that will be used 

to detect leaks of process fluids into cooling water. The plan 

shall require monitoring of one or more surrogate indicators or 

monitoring of one or more process parameters or other conditions

that indicate a leak. Monitoring that is already being conducted 

for other purposes may be used to satisfy the requirements of 

this section. The plan shall include the information specified 

in paragraphs (c)(1)(i) and (ii) of this section.

(i) A description of the parameter or condition to be 

monitored and an explanation of how the selected parameter or 

condition will reliably indicate the presence of a leak.

(ii) The parameter level(s) or conditions(s) that 

constitute a leak. This shall be documented by data or 

calculations showing that the selected levels or conditions will 

reliably identify leaks. The monitoring must be sufficiently 
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sensitive to determine the range of parameter levels or 

conditions when the system is not leaking. When the selected 

parameter level or condition is outside that range, a leak is 

indicated.

(iii) The monitoring frequency which shall be no less 

frequent than monthly for the first 6 months and quarterly 

thereafter to detect leaks.

(iv) The records that will be maintained to document 

compliance with the requirements of this section.

(2) If a substantial leak is identified by methods other 

than those described in the monitoring plan and the method(s) 

specified in the plan could not detect the leak, the owner or 

operator shall revise the plan and document the basis for the 

changes. The owner or operator shall complete the revisions to 

the plan no later than 180 days after discovery of the leak.

(3) The owner or operator shall maintain, at all times, the 

monitoring plan that is currently in use. The current plan shall 

be maintained on-site, or shall be accessible from a central 

location by computer or other means that provides access within 

2 hours after a request. If the monitoring plan is superseded, 

the owner or operator shall retain the most recent superseded 

plan at least until 5 years from the date of its creation. The 

superseded plan shall be retained on-site (or accessible from a 

central location by computer or other means that provides access 
Page 67 of 217

within 2 hours after a request) for at least 6 months after its 

creation.

(d) If a leak is detected according to the criteria of 

paragraph (b) or (c) of this section, the owner or operator 

shall comply with the requirements in paragraphs (d)(1) and (2) 

of this section, except as provided in paragraph (e) of this 

section.

(1) The leak shall be repaired as soon as practical but not 

later than 45 calendar days after the owner or operator receives 

results of monitoring tests indicating a leak. The leak shall be 

repaired unless the owner or operator demonstrates that the 

results are due to a condition other than a leak.

(2) Once the leak has been repaired, the owner or operator 

shall confirm that the heat exchange system has been repaired 

within 7 calendar days of the repair or startup, whichever is 

later.

(e) Delay of repair of heat exchange systems for which 

leaks have been detected is allowed if the equipment is isolated 

from the process. Delay of repair is also allowed if repair is 

technically infeasible without a shutdown and any one of the 

conditions in paragraph (e)(1) or (2) of this section are met. 

All time periods in paragraphs (e)(1) and (2) of this section 

shall be determined from the date when the owner or operator 

determines that delay of repair is necessary.
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(1) If a shutdown is expected within the next 2 months, a 

special shutdown before that planned shutdown is not required.

(2) If a shutdown is not expected within the next 2 months, 

the owner or operator may delay repair as provided in paragraph 

(e)(2)(i) or (ii) of this section. Documentation of a decision 

to delay repair shall state the reasons repair was delayed and 

shall specify a schedule for completing the repair as soon as 

practical.

(i) If a shutdown for repair would cause greater emissions 

than the potential emissions from delaying repair, the owner or 

operator may delay repair until the next shutdown of the process 

equipment associated with the leaking heat exchanger. The owner 

or operator shall document the basis for the determination that 

a shutdown for repair would cause greater emissions than the 

emissions likely to result from delaying repair as specified in 

paragraphs (e)(2)(i)(A) and (B) of this section.

(A) The owner or operator shall calculate the potential 

emissions from the leaking heat exchanger by multiplying the 

concentration of total HAP listed in column A of Table 2 of this 

subpart in the cooling water from the leaking heat exchanger by 

the flowrate of the cooling water from the leaking heat 

exchanger by the expected duration of the delay. The owner or 

operator may calculate potential emissions using total organic 
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carbon concentration instead of total HAP listed in column A of 

Table 2 of this subpart.

(B) The owner or operator shall determine emissions from 

purging and depressurizing the equipment that will result from 

the unscheduled shutdown for the repair.

(ii) If repair is delayed for reasons other than those 

specified in paragraph (e)(2)(i) of this section, the owner or 

operator may delay repair up to a maximum of 120 calendar days. 

The owner shall demonstrate that the necessary parts or 

personnel were not available.

§63.1410 Equipment leak provisions.

The owner or operator of each affected source shall comply 

with the requirements of 40 CFR part 63, subpart UU (national 

emission standards for equipment leaks (control level 2)) for 

all equipment, as defined under §63.1402, that contains or 

contacts 5 weight-percent HAP or greater and operates 300 hours 

per year or more, except §63.1030. The weight-percent HAP is 

determined for equipment using the organic HAP concentration 

measurement methods specified in §63.1414(a). When complying 

with the requirements of 40 CFR part 63, subpart SS, as referred 

to by 40 CFR part 63, subpart UU, the following apply for 

purposes of this subpart:

(a) Design evaluations are allowed for control devices that 

control emission points with total emissions less than 10 tons 
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of organic HAP per year before control (i.e., small control 

devices).

(b) When 40 CFR part 63, subpart SS refers to specific test 

methods for the measurement of organic HAP concentration, the 

test methods presented in §63.1414(a) shall be used.

(c) The option to measure TOC instead of organic HAP, as a 

basis for demonstrating compliance, is not allowed.

(d) Excused excursions are not allowed.

(e) The provisions in §63.1403(b), rather than the 

provisions in §63.982(f), are to be followed for combined vent 

streams.

(f) When a scrubber is used as a control device, the owner 

or operator shall follow the guidance provided in this subpart 

for design evaluations or performance tests, as appropriate, and 

for monitoring, recordkeeping, and reporting.

(g) When there are conflicts between the due dates for 

reports presented in 40 CFR part 63, subpart SS and this 

subpart, reports shall be submitted according to the due dates 

presented in this subpart.

(h) When there are conflicts between the recordkeeping and 

reporting requirements presented in 40 CFR part 63, subpart SS 

and this subpart, the owner or operator shall either follow both 

sets of requirements (i.e., follow the requirements in 40 CFR 

part 63, subpart SS for emission points covered by 40 CFR part 
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63, subpart SS and follow the requirements of this subpart for 

emission points covered by this subpart) or shall follow the set 

of requirements they prefer. If an owner or operator chooses to 

follow just one set of requirements, the owner or operator shall 

identify which set of requirements are being followed and which 

set of requirements are being disregarded in the appropriate 

report.

§63.1411 [Reserved]Requirements for pressure relief devices.

Except as specified in paragraph (d) of this section, the 

owner or operator must comply with the requirements specified in 

paragraphs (a) and (b) of this section for pressure relief 

devices in organic HAP gas or vapor service. Except as specified 

in paragraph (d) of this section, the owner or operator must 

also comply with the requirements specified in paragraph (c) of 

this section for all pressure relief devices in organic HAP 

service.

(a) Operating requirements. Except during a pressure 

release event, operate each pressure relief device in organic 

HAP gas or vapor service with an instrument reading of less than 

500 ppm above background as detected by Method 21 of 40 CFR part 

60, appendix A.

(b) Pressure release requirements. For pressure relief 

devices in organic HAP gas or vapor service, comply with 

paragraph (b)(1) or (2) of this section, as applicable.
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(1) If the pressure relief device does not consist of or 

include a rupture disk, conduct instrument monitoring, as 

detected by Method 21 of 40 CFR part 60, appendix A, no later 

than 5 calendar days after the pressure relief device returns to 

organic HAP service following a pressure release to verify that 

the pressure relief device is operating with an instrument 

reading of less than 500 ppm above background. After 5 calendar 

days, an instrument reading of 500 ppm above background or 

greater is a violation.

(2) If the pressure relief device consists of or includes a 

rupture disk, install a replacement disk as soon as practicable 

after a pressure release, but no later than 5 calendar days 

after the pressure release. The owner or operator must also 

conduct instrument monitoring, as detected by Method 21 of 40 

CFR part 60, appendix A, no later than 5 calendar days after the 

pressure relief device returns to organic HAP service following 

a pressure release to verify that the pressure relief device is 

operating with an instrument reading of less than 500 ppm above 

background. After 5 calendar days, an instrument reading of 500 

ppm above background or greater is a violation.

(c) Pressure release management. Except as specified in 

paragraph (d) of this section, the owner or operator must comply 

with the requirements specified in paragraphs (c)(1) and (2) of 

this section for all pressure relief devices in organic HAP 
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service. Any pressure release from such a pressure relief device 

is a violation.

(1) The owner or operator must equip each pressure relief 

device in organic HAP service with a device(s) or parameter 

monitoring system that is capable of identifying and recording 

the time and duration of each pressure release and of notifying 

operators immediately that a pressure release is occurring. The 

device or monitoring system may be either specific to the 

pressure relief device itself or on an associated process system 

or piping sufficient to indicate a pressure release to the 

atmosphere. Examples of these types of devices and systems 

include, but are not limited to, a rupture disk indicator, 

magnetic sensor, motion detector on the pressure relief valve 

stem, flow monitor, or pressure monitor. Regardless of the 

methodology chosen, when the device or monitoring system 

indicates that a pressure release has occurred, it shall be 

directly enforceable as a release from the pressure relief 

device. If this instrument is capable of measuring the 

concentration of leaks through the pressure relief device, then 

the owner or operator may use this instrument to meet the 

requirements of paragraph (b) of this section.

(2) If any pressure relief device in organic HAP service 

releases to atmosphere as a result of a pressure release event, 

the owner or operator must calculate the quantity of organic HAP 
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released during each pressure release event and report this 

quantity as required in § 63.1417(f)(13)(iii). Calculations may 

be based on data from the pressure relief device monitoring 

alone or in combination with process parameter monitoring data 

and process knowledge.

(d) Pressure relief devices routed to a control device or 

process. If a pressure relief device in organic HAP service is 

designed and operated to route all pressure releases through a 

closed vent system to a control device or process, the owner or 

operator is not required to comply with paragraphs (a), (b), or 

(c) (if applicable) of this section. Both the closed vent system 

and control device (if applicable) must meet the requirements of 

§ 63.1034 of this part.

§63.1412 Continuous process vent applicability assessment 

procedures and methods.

(a) General. The provisions of this section provide 

procedures and methods for determining the applicability of the 

control requirements specified in §63.1405 to continuous process 

vents.

(b) Sampling sites. Sampling sites shall be located as 

follows:

(1) Sampling site location. The sampling site for 

determining volumetric flow rate, regulated organic HAP 

concentration, total organic HAP, net heating value, and TRE 
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index value, shall be after the final recovery device (if any 

recovery devices are present) but prior to the inlet of any 

control device that is present and prior to release to the 

atmosphere.

(2) Sampling site selection method. Method 1 or 1A of 40 

CFR part 60, appendix A, as appropriate, shall be used for 

selection of the sampling site. No traverse site selection 

method is needed for process vents smaller than 0.33 foot (0.10 

meter) in nominal inside diameter.

(c) Applicability assessment requirement. The organic HAP 

concentrations, volumetric flow rates, heating values, organic 

HAP emission rates, TRE index values, and engineering assessment 

control applicability assessment requirements are to be 

determined during maximum representative operating conditions 

for the process, except as provided in paragraph (d) of this 

section, or unless the Administrator specifies or approves 

alternate operating conditions. Operations during periods of 

startup, shutdown, and malfunction shall not constitute 

representative conditions for the purpose of an applicability 

test.

(d) Exceptions. The owner or operator is not required to 

conduct a test that will cause any of the following situations:

(1) Causing damage to equipment;
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(2) Necessitating that the owner or operator make a product 

that does not meet an existing specification for sale to a 

customer; or

(3) Necessitating that the owner or operator make a product 

in excess of demand.

(e) Organic HAP concentration. The organic HAP 

concentrations, used for TRE index value calculations in 

paragraph (j) of this section, shall be determined using the 

procedures specified in either §63.1414(a) or by using the 

engineering assessment procedures in paragraph (k) of this 

section.

(f) Volumetric flow rate. The volumetric flow rate shall be 

determined using the procedures specified in §63.1414(a), or by 

using the engineering assessment procedures in paragraph (k) of 

this section.

(g) Heating value. The net heating value shall be 

determined as specified in paragraphs (g)(1) and (2) of this 

section, or by using the engineering assessment procedures in 

paragraph (k) of this section.

(1) The net heating value of the continuous process vent 

shall be calculated using Equation 1:

Where:
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HT = Net heating value of the sample, megaJoules per 

standard cubic meter, where the net enthalpy per mole of process 

vent is based on combustion at 25 °C and 760 millimeters of 

mercury, but the standard temperature for determining the volume 

corresponding to 1 mole is 20 °C, as in the definition of 

QS(process vent volumetric flow rate).

K1 = Constant, 1.740×10−7(parts per million)−1(gram-mole per 

standard cubic meter) (megaJoules per kilocalorie), where 

standard temperature for (gram-mole per standard cubic meter) is 

20 °C.

Dj = Organic HAP concentration on a wet basis of compound j 

in parts per million, as measured by procedures indicated in 

paragraph (e) of this section. For process vents that pass 

through a final stream jet and are not condensed, the moisture 

is assumed to be 2.3 percent by volume.

Hj = Net heat of combustion of compound j, kilocalorie per 

gram-mole, based on combustion at 25 °C and 760 millimeters of 

mercury.

(2) The molar composition of the process vent (Dj) shall be 

determined using the methods specified in paragraphs (g)(2)(i) 

through (iii) of this section:

(i) The methods specified in §63.1414(a) to measure the 

concentration of each organic compound.
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(ii) American Society for Testing and Materials D1946–90 to 

measure the concentration of carbon monoxide and hydrogen.

(iii) Method 4 of 40 CFR part 60, appendix A to measure the 

moisture content of the stack gas.

(h) Organic HAP emission rate. The emission rate of organic 

HAP in the continuous process vent, as required by the TRE index 

value equation specified in paragraph (j) of this section, shall 

be calculated using Equation 2:

Where:

E = Emission rate of organic HAP in the sample, kilograms 

per hour.

K2 = Constant, 2.494×10−6(parts per million)−1(gram-mole per 

standard cubic meter) (kilogram/gram) (minutes/hour), where 

standard temperature for (gram-mole per standard cubic meter) is 

20 °C.

n = Number of components in the sample.

CJ = Organic HAP concentration on a dry basis of organic 

compound j in parts per million as determined by the methods 

specified in paragraph (e) of this section.

Mj = Molecular weight of organic compound j, gram/gram-mole.

QS = Continuous process vent flow rate, dry standard cubic 

meter per minute, at a temperature of 20 °C.
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(i) [Reserved]

(j) TRE index value. The owner or operator shall calculate 

the TRE index value of the continuous process vent using the 

equations and procedures in this paragraph, as applicable, and 

shall maintain records specified in §63.1416(f).

(1) TRE index value equation. The equation for calculating 

the TRE index value is Equation 3:

Where:

TRE = TRE index value.

A, B, C = Coefficients presented in table 7 of this 

subpart.

EHAP = Emission rate of total organic HAP, kilograms per 

hour, as calculated according to paragraph (h) or (k) of this 

section.

QS = Continuous process vent volumetric flow rate, standard 

cubic meters per minute, at a standard temperature of 20 °C, as 

calculated according to paragraph (f) or (k) of this section.

HT = Continuous process vent net heating value, megaJoules 

per standard cubic meter, as calculated according to paragraph 

(g) or (k) of this section.

(2) TRE index calculation. The owner or operator of a 

continuous process vent shall calculate the TRE index value by 

using the equation and appropriate coefficients in Table 6 of 
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this subpart. The owner or operator shall calculate the TRE 

index value for each control device scenario (i.e., flare, 

thermal incinerator with 0 percent recovery, thermal incinerator 

with 70 percent recovery). The lowest TRE index value is to be 

compared to the applicability criteria specified in §63.1405(a).

(k) Engineering assessment. For purposes of TRE index value 

determinations, engineering assessments may be used to determine 

continuous process vent flow rate, net heating value, and total 

organic HAP emission rate for the representative operating 

condition expected to yield the lowest TRE index value. 

Engineering assessments shall meet the requirements of 

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

(1) If the TRE index value calculated using engineering 

assessment is greater than 4.0, the owner or operator is not 

required to perform the measurements specified in paragraphs (e) 

through (h) of this section.

(2) If the TRE index value calculated using engineering 

assessment is less than or equal to 4.0, the owner or operator 

is required either to perform the measurements specified in 

paragraphs (e) through (h) of this section for control 

applicability assessment or comply with the control requirements 

specified in §63.1405.

(3) Engineering assessment includes, but is not limited to, 

the following examples:
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(i) Previous test results, provided the tests are 

representative of current operating practices.

(ii) Bench-scale or pilot-scale test data representative of 

the process under representative operating conditions.

(iii) Maximum volumetric flow rate, organic HAP emission 

rate, organic HAP concentration, or net heating value limit 

specified or implied within a permit limit applicable to the 

continuous process vent.

(iv) Design analysis based on accepted chemical engineering 

principles, measurable process parameters, or physical or 

chemical laws or properties. Examples of analytical methods 

include, but are not limited to, the following:

(A) Use of material balances based on process stoichiometry 

to estimate maximum organic HAP concentrations;

(B) Estimation of maximum volumetric flow rate based on 

physical equipment design such as pump or blower capacities;

(C) Estimation of organic HAP concentrations based on 

saturation conditions; and

(D) Estimation of maximum expected net heating value based 

on the stream concentration of each organic compound.

§63.1413 Compliance demonstration procedures.

(a) General. For each emission point, the owner or operator 

shall meet three stages of compliance, with exceptions specified 

in this subpart. First, the owner or operator shall conduct a 
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performance test or design evaluation to demonstrate the 

performance of the control device or control technology being 

used. Second, the owner or operator shall meet the requirements 

for demonstrating initial compliance (e.g., a demonstration that 

the required percent reduction is achieved). Third, the owner or 

operator shall meet the requirements for demonstrating 

continuous compliance through some form of monitoring (e.g., 

continuous monitoring of operating parameters).

(1) Large control devices and small control devices. A 

large control device is a control device that controls emission 

points with total emissions of 10 tons of organic HAP per year 

or more before control. A small control device is a control 

device that controls emission points with total emissions less 

than 10 tons of organic HAP per year before control.

(i) Large control devices. Owners or operators are required 

to conduct a performance test for a large control device. The 

establishment of parameter monitoring levels shall be based on 

data obtained during the required performance test.

(ii) Small control devices. Owners or operators are 

required to conduct a design evaluation for a small control 

device. An owner or operator may choose to conduct a performance 

test for a small control device and such a performance test 

shall follow the procedures specified in this section, as 

appropriate. Whenever a small control device becomes a large 
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control device, the owner or operator shall conduct a 

performance test following the procedures specified in this 

section, as appropriate. Notification that such a performance 

test is required, the site-specific test plan, and the results 

of the performance test shall be provided to the Administrator 

as specified in §63.1417. Except as provided in §63.1415(a)(2), 

the parameter monitoring levels for small control devices shall 

be set based on the design evaluation required by paragraph 

(a)(3) of this section. Further, when setting the parameter 

monitoring level(s) based on the design evaluation, the owner or 

operator shall submit the information specified in 

§63.1417(d)(7) for review and approval as part of the 

Precompliance Report.

(2) Performance tests. Performance testsing shall be 

conducted under such conditions as the Administrator specifies 

to the owner or operator based on representative performance of 

the affected source for the period being tested and in 

accordance with the General Provisions at §63.7(a)(1), (a)(3), 

(d), (e)(1), (e)(2), (e)(4), (g), and (h), with the exceptions 

specified in paragraph (a)(1) of this section. Representative 

conditions exclude periods of startup and shutdown unless 

specified by the Administrator or an applicable subpart. The 

owner/operator may not conduct performance tests during periods 

of malfunction. The owner operator must record the process 
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information that is necessary to document operating conditions 

during the test and include in such record an explanation to 

support that such conditions represent normal operation. Upon 

request, the owner or operator shall make available to the 

Administrator such records as may be necessary to determine the 

conditions of performance tests. Data shall be reduced in 

accordance with the EPA approved methods specified in this 

subpart or, if other test methods are used, the data and methods 

shall be validated according to the protocol in Method 301 of 

appendix A of this part.

(i) Additional control devices not requiring performance 

tests. An owner or operator is not required to conduct a 

performance test when using one of the following control 

devices:

(A) A boiler or process heater with a design heat input 

capacity of 44 megawatts or greater.

(B) A boiler or process heater into which the vent stream 

is introduced with the primary fuel or is used as the primary 

fuel.

(C) A boiler or process heater burning hazardous waste for 

which the owner or operator:

(1) Has been issued a final permit under 40 CFR part 270 

and complies with the requirements of 40 CFR part 266, subpart 

H; or
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(2) Has certified compliance with the interim status 

requirements of 40 CFR part 266, subpart H.

(D) A hazardous waste incinerator for which the owner or 

operator has been issued a final permit under 40 CFR part 270 

and complies with the requirements of 40 CFR part 264, subpart 

O, or has certified compliance with the interim status 

requirements of 40 CFR part 265, subpart O.

(E) A control device for which a performance test was 

already conducted for determining compliance with another 

regulation promulgated by the EPA, provided the test was 

conducted using the same Methods specified in this section, and 

either no deliberate process changes have been made since the 

test, or the owner or operator can demonstrate that the results 

of the performance test, with or without adjustments, reliably 

demonstrate compliance despite process changes. Parameter 

monitoring levels established based on such a performance test 

may be used for purposes of demonstrating continuous compliance 

with this subpart.

(ii) Exceptions to performance test requirements in the 

General Provisions. (A) Performance tests shall be conducted at 

maximum representative operating conditions achievable during 

either the 6-month period ending 2 months before the 

Notification of Compliance Status required by §63.1417(e) is 

due, or during the 6-month period surrounding the date of the 
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performance test (i.e., the period beginning 3 months prior to 

the performance test and ending 3 months after the performance 

test). In achieving maximum representative operating conditions, 

an owner or operator is not required to cause damage to 

equipment, make a product that does not meet an existing 

specification for sale to a customer, or make a product in 

excess of demand.

(B) When §63.7(g) references the Notification of Compliance 

Status requirements in §63.9(h), the requirements in §63.1417(e) 

shall apply for purposes of this subpart.

(C) Performance tests shall be performed no later than 150 

days after the compliance dates specified in this subpart (i.e., 

in time for the results to be included in the Notification of 

Compliance Status), rather than according to the time periods in 

§63.7(a)(2).

(3) Design evaluations. To demonstrate the organic HAP 

removal efficiency for a control device or control technology, a 

design evaluation shall address the composition and organic HAP 

concentration of the vent stream(s) entering the control device 

or control technology, the operating parameters of the control 

device or control technology, and other conditions or parameters 

that reflect the performance of the control device or control 

technology. A design evaluation also shall address other vent 

stream characteristics and control device operating parameters 
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as specified in any one of paragraphs (a)(3)(i) through (vi) of 

this section, depending on the type of control device that is 

used. If the vent stream(s) is not the only inlet to the control 

device, the efficiency demonstration also shall consider all 

other vapors, gases, and liquids, other than fuels, received by 

the control device.

(i) For a scrubber, the design evaluation shall consider 

the vent stream composition, constituent concentrations, liquidto-vapor ratio, scrubbing liquid flow rate and concentration, 

temperature, and the reaction kinetics of the constituents with 

the scrubbing liquid. The design evaluation shall establish the 

design exhaust vent stream organic compound concentration level 

and include the additional information in paragraphs 

(a)(3)(i)(A) and (B) of this section for trays and a packed 

column scrubber:

(A) Type and total number of theoretical and actual trays; 

and

(B) Type and total surface area of packing for entire 

column, and for individual packed sections if column contains 

more than one packed section.

(ii) For a condenser, the design evaluation shall consider 

the vent stream flow rate, relative humidity, and temperature 

and shall establish the design outlet organic HAP compound 

concentration level, design average temperature of the condenser 
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exhaust vent stream, and the design average temperatures of the 

coolant fluid at the condenser inlet and outlet. The temperature 

of the gas stream exiting the condenser shall be measured and 

used to establish the outlet organic HAP concentration.

(iii) For a carbon adsorption system that regenerates the 

carbon bed directly onsite in the control device, such as a 

fixed-bed adsorber, the design evaluation shall consider the 

vent stream flow rate, relative humidity, and temperature and 

shall establish the design exhaust vent stream organic compound 

concentration level, adsorption cycle time, number and capacity 

of carbon beds, type and working capacity of activated carbon 

used for carbon beds, design total regeneration stream mass or 

volumetric flow over the period of each complete carbon bed 

regeneration cycle, design carbon bed temperature after 

regeneration, design carbon bed regeneration time, and design 

service life of carbon. For vacuum desorption, the pressure drop 

shall be included.

(iv) For a carbon adsorption system that does not 

regenerate the carbon bed directly onsite in the control device, 

such as a carbon canister, the design evaluation shall consider 

the vent stream mass or volumetric flow rate, relative humidity, 

and temperature and shall establish the design exhaust vent 

stream organic compound concentration level, capacity of carbon 

bed, type and working capacity of activated carbon used for 
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carbon bed, and design carbon replacement interval based on the

total carbon working capacity of the control device and source 

operating schedule.

(v) For an enclosed combustion device with a minimum 

residence time of 0.5 seconds and a minimum temperature of 760 

C, the design evaluation shall document that these conditions 

exist.

(vi) For a combustion control device that does not satisfy 

the criteria in paragraph (a)(3)(v) of this section, the design 

evaluation shall address the following characteristics, 

depending on the type of control device:

(A) For a thermal vapor incinerator, the design evaluation 

shall consider the autoignition temperature of the organic HAP, 

shall consider the vent stream flow rate, and shall establish 

the design minimum and average temperature in the combustion 

zone and the combustion zone residence time.

(B) For a catalytic vapor incinerator, the design 

evaluation shall consider the vent stream flow rate and shall 

establish the design minimum and average temperatures across the 

catalyst bed inlet and outlet.

(C) For a boiler or process heater, the design evaluation 

shall consider the vent stream flow rate, shall establish the 

design minimum and average flame zone temperatures and 

combustion zone residence time, and shall describe the method 
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and location where the vent stream is introduced into the flame 

zone.

(4) Establishment of parameter monitoring levels. The owner 

or operator of a control device that has one or more parameter 

monitoring level requirements specified under this subpart, or 

specified under subparts referenced by this subpart, shall 

establish a maximum or minimum level, as denoted on Table 4 of 

this subpart, for each measured parameter using the procedures 

specified in paragraph (a)(4)(i) or (ii) of this section. Except 

as otherwise provided in this subpart, the owner or operator 

shall operate control devices such that the daily average, batch 

cycle daily average, or block average of monitored parameters, 

established as specified in this paragraph, remains above the 

minimum level or below the maximum level, as appropriate.

(i) Establishment of parameter monitoring levels based on 

performance tests —(A) Emission points other than batch process 

vents. During initial compliance testing, the appropriate 

parameter shall be continuously monitored during the required 1-

hour test runs. The monitoring level(s) shall then be 

established as the average of the maximum (or minimum) point 

values from the three test runs. The average of the maximum 

values shall be used when establishing a maximum level, and the 

average of the minimum values shall be used when establishing a 

minimum level.
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(B) Aggregate batch vent streams. For aggregate batch vent 

streams the monitoring level shall be established in accordance 

with paragraph (a)(4)(i)(A) of this section.

(C) Batch process vents. The monitoring level(s) shall be 

established using the procedures specified in paragraphs 

(a)(4)(i)(C)(1) or (2) of this section. For batch process vents 

complying with the percent reduction standards specified in 

§63.1406 or §63.1407, parameter monitoring levels shall be 

established by the design evaluation, or during the performance 

test so that the specified percent reduction from §63.1406 or 

§63.1407, as appropriate, is met.

(1) If more than one batch emission episode or more than 

one portion of a batch emission episode has been selected to be 

controlled, a single level for the batch cycle shall be 

calculated as follows:

(i) During initial compliance testing, the appropriate 

parameter shall be monitored continuously and recorded once 

every 15 minutes at all times when batch emission episodes, or 

portions thereof, selected to be controlled are vented to the 

control device. A minimum of three recorded values shall be 

obtained for each batch emission episode, or portion thereof, 

regardless of the length of time emissions are occurring.

(ii) The average monitored parameter value shall be 

calculated for each batch emission episode, or portion thereof, 
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in the batch cycle selected to be controlled. The average shall 

be based on all values measured during the required performance 

test.

(iii) If the level to be established is a maximum operating 

parameter, the level shall be defined as the minimum of the 

average parameter values from each batch emission episode, or 

portion thereof, in the batch cycle selected to be controlled 

(i.e., identify the batch emission episode, or portion thereof, 

which requires the lowest parameter value in order to assure 

compliance; the average parameter value that is necessary to 

assure compliance for that batch emission episode, or portion 

thereof, shall be the level for all batch emission episodes, or 

portions thereof, in the batch cycle that are selected to be 

controlled).

(iv) If the level to be established is a minimum operating 

parameter, the level shall be defined as the maximum of the 

average parameter values from each batch emission episode, or 

portion thereof, in the batch cycle selected to be controlled 

(i.e., identify the batch emission episode, or portion thereof, 

which requires the highest parameter value in order to assure 

compliance; the average parameter value that is necessary to 

assure compliance for that batch emission episode, or portion 

thereof, shall be the level for all batch emission episodes, or 
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portions thereof, in the batch cycle that are selected to be 

controlled).

(v) Alternatively, an average monitored parameter value 

shall be calculated for the entire batch cycle based on all 

values recorded during each batch emission episode, or portion 

thereof, selected to be controlled.

(2) Instead of establishing a single level for the batch 

cycle, as described in paragraph (a)(4)(i)(C)(1) of this 

section, an owner or operator may establish separate levels for 

each batch emission episode, or portion thereof, selected to be 

controlled. Each level shall be determined as specified in 

paragraphs (a)(4)(i)(C)(1)(i) through (v) of this section.

(3) The batch cycle shall be defined in the Notification of 

Compliance Status, as specified in §63.1417(e)(2). Said 

definition shall include an identification of each batch 

emission episode. The definition of batch cycle shall also 

include the information required to determine parameter 

monitoring compliance for partial batch cycles (i.e., when part 

of a batch cycle is accomplished during 2 different operating 

days) for those parameters averaged on a batch cycle daily 

average basis.

(ii) Establishment of parameter monitoring levels based on 

performance tests, engineering assessments, and/or 

manufacturer's recommendations. Parameter monitoring levels may 
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be established based on the parameter values measured during the 

performance test supplemented by engineering assessments and/or 

manufacturer's recommendations. Performance testing is not 

required to be conducted over the entire range of expected 

parameter values. When setting the parameter monitoring level(s)

using the procedures specified in this paragraph, the owner or 

operator shall submit the information specified in 

§63.1417(d)(7) for review and approval as part of the 

Precompliance Report.

(b) Initial and continuous compliance for storage vessels. 

(1) Initial compliance with the percent reduction standard 

specified in §63.1404(a)(1) shall be demonstrated following the 

procedures in 40 CFR part 63, subpart SS.

(2) Initial compliance with the work practice standard 

specified in §63.1404(a)(2) shall be demonstrated following the 

procedures in 40 CFR part 63, subpart WW.

(3) Continuous compliance with the percent reduction 

standard specified in §63.1404(a)(1) shall be demonstrated 

following the procedures in 40 CFR part 63, subpart SS.

(4) Continuous compliance with the work practice standard 

specified in §63.1404(a)(2) shall be demonstrated following the 

procedures in 40 CFR part 63, subpart WW.
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(5) Initial and continuous compliance with the alternative 

standard specified in §63.1404(b) shall be demonstrated 

following the procedures in paragraph (f) of this section.

(c) Initial and continuous compliance for continuous 

process vents. (1) Initial compliance with the percent reduction 

standard specified in §63.1405(a)(2) shall be demonstrated 

following the procedures in 40 CFR part 63, subpart SS.

(2) Initial compliance with §63.1405(a)(1) (venting of 

emissions to a flare) shall be demonstrated following the 

procedures specified in paragraph (g) of this section.

(3) Continuous compliance with the percent reduction 

standard specified in §63.1405(a)(2) shall be demonstrated 

following the procedures in 40 CFR part 63, subpart SS.

(4) Continuous compliance with §63.1405(a)(1) (venting of 

emissions to a flare) shall be demonstrated following the 

continuous monitoring procedures specified in §63.1415.

(5) Initial and continuous compliance with the alternative 

standard specified in §63.1405(b) shall be demonstrated 

following the procedures in paragraph (f) of this section.

(d) Initial and continuous compliance for aggregate batch 

vent streams. (1) Initial compliance with the percent reduction 

standard specified in §63.1408(a)(1)(ii) and (2)(ii) shall be 

demonstrated following the procedures for continuous process 

vents specified in paragraph (c)(1) of this section.
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(2) Initial compliance with §63.1408(a)(1)(i) and (2)(i) 

(venting of emissions to a flare) shall be demonstrated 

following the procedures specified in paragraph (g) of this 

section.

(3) Continuous compliance with the percent reduction 

standard specified in §63.1408(a)(1)(ii) and (2)(ii) shall be 

demonstrated following the procedures for continuous process 

vents specified in paragraph (c)(3) of this section.

(4) Continuous compliance with §63.1408(a)(1)(i) and 

(a)(2)(i) (venting of emissions to a flare) shall be 

demonstrated following the continuous monitoring procedures 

specified in §63.1415.

(5) Initial and continuous compliance with the alternative 

standard specified in §63.1408(b)(1) shall be demonstrated 

following the procedures in paragraph (f) of this section.

(6) Initial and continuous compliance with the mass 

emission limit specified in §63.1408(b)(2) shall be demonstrated 

following the procedures in paragraph (e)(2) of this section.

(e) Initial and continuous compliance for batch process 

vents —(1) Compliance with percent reduction standards. Owners 

or operators opting to comply with the percent reduction 

standards specified in §63.1406(a)(1)(ii) and (a)(2)(ii) or 

§63.1407(a)(2)(ii) and (a)(3)(ii) shall select portions of the 

batch process vent emissions (i.e., select batch emission 
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episodes or portions of batch emission episodes) to be 

controlled such that the specified percent reduction is achieved 

for the batch cycle. Paragraphs (e)(1)(i) and (ii) of this 

section specify how the performance of a control device or 

control technology is to be determined. Paragraph (e)(1)(iii) of 

this section specifies how to demonstrate that the required 

percent emission reduction is achieved for the batch cycle.

(i) Design evaluation. The design evaluation shall comply 

with the provisions in paragraph (a)(3) of this section. The 

design evaluation shall include the value(s) and basis for the 

parameter monitoring level(s) required by §63.1415. The design 

evaluation shall determine either of the following:

(A) Each batch emission episode. The control device 

efficiency for each batch emission episode that the owner or 

operator selects to control.

(B) One or more representative batch emission episodes. The 

control device efficiency for one or more batch emission 

episodes provided that the owner or operator demonstrates that 

the control device achieves the same or higher efficiency for 

all other batch emission episodes that the owner or operator 

selects to control.

(ii) Performance test. An owner or operator shall conduct 

performance tests following the procedures in paragraph 

(e)(1)(ii)(A) of this section, the procedures in paragraph 
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(e)(1)(ii)(B) of this section, or a combination of the two 

procedures. Under paragraph (e)(1)(ii)(A) of this section, a 

performance test is conducted for each batch emission episode 

selected for control. Under paragraph (e)(1)(ii)(B) of this 

section, an owner or operator groups together several batch 

emission episodes and conducts a single performance test for the 

batch emission episode that is the most challenging, in terms of 

achieving emission reductions, for the control device or control 

technology; thereby demonstrating that the achieved emission 

reduction for the tested batch emission episode is the minimum 

control device or control technology performance expected for 

each batch emission episode in the group. An owner or operator 

may use the concept provided by paragraph (e)(1)(ii)(B) of this 

section for several different groups of batch emission episodes.

(A) Testing each batch emission episode. A performance test 

shall be performed for each batch emission episode, or portion 

thereof, that the owner or operator selects to control. 

Performance tests shall be conducted using the testing 

procedures specified in §63.1414(a) and (b) and the following 

procedures:

(1) Only one test (i.e., only one run) is required for each 

batch emission episode selected by the owner or operator for 

control.
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(2) Except as specified in paragraph (e)(1)(ii)(A)(3) of 

this section, the performance test shall be conducted over the 

entire period of emissions selected by the owner or operator for 

control.

(3) An owner or operator may choose to test only those 

periods of the batch emission episode during which the emission 

rate for the entire batch emission episode can be determined or 

during which the organic HAP emissions are greater than the 

average emission rate of the batch emission episode. The owner 

or operator choosing either of these options shall develop an 

emission profile illustrating the emission rate (kilogram per 

unit time) over the entire batch emission episode, based on 

either process knowledge or test data, to demonstrate that test 

periods are representative. Examples of information that could 

constitute process knowledge include calculations based on 

material balances and process stoichiometry. Previous test 

results may be used to develop the emission profile provided the 

results are still relevant to the current batch process vent 

conditions. The emission profile shall be included in the sitespecific test plan required by §63.1417(h)(2).

(4) When choosing sampling sites using the methods 

specified in §63.1414(a)(1), inlet sampling sites shall be 

located as specified in paragraphs (e)(1)(ii)(A)(4)(i) and (ii) 
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of this section. Outlet sampling sites shall be located at the

outlet of the control device prior to release to the atmosphere.

(i) The control device inlet sampling site shall be located 

at the exit from the batch unit operation after any condensers 

operating as process condensers and before any control device.

(ii) If a batch process vent is introduced with the 

combustion air or as a secondary fuel into a boiler or process 

heater with a design capacity less than 44 megawatts, selection 

of the location of the inlet sampling sites shall ensure the 

measurement of total organic HAP concentrations in all batch 

process vents and primary and secondary fuels introduced into 

the boiler or process heater.

(B) Testing only the most challenging batch emission 

episode. Under this paragraph, an owner or operator groups 

together several batch emission episodes and conducts a single 

performance test for the batch emission episode that is the most 

challenging, in terms of achieving emission reductions, for the 

control device or control technology; thereby demonstrating that 

the achieved emission reduction for the tested batch emission 

episode is the minimum control device or control technology 

performance expected for each batch emission episode in the 

group. The owner or operator shall use the control device 

efficiency determined from the performance test for all the 

other batch emission episodes in that group for purposes of 
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paragraph (e)(2)(iii) of this section. Performance tests shall 

be conducted using the testing procedures specified in 

§63.1414(a) and (b) and the following procedures:

(1) The procedures specified in paragraphs (e)(2)(ii)(A)(2) 

through (4) of this section.

(2) Develop an emission profile illustrating the emission 

rate (kilogram/unit time) for each period of emissions to be 

addressed by the performance test. The emission profile shall be 

based on either process knowledge or test data. Examples of 

information that could constitute process knowledge include 

calculations based on material balances and process 

stoichiometry. Previous test results may be used to develop the 

emission profile provided the results are still relevant to the 

current batch process vent conditions. The emission profile 

shall be included in the site-specific test plan required by 

§63.1417(h)(2).

(3) Provide rationale for why the control device efficiency 

for all the other batch emission episodes in the group will be 

greater than or equal to the control device efficiency achieved 

during the tested period of the most challenging batch emission 

episode in the group, as specified in the Notification of

Compliance Status Report required by §63.1417(e).

(iii) Batch cycle percent reduction. The percent reduction 

for the batch cycle for an individual reactor batch process vent 
Page 102 of 217

and the overall percent reduction for the collection of nonreactor batch process vents within the affected source shall be 

determined using Equation 1 of this section and the control 

device efficiencies specified in paragraphs (e)(1)(iii)(A) 

through (C) of this section. All information used to calculate 

the batch cycle percent reduction for an individual reactor 

batch process vent, including a definition of the batch cycle 

identifying all batch emission episodes, shall be recorded as 

specified in §63.1416 (d)(1)(ii). All information used to 

calculate the overall percent reduction for the collection of 

non-reactor batch process vents within the affected source, 

including a list of all batch emission episodes from the 

collection of non-reactor batch process vents within the 

affected source, shall be recorded as specified in §63.1416 

(d)(1)(ii). This information shall include identification of 

those batch emission episodes, or portions thereof, selected for 

control. This information shall include estimates of 

uncontrolled organic HAP emissions for those batch emission 

episodes, or portions thereof, that are not selected for 

control, determined as specified in paragraph (e)(2)(iii)(D) or 

(E) of this section.
Page 103 of 217

Where:

PR = Percent reduction.

Eunc = Mass rate of total organic HAP for uncontrolled batch 

emission episode i, kg/hr.

Einlet,con = Mass rate of total organic HAP for controlled 

batch emission episode i at the inlet to the control device, 

kg/hr.

R = Control efficiency of control device as specified in 

paragraphs (e)(1)(iii)(A) through (e)(1)(iii)(C) of this 

section. The value of R may vary between batch emission 

episodes.

n = Number of uncontrolled batch emission episodes, 

controlled batch emission episodes, and control devices. The 

value of n is not necessarily the same for these three items.

(A) When conducting a performance test, the control 

efficiency of the control device shall be determined following 

the procedures in §63.1414(b)(4).

(B) For combustion control devices listed in paragraphs 

(a)(2)(i)(A) and (B) of this section and for flares, the control 

efficiency in Equation 1 of this section shall be 98 percent.
Page 104 of 217

(C) If a performance test is not required, the control 

efficiency shall be based on the design evaluation specified in 

paragraph (e)(1)(i) of this section.

(D) For batch process vents estimated through engineering 

assessment, as described in §63.1414(f)(6), to emit less than 10 

tons per year of uncontrolled organic HAP emissions, the owner 

or operator may use in Equation 1 of this section the emissions 

determined using engineering assessment or may determine organic 

HAP emissions using any of the procedures specified in 

§63.1414(d).

(E) For batch process vents estimated through engineering 

assessment, as described in §63.1414(d)(6), to emit 10 tons per 

year or greater of uncontrolled organic HAP emissions, organic 

HAP emissions shall be estimated following the procedures 

specified in §63.1414(d).

(F) Owners or operators designating a condenser, sometimes 

operated as a process condenser, as a control device shall 

conduct inprocess recycling and follow the recordkeeping 

requirements specified in §63.1416(d)(1)(vi).

(iv) Initial compliance with percent reduction standards. 

Initial compliance with the percent reduction standards 

specified in §63.1406(a)(1)(ii) and (2)(ii) and 

§63.1407(a)(2)(ii) and (3)(ii) is achieved when the owner or 

operator demonstrates, following the procedures in paragraphs 
Page 105 of 217

(e)(1)(i) through (iii) of this section, that the required 

percent reduction is achieved.

(v) Continuous compliance with percent reduction standards. 

Continuous compliance with the percent reduction standards 

specified in §63.1406(a)(1)(ii) and (2)(ii) and 

§63.1407(a)(2)(ii) and (3)(ii) shall be demonstrated following 

the continuous monitoring procedures specified in §63.1415.

(2) Compliance with mass emission limit standards. Each 

owner or operator shall determine initial and continuous 

compliance with the mass emission limits specified in §63.1406 

(a)(1)(iii) and (a)(2)(iii), according to the following 

procedures, as appropriate:

(i) If production at an affected source is exclusively nonsolvent-based amino/phenolic resin or is exclusively solventbased amino/phenolic resin, or an owner or operator chooses to 

meet the non-solvent-based emission limit, the owner or operator 

shall demonstrate initial and continuous compliance as follows:

(A) Initial compliance. Initial compliance shall be based 

on the average of the first 6 monthly average emission rate data 

points. The 6-month average shall be compared to the mass 

emission limit specified in §63.1406 (a)(1)(iii) and 

(a)(2)(iii), as appropriate.

(B) Continuous compliance. For the first year of 

compliance, continuous compliance shall be based on a cumulative 
Page 106 of 217

average monthly emission rate calculated each month based on the 

available monthly emission rate data points (e.g., 7 data points 

after 7 months of operation, 8 data points after 8 months of 

operation) beginning the first month after initial compliance is 

demonstrated. The first continuous compliance cumulative average 

monthly emission rate shall be calculated using the first 7 

monthly average emission rate data points. After the first year 

of compliance, a 12-month rolling average monthly emission rate 

shall be calculated each month based on the previous 12 monthly 

emission rate data points. Continuous compliance shall be 

determined by comparing the cumulative average monthly emission 

rate or the 12-month rolling average monthly emission rate to 

the mass emission limit specified in §63.1406 (a)(1)(iii) and 

(a)(2)(iii), as appropriate.

(C) Procedures to determine the monthly emission rate. The 

monthly emission rate, kilograms of organic HAP per megagram of 

product, shall be determined at the end of each month using 

Equation 2 of this section:

Where:

ER = Emission rate of organic HAP from reactor batch 

process vents, kg of HAP/Mg product.
Page 107 of 217

Ei = Emission rate of organic HAP from reactor batch process 

vent i as determined using the procedures specified in paragraph 

(e)(2)(i)(C)(1) of this section, kg/month.

RPm = Amount of resin produced in one month as determined 

using the procedures specified in paragraph (e)(2)(i)(C)(4) of 

this section, Mg/month.

n = Number of batch process vents.

(1) The monthly emission rate of organic HAP, in kilograms 

per month, from an individual batch process vent (Ei) shall be 

determined using Equation 3 of this section. Once organic HAP 

emissions for a batch cycle (Ecyclei) have been estimated, as 

specified in either paragraph (e)(2)(i)(C)(2) or (3) of this 

section, the owner or operator may use the estimated organic HAP 

emissions (Ecyclei) to determine Ei using Equation 3 of this 

section until the estimated organic HAP emissions (Ecyclei) are no 

longer representative due to a process change or other reasons 

known to the owner or operator. If organic HAP emissions for a 

batch cycle (Ecyclei) are determined to no longer be 

representative, the owner or operator shall redetermine organic 

HAP emissions for the batch cycle (Ecyclei) following the 

procedures in paragraph (e)(2)(i)(C)(2) or (3) of this section, 

as appropriate.
Page 108 of 217

Where:

Ei = Monthly emissions from a batch process vent, kg/month.

Ni = Number of type i batch cycles performed monthly, 

cycles/month.

Ecyclei = Emissions from the batch process vent associated 

with a single type i batch cycle, as determined using the 

procedures specified in either paragraph (e)(2)(i)(C)(2) or (3) 

of this section, kg/batch cycle.

n = Number of different types of batch cycles that cause 

the emission of organic HAP from the batch process vent.

(2) For reactor batch process vents estimated through 

engineering assessment, as described in §63.1414(d)(6), to emit 

less than 10 tons per year of uncontrolled organic HAP 

emissions, the owner or operator may use the emissions 

determined using engineering assessment in Equation 3 of this 

section or may determine organic HAP emissions using any of the 

procedures specified in §63.1414(d). For reactor batch process 

vents estimated through engineering assessment, as described in 

§63.1414(d)(6), to emit 10 tons per year or greater of 

uncontrolled organic HAP emissions, uncontrolled organic HAP 

emissions from the batch emission episodes making up the batch 
Page 109 of 217

cycle shall be estimated following the procedures specified in 

§63.1414(d).

(3) For reactor batch process vents vented to a control 

device or control technology, controlled organic HAP emissions 

shall be determined as follows:

(i) Uncontrolled organic HAP emissions shall be determined 

following the procedures in paragraph (e)(2)(i)(C)(2) of this 

section.

(ii) Control device or control technology efficiency shall 

be determined using the procedures in paragraph (e)(1)(i) of 

this section for small control devices or the procedures in 

paragraph (e)(1)(ii) of this section for large control devices.

(iii) Controlled organic HAP emissions shall be determined 

by applying the control device or control technology efficiency, 

determined in paragraph (e)(2)(i)(C)(3)(ii) of this section, to 

the uncontrolled organic HAP emissions, determined in paragraph 

(e)(2)(i)(C)(3)(i) of this section.

(4) The rate of resin produced, RPM(Mg/month), shall be 

determined based on production records certified by the owner or 

operator to represent actual production for the month. A sample 

of the records selected by the owner or operator for this 

purpose shall be provided to the Administrator in the 

Precompliance Report as required by §63.1417(d).
Page 110 of 217

(ii) If production at an affected source reflects a mix of 

solvent-based and non-solvent-based resin and the owner or 

operator does not choose to meet the non-solvent-based emission 

limit specified in §63.1406 (a)(1)(iii) or (a)(2)(iii), as 

applicable, the owner or operator shall demonstrate initial and 

continuous compliance as follows:

(A) Procedures for determining a site-specific emission 

limit. A site-specific emission limit shall be determined using 

Equation 4 of this section.

Where:

SSEL = Site specific emission limit, kg of organic HAP/Mg 

of product.

MGs = Megagrams of solvent-based resin product produced, 

megagrams.

MGns = Megagrams of non-solvent-based resin product 

produced, megagrams.

ELs = Emission limit for solvent-based resin product, kg 

organic HAP/Mg solvent-based resin product.

ELns = Emission limit for non-solvent-based resin product, 

kg organic HAP/Mg non-solvent-based resin product.

(B) Initial compliance. For purposes of determining initial 

compliance, the site-specific emission limit shall be based on 
Page 111 of 217

production for the first 6 months beginning January 20, 2000 or 

the first 6 months after initial start-up, whichever is later. 

Using the site-specific emission limit, initial compliance shall 

be demonstrated using the procedures in paragraph (e)(2)(i)(A) 

of this section, as appropriate.

(C) Continuous compliance. For purposes of determining 

continuous compliance for the period of operation starting at 

the beginning of the 7th month and ending after the 12th month, 

the site-specific emission limit shall be determined each month 

based on production for the cumulative period. For purposes of 

determining continuous compliance after the first year of 

production, the site-specific emission limit shall be determined 

each month based on production for a 12-month rolling period. 

Using the site-specific emission limit, continuous compliance 

shall be demonstrated using the procedures in paragraph 

(e)(2)(i)(B) of this section, as appropriate.

(3) Compliance by venting to a flare. Initial compliance 

with the standards specified in §63.1406(a)(1)(i) and (a)(2)(i) 

and §63.1407(a)(2)(i) and (a)(3)(i) shall be demonstrated 

following the procedures specified in paragraph (g) of this 

section. Continuous compliance with these standards shall be 

demonstrated following the continuous monitoring procedures 

specified in §63.1415.
Page 112 of 217

(4) Compliance with alternative standard. Initial and 

continuous compliance with the alternative standard specified in 

§§63.1406(b) and 63.1407(b)(1) shall be demonstrated following 

the procedures in paragraph (f) of this section.

(f) Compliance with alternative standard. Initial and 

continuous compliance with the alternative standards in 

§§63.1404(b), 63.1405(b), 63.1406(b), 63.1407(b)(1), and 

63.1408(b)(1) are demonstrated when the daily average outlet 

organic HAP concentration is 20 ppmv or less when using a 

combustion control device or 50 ppmv or less when using a noncombustion control device. To demonstrate initial and continuous 

compliance, the owner or operator shall follow the test method 

specified in §63.1414(a)(6) and shall be in compliance with the 

monitoring provisions in §63.1415(e) no later than the initial 

compliance date and on each day thereafter.

(g) Flare compliance demonstrations. Notwithstanding any 

other provision of this subpart, if an owner or operator of an 

affected source uses a flare to comply with any of the 

requirements of this subpart, the owner or operator shall comply 

with paragraphs (g)(1) through (3) of this section. When using a 

flare to comply, the owner or operator is not required to 

conduct a performance test to determine percent emission 

reduction or outlet organic HAP concentration. If a compliance 

demonstration has been conducted previously for a flare, using 
Page 113 of 217

the techniques specified in paragraphs (g)(1) through (3) of 

this section, that compliance demonstration may be used to 

satisfy the requirements of this paragraph if either no 

deliberate process changes have been made since the compliance 

demonstration, or the results of the compliance demonstration 

reliably demonstrate compliance despite process changes.

(1) Conduct a visible emission test using the techniques 

specified in §63.11(b)(4).

(2) Determine the net heating value of the gas being 

combusted using the techniques specified in §63.11(b)(6).

(3) Determine the exit velocity using the techniques 

specified in either §63.11(b)(7)(i) (and §63.11(b)(7)(iii), 

where applicable) or §63.11(b)(8), as appropriate.

(h) Deviations. Paragraphs (h)(1) through (4) of this 

section describe deviations from the emission limits, the 

operating limits, the work practice standards, and the emission 

standard, respectively. Paragraph (h)(5) of this section 

describes situations that are not deviations. Paragraph (h)(6) 

of this section describes periods that are excluded from 

compliance determinations.

(1) Deviations from the emission limit. The following are 

deviations from the emission limit:

(i) Exceedance of the condenser outlet gas temperature 

limit (i.e., having an average value higher than the established 
Page 114 of 217

maximum level) monitored according to the provisions of 

§63.1415(b)(3);

(ii) Exceedance of the outlet concentration (i.e., having 

an average value higher than the established maximum level) 

monitored according to the provisions of §63.1415(b)(8);

(iii) Exceedance of the mass emission limit (i.e., having 

an average value higher than the specified limit) monitored 

according to the provisions of paragraph (e)(2) of this section; 

and

(iv) Exceedance of the organic HAP outlet concentration 

limit (i.e., having an average value higher than the specified 

limit) monitored according to the provisions of §63.1415(e).

(2) Deviations from the operating limit. Exceedance of the 

parameters monitored according to §63.1415(b)(1), (b)(2), and 

(b)(4) through (7) are considered deviations from the operating 

limit. An exceedance of the monitored parameter has occurred if:

(i) The parameter, averaged over the operating day or 

block, is below a minimum value established during the initial 

compliance demonstration; or (ii) The parameter, averaged over 

the operating day or block, is above the maximum value 

established during the initial compliance demonstration.

(3) Deviations from the work practice standard. If all 

flames at the pilot light of a flare are absent, there has been 

a deviation from the work practice standard.
Page 115 of 217

(4) Deviation from the emission standard. If an affected 

source is not operated during periods of startup, shutdown, or 

malfunction in accordance with §63.6(e)(1), there has been a 

deviation from the emission standard. If monitoring data are 

insufficient, as described in paragraphs (h)(4)(i) through (iii) 

of this section, there has been a deviation from the emission 

standard.

(i) The period of control device or control technology 

operation is 4 hours or greater in an operating day, and 

monitoring data are insufficient to constitute a valid hour of 

data, as defined in paragraph (h)(4)(iii) of this section, for 

at least 75 percent of the operating hours;

(ii) The period of control device or control technology 

operation is less than 4 hours in an operating day, and more 

than one of the hours during the period of operation does not 

constitute a valid hour of data due to insufficient monitoring 

data; and

(iii) Monitoring data are insufficient to constitute a 

valid hour of data, as used in paragraphs (h)(4)(i) and (ii) of 

this section, if measured values are unavailable for any of the 

15-minute periods within the hour. For data compression systems 

approved under §63.1417(k)(3), monitoring data are insufficient 

to calculate a valid hour of data if there are less than four 

data measurements made during the hour.
Page 116 of 217

(5) Situations that are not deviations. If an affected 

source is operated during periods of startup, shutdown, or 

malfunction in accordance with §63.6(e)(1), and any of the 

situations listed in paragraphs (h)(5)(i) through or (iiv) of 

this section occur, such situations shall not be considered to 

be deviations.

(i) The daily average value of a monitored parameter is 

above the maximum level or below the minimum level established;

(ii) Monitoring data cannot be collected during monitoring 

device calibration check or monitoring device malfunction; or

(iii) Monitoring data are not collected during periods of 

start-up, shutdown, or malfunction; and

(iiv) Monitoring data are not collected during periods of 

nonoperation of the affected source or portion thereof 

(resulting in cessation of the emissions to which the monitoring 

applies).

(6) Periods not considered to be part of the period of 

control or recovery device operation. The periods listed in 

paragraphs (h)(6)(i) through and (vii) of this section are not 

considered to be part of the period of control or recovery 

device operation for purposes of determining averages or periods 

of control device or control technology operation.

(i) Monitoring system breakdowns, repairs, calibration 

checks, and zero (low-level) and high-level adjustments; or
Page 117 of 217

(ii) Start-ups;

(iii) Shutdowns;

(iv) Malfunctions; or

(v) Periods of nonoperation of the affected source (or 

portion thereof), resulting in cessation of the emissions to 

which the monitoring applies.

§63.1414 Test methods and emission estimation equations.

(a) Test methods. When required to conduct a performance 

test, the owner or operator shall use the test methods specified 

in paragraphs (a)(1) through (6) of this section, except where 

another section of this subpart requires either the use of a 

specific test method or the use of requirements in another 

subpart containing specific test method requirements.

(1) Method 1 or 1A, 40 CFR part 60, appendix A, shall be 

used for selection of the sampling sites if the flow measuring 

device is a pitot tube, except that references to particulate 

matter in Method 1A do not apply for the purposes of this 

subpart. No traverse is necessary when Method 2A or 2D, 40 CFR 

part 60, appendix A is used to determine gas stream volumetric 

flow rate.

(2) Method 2, 2A, 2C, or 2D, 40 CFR part 60, appendix A, is 

used for velocity and volumetric flow rates.

(3) Method 3, 40 CFR part 60, appendix A, is used for gas 

analysis.
Page 118 of 217

(4) Method 4, 40 CFR part 60, appendix A, is used for stack 

gas moisture.

(5) The following methods shall be used to determine the 

organic HAP concentration.

(i) Method 316 or Method 320, 40 CFR part 60, appendix A, 

shall be used to determine the concentration of formaldehyde.

(ii) Method 18, 40 CFR part 60, appendix A, shall be used 

to determine the concentration of all organic HAP other than 

formaldehyde.

(iii) Method 308, 40 CFR part 60, appendix A, may be used 

as an alternative to Method 18 to determine the concentration of 

methanol.

(6) When complying with the alternative standard, as 

specified in §63.1413(f), the owner or operator shall use a 

Fourier Transform Infrared Spectroscopy (FTIR) instrument 

following Method PS–15, 40 CFR part 60, appendix B.

(b) Batch process vent performance testing procedures —

(1) Average batch vent flow rate determination. The average 

batch vent flow rate for a batch emission episode shall be 

calculated using Equation 1 of this section:

Where:
Page 119 of 217

AFRepisode = Average batch vent flow rate for the batch 

emission episode, scmm.

FRi = Volumetric flow rate for individual measurement i, 

taken every 15 minutes using the procedures in paragraph (a)(2) 

of this section, scmm.

n = Number of flow rate measurements taken during the batch 

emission episode.

(2) Average batch vent concentration determination using an 

integrated sample. If an integrated sample is taken over the 

entire batch emission episode to determine the average batch 

vent concentration of total organic HAP, organic HAP emissions 

shall be calculated using Equation 2 of this section:

Where:

Eepisode = Emissions, kg/episode.

K = Constant, 2.494× 10−6(ppmv)−1(gm-mole/scm) (kg/gm) 

(min/hr), where standard temperature is 20 °C.

Cj = Average batch vent concentration of sample organic HAP 

component j of the gas stream, dry basis, ppmv.

Mj = Molecular weight of sample organic HAP component j of 

the gas stream, gm/gm-mole.

AFR = Average batch vent flow rate of gas stream, dry 

basis, scmm.
Page 120 of 217

Th = Hours/episode.

n = Number of organic HAP in stream.

(3) Average batch vent concentration determination using 

grab samples. If grab samples are taken to determine the average 

batch vent concentration of total organic HAP, organic HAP 

emissions shall be calculated as follows:

(i) For each measurement point, the emission rate shall be 

calculated using Equation 3 of this section:

Where:

Epoint = Emission rate for individual measurement point, 

kg/hr.

K = Constant, 2.494× 10−6(ppmv)−1(gm-mole/scm) (kg/gm) 

(min/hr), where standard temperature is 20 °C.

Cj = Concentration of sample organic HAP component j of the 

gas stream, dry basis, ppmv.

Mj = Molecular weight of sample organic HAP component j of 

the gas stream, gm/gm-mole.

FR = Flow rate of gas stream for the measurement point, dry 

basis, scmm.

n = Number of organic HAP in stream.

(ii) The organic HAP emissions per batch emission episode 

shall be calculated using Equation 4 of this section:
Page 121 of 217

Where:

episode = Emissions, kg/episode.

DUR = Duration of the batch emission episode, hr/episode.

Ei = Emissions for measurement point i, kg/hr.

n = Number of measurements.

(4) Control device efficiency determination for a batch 

emission episode. The control efficiency for the control device 

shall be calculated using Equation 5 of this section:

Where:

R = Control efficiency of control device, percent.

Einlet = Mass rate of total organic HAP for batch emission 

episode i at the inlet to the control device as calculated under 

paragraph (b)(2) or (b)(3) of this section, kg/episode.

Eoutlet = Mass rate of total organic HAP for batch emission 

episode i at the outlet of the control device, as calculated 

under paragraph (b)(2) or (b)(3) of this section, kg/episode.

n = Number of batch emission episodes in the batch cycle 

selected to be controlled.
Page 122 of 217

(c) Percent oxygen correction for combustion control 

devices. If the control device is a combustion device, total 

organic HAP concentrations shall be corrected to 3 percent 

oxygen when supplemental combustion air is used to combust the 

emissions. The integrated sampling and analysis procedures of 

Method 3B, 40 CFR part 60, appendix A, shall be used to 

determine the actual oxygen concentration (%020). The samples 

shall be taken during the same time that the total organic HAP 

samples are taken. The concentration corrected to 3 percent 

oxygen (Cc) shall be computed using Equation 6 of this section:

Where:

Cc = Concentration of total organic HAP corrected to 3 

percent oxygen, dry basis, ppmv.

Cm = Total concentration of TOC in vented gas stream, 

average of samples, dry basis, ppmv.

%02d = Concentration of oxygen measured in vented gas 

stream, dry basis, percent by volume.

(d) Uncontrolled organic HAP emissions. Uncontrolled 

organic HAP emissions for individual reactor batch process vents 

or individual non-reactor batch process vents shall be 

determined using the procedures specified in paragraphs (d)(1) 

through (8) of this section. To estimate organic HAP emissions 
Page 123 of 217

from a batch emissions episode, owners or operators may use 

either the emissions estimation equations in paragraphs (d)(1) 

through (4) of this section, or direct measurement as specified 

in paragraph (d)(5) of this section. Engineering assessment may 

be used to estimate organic HAP emissions from a batch emission 

episode only under the conditions described in paragraph (d)(6) 

of this section. In using the emissions estimation equations in 

paragraphs (d)(1) through (4) of this section, individual 

component vapor pressure and molecular weight may be obtained 

from standard references. Methods to determine individual HAP 

partial pressures in multicomponent systems are described in 

paragraph (d)(9) of this section. Other variables in the 

emissions estimation equations may be obtained through direct

measurement, as defined in paragraph (d)(5) of this section; 

through engineering assessment, as defined in paragraph 

(d)(6)(ii) of this section; by process knowledge; or by any 

other appropriate means. Assumptions used in determining these 

variables shall be documented as specified in §63.1417. Once 

organic HAP emissions for the batch emission episode have been 

determined using either the emissions estimation equations, 

direct measurement, or engineering assessment, organic HAP 

emissions from a single batch cycle shall be calculated in 

accordance with paragraph (d)(7) of this section, and annual 
Page 124 of 217

organic HAP emissions from the batch process vent shall be 

calculated in accordance with paragraph (d)(8) of this section.

(1) Emissions from purging of empty vessels. Organic HAP 

emissions from the purging of an empty vessel shall be 

calculated using Equation 7 of this section. Equation 7 of this 

section does not take into account evaporation of any residual 

liquid in the vessel:

Where:

Eepisode = Emissions, kg/episode.

Vves = Volume of vessel, m3 .

P = Total organic HAP partial pressure, kPa.

MWwavg = Weighted average molecular weight of organic HAP in 

vapor, determined in accordance with paragraph (d)(4)(i)(D) of 

this section, kg/kmol.

R = Ideal gas constant, 8.314 m3 ·kPa/kmol·K.

T = Temperature of vessel vapor space, K.

m = Number of volumes of purge gas used.

(2) Emissions from purging of filled vessels. Organic HAP 

emissions from the purging of a filled vessel shall be 

calculated using Equation 8 of this section:
Page 125 of 217

Where:

Eepisode = Emissions, kg/episode.

y = Saturated mole fraction of all organic HAP in vapor 

phase.

Vdr = Volumetric gas displacement rate, m3 /min.

P = Pressure in vessel vapor space, kPa.

MWwavg = Weighted average molecular weight of organic HAP in 

vapor, determined in accordance with paragraph (d)(4)(i)(D) of 

this section, kg/kmol.

R = Ideal gas constant, 8.314 m3 ·kPa/kmol·K.

T = Temperature of vessel vapor space, K.

Pi = Vapor pressure of individual organic HAP i, kPa.

xi = Mole fraction of organic HAP i in the liquid.

n = Number of organic HAP in stream.

Tm = Minutes/episode.

(3) Emissions from vapor displacement. Organic HAP 

emissions from vapor displacement due to transfer of material 

into or out of a vessel shall be calculated using Equation 9 of 

this section:

Where:
Page 126 of 217

Eepisode = Emissions, kg/episode.

y = Saturated mole fraction of all organic HAP in vapor 

phase.

V = Volume of gas displaced from the vessel, m3 .

P = Pressure in vessel vapor space, kPa.

MWwavg = Weighted average molecular weight of organic HAP in 

vapor, determined in accordance with paragraph (d)(4)(i)(D) of 

this section, kg/kmol.

R = Ideal gas constant, 8.314 m3 ·kPa/kmol·K.

T = Temperature of vessel vapor space, K.

(4) Emissions from heating of vessels. Organic HAP 

emissions caused by the heating of a vessel shall be calculated 

using the procedures in either paragraph (d)(4)(i),(ii), or 

(iii) of this section, as appropriate.

(i) If the final temperature to which the vessel contents 

is heated is lower than 50 K below the boiling point of the HAP 

in the vessel, then organic HAP emissions shall be calculated 

using the equations in paragraphs (d)(4)(i)(A) through (D) of 

this section.

(A) Organic HAP emissions caused by heating of a vessel 

shall be calculated using Equation 10 of this section. The 

assumptions made for this calculation are atmospheric pressure 

of 760 millimeters of mercury (mm Hg) and the displaced gas is 
Page 127 of 217

always saturated with volatile organic compounds (VOC) vapor in 

equilibrium with the liquid mixture:

Where:

Eepisode = Emissions, kg/episode.

(Pi)T1, (Pi)T2 = Partial pressure (kPa) of each organic HAP i 

in the vessel headspace at initial (T1) and final (T2) 

temperature.

n = Number of organic HAP in stream.

Δη = Number of kilogram-moles (kg-moles) of gas displaced, 

determined in accordance with paragraph (d)(4)(i)(B) of this 

section.

101.325 = Constant, kPa.

(MWWAVG,T1), (MWWAVG,T2) = Weighted average molecular weight of 

total organic HAP in the displaced gas stream, determined in 

accordance with paragraph (d)(4)(i)(D) of this section, kg/kmol.

(B) The moles of gas displaced, Δ, is calculated using 

Equation 11 of this section:
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Where:

Δη = Number of kg-moles of gas displaced.

Vfs = Volume of free space in the vessel, m3 .

R = Ideal gas constant, 8.314 m3 ·kPa/kmol·K.

Pa1 = Initial noncondensible gas partial pressure in the 

vessel, kPa.

Pa2 = Final noncondensible gas partial pressure in the 

vessel, kPa.

T1 = Initial temperature of vessel, K.

T2 = Final temperature of vessel, K.

(C) The initial and final pressure of the noncondensible 

gas in the vessel shall be calculated using Equation 12 of this 

section:

Where:

Pa = Initial or final partial pressure of noncondensible 

gas in the vessel headspace, kPa.

101.325 = Constant, kPa.

(Pi)T = Partial pressure of each organic HAP i in the vessel 

headspace, kPa, at the initial or final temperature (T1 or T2).

n = Number of organic HAP in stream.
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(D) The weighted average molecular weight of organic HAP in 

the displaced gas, MWwavg, shall be calculated using Equation 13 

of this section:

Where:

C = Organic HAP component

n = Number of organic HAP components in stream.

(ii) If the vessel contents are heated to a temperature 

greater than 50 K below the boiling point, then organic HAP 

emissions from the heating of a vessel shall be calculated as 

the sum of the organic HAP emissions calculated in accordance 

with paragraphs (d)(4)(ii)(A) and (B) of this section.

(A) For the interval from the initial temperature to the 

temperature 50 K below the boiling point, organic HAP emissions 

shall be calculated using Equation 10 of this section, where T2is 

the temperature 50 K below the boiling point.

(B) For the interval from the temperature 50 K below the 

boiling point to the final temperature, organic HAP emissions 

shall be calculated as the summation of emissions for each 5 K 

increment, where the emissions for each increment shall be 

calculated using Equation 10 of this section.
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(1) If the final temperature of the heatup is at or lower 

than 5 K below the boiling point, the final temperature for the 

last increment shall be the final temperature for the heatup, 

even if the last increment is less than 5 K.

(2) If the final temperature of the heatup is higher than 5 

K below the boiling point, the final temperature for the last 

increment shall be the temperature 5 K below the boiling point, 

even if the last increment is less than 5 K.

(3) If the vessel contents are heated to the boiling point 

and the vessel is not operating with a condenser, the final 

temperature for the final increment shall be the temperature 5 K 

below the boiling point, even if the last increment is less than 

5 K.

(iii) If the vessel is operating with a condenser, and the 

vessel contents are heated to the boiling point, the process 

condenser, as defined in §63.1402, is considered part of the 

process. Organic HAP emissions shall be calculated as the sum of 

emissions calculated using Equation 10 of this section, which 

calculates organic HAP emissions due to heating the vessel 

contents to the temperature of the gas exiting the condenser, 

and emissions calculated using Equation 9 of this section, which 

calculates emissions due to the displacement of the remaining 

saturated noncondensible gas in the vessel. The final 

temperature in Equation 10 of this section shall be set equal to 
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the exit gas temperature of the condenser. Equation 9 of this 

section shall be used as written below in Equation 14 of this 

section, using free space volume, and T is set equal to the 

condenser exit gas temperature:

Where:

Eepisode = Emissions, kg/episode.

y = Saturated mole fraction of all organic HAP in vapor 

phase.

Vfs = Volume of the free space in the vessel, m3 .

P = Pressure in vessel vapor space, kPa.

MWwavg = Weighted average molecular weight of organic HAP in 

vapor, determined in accordance with paragraph (d)(4)(i)(D) of 

this section, kg/kmol.

R = Ideal gas constant, 8.314 m3 ·kPa/kmol·K.

T = Temperature of condenser exit stream, K.

(5) Emissions determined by direct measurement. The owner 

or operator may estimate annual organic HAP emissions for a 

batch emission episode by direct measurement. The test methods 

and procedures specified in paragraphs (a) and (b) of this 

section shall be used for direct measurement. If direct 

measurement is used, the owner or operator shall perform a test 

for the duration of a representative batch emission episode. 
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Alternatively, the owner or operator may perform a test during 

only those periods of the batch emission episode for which the 

emission rate for the entire episode can be determined or for 

which the emissions are greater than the average emission rate 

of the batch emission episode. The owner or operator choosing 

either of these options shall develop an emission profile 

illustrating the emission rate (kilogram per unit time) over the 

entire batch emission episode, based on either process knowledge 

or test data, to demonstrate that test periods are 

representative. Examples of information that could constitute 

process knowledge include calculations based on material 

balances and process stoichiometry. Previous test results may be 

used to develop the emission profile provided the results are 

still relevant to the current batch process vent conditions. The 

emission profile shall be included in the site-specific test 

plan required by §63.1417(h)(2).

(6) Emissions determined by engineering assessment. To use 

engineering assessment to estimate organic HAP emissions from a 

batch emission episode, owners or operators shall comply with 

paragraphs (d)(6)(i) through (iii) of this section.

(i) If the criteria specified in paragraphs (d)(6)(i)(A), 

(B), and (C) of this section are met for a specific batch 

emission episode, the owner or operator may use engineering 
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assessment to estimate organic HAP emissions from that batch 

emission episode.

(A) Previous test data, where the measurement of organic 

HAP emissions was an outcome of the test, that show a greater 

than 20 percent discrepancy between the test value and the value 

estimated using the applicable equations in paragraphs (d)(1) 

through (4) of this section. Paragraphs (d)(6)(i)(A)(1) and (2) 

of this section describe test data that will be acceptable under 

this paragraph.

(1) Test data for the batch emission episode obtained 

during production of the product for which the demonstration is 

being made.

(2) Test data obtained for a batch emission episode from 

another process train where the test data were obtained during 

production of the product for which the demonstration is being 

made. Test data from another process train may be used only if 

the owner or operator can demonstrate that the data are 

representative of the batch emission episode for which the 

demonstration is being made, taking into account the nature, 

size, operating conditions, production rate, and sequence of 

process steps (e.g., reaction, distillation, etc.) of the 

equipment in the other process train.

(B) Previous test data for the batch emission episode with 

the highest organic HAP emissions on a mass basis where the 
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measurement of organic HAP emissions was an outcome of the test, 

where data were obtained during the production of the product 

for which the demonstration is being made, and where the data 

show a greater than 20 percent discrepancy between the test 

value and the value estimated using the applicable equations in 

paragraphs (d)(1) through (4) of this section. If the criteria 

in this paragraph are met, then engineering assessment may be 

used for all batch emission episodes associated with that batch 

cycle for the batch unit operation.

(C) The owner or operator has requested and been granted 

approval to use engineering assessment to estimate organic HAP 

emissions from a batch emissions episode. The request to use 

engineering assessment to estimate organic HAP emissions from a 

batch emissions episode shall contain sufficient information and 

data to demonstrate to the Administrator that engineering 

assessment is an accurate means of estimating organic HAP 

emissions for that particular batch emissions episode. The 

request to use engineering assessment to estimate organic HAP 

emissions for a batch emissions episode shall be submitted in 

the Precompliance Report, as required by §63.1417(d).

(ii) Engineering assessment includes, but is not limited 

to, the following:

(A) Previous test results, provided the tests are 

representative of current operating practices;
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(B) Bench-scale or pilot-scale test data obtained under 

conditions representative of current process operating 

conditions;

(C) Flow rate or organic HAP emission rate specified or 

implied within a permit limit applicable to the batch process 

vent; and

(D) Design analysis based on accepted chemical engineering 

principles, measurable process parameters, or physical or 

chemical laws or properties. Examples of analytical methods 

include, but are not limited to:

(1) Use of material balances;

(2) Estimation of flow rate based on physical equipment 

design such as pump or blower capacities;

(3) Estimation of organic HAP concentrations based on 

saturation conditions; and

(4) Estimation of organic HAP concentrations based on grab 

samples of the liquid or vapor.

(iii) Data or other information used to demonstrate that 

the criteria in paragraph (d)(6)(i) of this section have been 

met shall be reported as specified in paragraphs (d)(6)(iii)(A) 

and (B) of this section.

(A) Data or other information used to demonstrate that the 

criteria in paragraphs (d)(6)(i)(A) and (B) of this section have 
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been met shall be reported in the Notification of Compliance 

Status, as required by §63.1417(e)(9).

(B) The request for approval to use engineering assessment 

to estimate organic HAP emissions from a batch emissions episode 

as allowed under paragraph (d)(6)(i)(C) of this section, and 

sufficient data or other information for demonstrating to the 

Administrator that engineering assessment is an accurate means 

of estimating organic HAP emissions for that particular batch 

emissions episode shall be submitted with the Precompliance 

Report, as required by §63.1417(d).

(7) Emissions for a single batch cycle. For each batch 

process vent, the organic HAP emissions associated with a single 

batch cycle shall be calculated using Equation 15 of this 

section:

Where:

Ecycle = Emissions for an individual batch cycle, kg/batch 

cycle.

Eepisodei = Emissions from batch emission episode i, 

kg/episode.

n = Number of batch emission episodes for the batch cycle.
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(8) Annual emissions from a batch process vent. Annual 

organic HAP emissions from a batch process vent shall be 

calculated using Equation 16 of this section:

Where:

AE = Annual emissions from a batch process vent, kg/yr.

Ni = Number of type i batch cycles performed annually, 

cycles/year.

Ecyclei = Emissions from the batch process vent associated 

with a single type i batch cycle, as determined in paragraph 

(d)(7) of this section, kg/batch cycle.

n = Number of different types of batch cycles that cause 

the emission of organic HAP from the batch process vent.

(9) Partial pressures in multicomponent systems. Individual 

HAP partial pressures in multicomponent systems shall be 

determined using the appropriate method specified in paragraphs 

(d)(9)(i) through (iii) of this section.

(i) If the components are miscible, use Raoult's law to 

calculate the partial pressures;

(ii) If the solution is a dilute aqueous mixture, use 

Henry's law constants to calculate partial pressures;
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(iii) If Raoult's law or Henry's law is not appropriate or 

available, the owner or operator may use any of the options in 

paragraph (d)(9)(iii)(A), (B), or (C) of this section.

(A) Experimentally obtained activity coefficients, Henry's 

law constants, or solubility data;

(B) Models, such as group-contribution models, to predict 

activity coefficients; or

(C) Assume the components of the system behave 

independently and use the summation of all vapor pressures from 

the HAPs as the total HAP partial pressure.

§63.1415 Monitoring requirements.

(a) General requirements. Each owner or operator of an 

emission point located at an affected source that uses a control 

device to comply with the requirements of this subpart and has 

one or more parameter monitoring level requirement specified 

under this subpart, shall install the monitoring equipment 

specified in paragraph (b) of this section in order to 

demonstrate continued compliance with the provisions of this 

subpart. All monitoring equipment shall be installed, 

calibrated, maintained, and operated according to manufacturer's 

specifications or other written procedures that provide adequate 

assurance that the equipment would reasonably be expected to 

monitor accurately.
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(1) This monitoring equipment shall be in operation at all 

times when organic HAP emissions that are required to be 

controlled as part of complying with the emission limits 

specified in §§63.1404, 63.1405, 63.1406, 63.1407, and 63.1408 

are vented to the control device.

(2) For control devices controlling less than 1 ton per 

year of uncontrolled organic HAP emissions, monitoring shall 

consist of a daily verification that the control device is 

operating properly. If the control device is used to control 

batch process vents alone or in combination with other emission 

points, the verification may be on a per batch cycle basis. This 

verification shall include, but not be limited to, a daily or 

per batch demonstration that the control device is working as 

designed. The procedure for this demonstration shall be 

submitted for review and approval as part of the Precompliance 

Report, as required by §63.1417(d)(10).

(3) Nothing in this section shall be construed to allow a 

monitoring parameter excursion caused by an activity that 

violates other applicable provisions of subpart A, F, or G of 

this part.

(b) Monitoring equipment. The monitoring equipment 

specified in paragraphs (b)(1) through (8) of this section shall 

be installed as specified in paragraph (a) of this section. The 
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parameters to be monitored are specified in Table 3 of this 

subpart.

(1) Where a scrubber is used, the following monitoring 

equipment is required.

(i) A pH monitoring device equipped with a continuous 

recorder to monitor the pH of the scrubber effluent.

(ii) A flow measurement device equipped with a continuous 

recorder shall be located at the scrubber influent for liquid 

flow. Gas stream flow shall be determined using one of the 

following procedures:

(A) The owner or operator may determine gas stream flow 

using the design blower capacity with appropriate adjustments 

for pressure drop.

(B) If the scrubber is subject to regulations in 40 CFR 

parts 264 through 266 that required a determination of the 

liquid to gas (L/G) ratio prior to the applicable compliance 

date for this subpart, the owner or operator may determine gas 

stream flow by the method that had been utilized to comply with 

those regulations. A determination that was conducted prior to 

the compliance date for this subpart may be utilized to comply 

with this subpart if it is still representative.

(C) The owner or operator may prepare and implement a gas 

stream flow determination plan that documents an appropriate 

method which will be used to determine the gas stream flow. The 
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plan shall require determination of gas stream flow by a method 

which will at least provide a value for either a representative 

or the highest gas stream flow anticipated in the scrubber 

during representative operating conditions other than start-ups, 

shutdowns, or malfunctions. The plan shall include a description 

of the methodology to be followed and an explanation of how the 

selected methodology will reliably determine the gas stream 

flow, and a description of the records that will be maintained 

to document the determination of gas stream flow. The owner or 

operator shall maintain the plan as specified in §63.1416(a).

(2) Where an absorber is used, a scrubbing liquid 

temperature monitoring device and a specific gravity monitoring 

device are required, each equipped with a continuous recorder.

(3) Where a condenser is used, a condenser exit temperature 

(product side) monitoring device equipped with a continuous 

recorder is required.

(4) Where a carbon adsorber is used, an integrating 

regeneration steam flow or nitrogen flow, or pressure monitoring 

device having an accuracy of ±10 percent of the flow rate, 

level, or pressure, or better, capable of recording the total 

regeneration steam flow or nitrogen flow, or pressure (gauge or 

absolute) for each regeneration cycle; and a carbon bed 

temperature monitoring device, capable of recording the carbon 
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bed temperature after each regeneration and within 15 minutes of 

completing any cooling cycle are required.

(5) Where an incinerator is used, a temperature monitoring 

device equipped with a continuous recorder is required.

(i) Where an incinerator other than a catalytic incinerator 

is used, the temperature monitoring device shall be installed in

the firebox or in the ductwork immediately downstream of the 

firebox in a position before any substantial heat exchange 

occurs.

(ii) Where a catalytic incinerator is used, temperature 

monitoring devices shall be installed in the gas stream 

immediately before and after the catalyst bed.

(6) Where a flare is used, a device (including but not 

limited to a thermocouple, ultra-violet beam sensor, or infrared 

sensor) capable of continuously detecting the presence of a 

pilot flame is required.

(7) Where a boiler or process heater of less than 44 

megawatts design heat input capacity is used, a temperature 

monitoring device in the firebox equipped with a continuous 

recorder is required. Any boiler or process heater in which all 

vent streams are introduced with the primary fuel or are used as 

the primary fuel is exempt from this requirement.

(8) As an alternate to paragraphs (b)(1) through (7) of 

this section, the owner or operator may install an organic 
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monitoring device equipped with a continuous recorder. Said 

organic monitoring device shall meet the requirements of 

Performance Specification 8 or 9 of 40 CFR part 60, appendix B, 

and shall be installed, calibrated, and maintained according to 

§63.6.

(c) Alternative monitoring parameters. An owner or operator 

may request approval to monitor parameters other than those 

specified in Table 3 of this subpart. The request shall be 

submitted according to the procedures specified in §63.1417(j). 

Approval shall be requested if the owner or operator:

(1) Uses a control device or control technology other than 

those included in paragraph (b) of this section; or

(2) Uses one of the control devices included in paragraph 

(b) of this section, but seeks to monitor a parameter other than 

those specified in Table 3 of this subpart.

(d) Monitoring of bypass lines. Owners or operators using a 

vent system that contains bypass lines that could divert 

emissions away from a control device or control technology used 

to comply with the provisions of this subpart shall comply with 

either paragraph (d)(1) or (2) of this section. Equipment such 

as low leg drains, high point bleeds, analyzer vents, open-ended 

valves or lines, and pressure relief valves needed for safety 

purposes are not subject to this paragraph.
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(1) Properly install, maintain, and operate a flow 

indicator that takes a reading at least once every 15 minutes. 

Records shall be generated as specified in §63.1416(d)(3). The 

flow indicator shall be installed at the entrance to any bypass 

line that could divert emissions away from the control device or 

control technology and to the atmosphere; or

(2) Secure the bypass line damper or valve in the nondiverting position with a car-seal or a lock-and-key type 

configuration. A visual inspection of the seal or closure 

mechanism shall be performed at least once every month to ensure 

that the damper or valve is maintained in the non-diverting 

position and emissions are not diverted through the bypass line. 

Records shall be generated as specified in §63.1416(d)(3).

(e) Monitoring for the alternative standards. For control 

devices that are used to comply with the provisions of 

§§63.1404(b), 63.1405(b), 63.1406(b), 63.1407(b), or 63.1408(b) 

the owner or operator shall conduct continuous monitoring of the 

outlet organic HAP concentration whenever emissions are vented 

to the control device. Continuous monitoring of outlet organic 

HAP concentration shall be accomplished using an FTIR instrument 

following Method PS–15 of 40 CFR part 60, appendix B. The owner 

or operator shall calculate a daily average outlet organic HAP 

concentration.

§63.1416 Recordkeeping requirements.
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(a) Data retention. Unless otherwise specified in this 

subpart, each owner or operator of an affected source shall keep 

copies of all applicable records and reports required by this 

subpart for at least 5 years, as specified in paragraph (a)(1) 

of this section, with the exception listed in paragraph (a)(2) 

of this section.

(1) All applicable records shall be maintained in such a 

manner that they can be readily accessed. The most recent 6 

months of records shall be retained on site or shall be 

accessible from a central location by computer or other means 

that provides access within 2 hours after a request. The 

remaining 4 and one-half years of records may be retained 

offsite. Records may be maintained in hard copy or computerreadable form including, but not limited to, on paper, 

microfilm, computer, floppy disk, CD-ROM, optical disc, magnetic 

tape, or microfiche.

(2) If an owner or operator submits copies of reports to 

the appropriate EPA Regional Office, the owner or operator is 

not required to maintain copies of reports. If the EPA Regional 

Office has waived the requirement of §63.10(a)(4)(ii) for 

submittal of copies of reports, the owner or operator is not 

required to maintain copies of those reports.

(b) Start-up, shutdown, and mMalfunction plan and records. 

The owner or operator of an affected source shall develop a 
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startup, shutdown, and malfunction plan as specified in 

§63.6(e)(3) and shall keep the plan on-site. Records shall be 

kept as specified in paragraphs (b)(1) and through (23) of this 

section. Records are not required for emission points that do 

not require control under this subpart.

(1) In the event that an affected unit fails to meet an 

applicable standard, record the number of failures. For each 

failure record the date, time, and duration of each 

failure.Records of the occurrence and duration of each start-up, 

shutdown, and malfunction of operation of process equipment, or 

control devices, or recovery devices, or continuous monitoring 

systems, or control technologies used to comply with this 

subpart during which excess emissions (as defined in 

§63.1400(k)(4)) occur.

(2) For each failure to meet an applicable standard, record 

and retain a list of the affected sources or equipment, an 

estimate of the volume of each regulated pollutant emitted over 

any emission limit, and a description of the method used to 

estimate the emissions.For each start-up, shutdown, or 

malfunction during which excess emissions (as defined in 

§63.1400(k)(4)) occur, records reflecting whether the procedures 

specified in the affected source's start-up, shutdown, and 

malfunction plan were followed and documentation of actions 

taken that are not consistent with the plan. For example, if a 
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start-up, shutdown, and malfunction plan includes procedures for 

routing a control device to a backup control device (e.g., a 

halogenated stream could be routed to a flare during periods 

when the primary control device is out of service), records 

shall be kept of whether the plan was followed. These records 

may take the form of a “checklist” or other form of 

recordkeeping that confirms conformance with the start-up, 

shutdown, and malfunction plan for the event.

(3) Record actions taken to minimize emissions in 

accordance with § 63.1420(h)(4), and any corrective actions 

taken to return the affected unit to its normal or usual manner 

of operation.

(c) Monitoring records. Owners or operators required to 

comply with §63.1415 and, therefore, required to keep continuous 

records shall keep records as specified in paragraphs (c)(1) 

through (6) of this section.

(1) The owner or operator shall record either each measured 

data value or average values for 1 hour or shorter periods 

calculated from all measured data values during each period. If 

values are measured more frequently than once per minute, a 

single value for each minute may be used to calculate the hourly 

(or shorter period) average instead of all measured values. 

Owners or operators of batch process vents shall record each 

measured data value; if values are measured more frequently than 
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once per minute, a single value for each minute may be recorded 

instead of all measured values.

(2) Daily average, batch cycle daily average, or block 

average values of each continuously monitored parameter shall be 

calculated for each operating day as specified in paragraphs 

(c)(2)(i) and (ii) of this section, except as specified in 

paragraphs (c)(3) and (4) of this section. The option of 

conducting parameter monitoring for batch process vents on a 

batch cycle daily average basis or a block average basis is 

described in paragraph (d)(2) of this section.

(i) The daily average value, batch cycle daily average, or 

block average shall be calculated as the average of all 

parameter values recorded during the operating day, or batch 

cycle, as appropriate, except as specified in paragraph (c)(4) 

of this section. For batch process vents, only parameter values 

recorded during those batch emission episodes, or portions 

thereof, in the batch cycle that the owner or operator has 

selected to control in order to comply shall be used to 

calculate the average. The calculated average shall cover a 24-

hour period if operation is continuous, or the number of hours 

of operation per operating day if operation is not continuous 

for daily average values or batch cycle daily average values. 

The calculated average shall cover the entire period of the 

batch cycle for block average values. As specified in 
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§63.1413(a)(4)(i)(C)(3), the owner or operator shall provide the 

information needed to calculate batch cycle daily averages for 

operating days that include partial batch cycles.

(ii) The operating day shall be the period the owner or 

operator specifies in the operating permit or the Notification 

of Compliance Status for purposes of determining daily average 

values or batch cycle daily average values of monitored 

parameters. The block shall be the entire period of the batch 

cycle, as specified by the owner or operator in the operating 

permit or the Notification of Compliance Status for purposes of 

determining block average values of monitored parameters.

(3) If all recorded values for a monitored parameter during 

an operating day or block are above the minimum level or below 

the maximum level established in the Notification of Compliance 

Status or operating permit, the owner or operator may record 

that all values were above the minimum level or below the 

maximum level rather than calculating and recording a daily 

average, or block average, for that operating day. For these 

operating days or blocks, the records required in paragraph 

(c)(1) of this section shall also be retained for 5 years.

(4) Monitoring data recorded during periods identified in 

paragraphs (c)(4)(i) through and (vii) of this section shall not 

be included in any average computed under this subpart. Records 

shall be kept of the times and durations of all such periods and 
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any other periods during process or control device or recovery 

device or control technology operation when monitors are not 

operating:

(i) Monitoring system breakdowns, repairs, calibration 

checks, and zero (low-level) and high-level adjustments; and

(ii) Start-ups;

(iii) Shutdowns;

(iv) Malfunctions; and

(v) Periods of non-operation of the affected source (or 

portion thereof) resulting in cessation of the emissions to 

which the monitoring applies.

(5) The owner or operator who has received approval to 

monitor different parameters, under §63.1417(j) as allowed under 

§63.1415(e), than those specified for storage vessels, 

continuous process vents, or batch process vents shall retain 

for a period of 5 years each record specified in their approved 

Alternative Monitoring Parameters request.

(6) The owner or operator who has received approval to use 

alternative continuous monitoring and recordkeeping provisions 

as specified in §63.1417(k) shall retain for a period of 5 years 

each record specified in their approved Alternative Continuous 

Monitoring request.

(d) Batch process vent records —(1) Compliance 

demonstration records. Each owner or operator of a batch process 
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vent complying with §63.1406 or §63.1407 shall keep the 

following records, as applicable, readily accessible.

(i) If a batch process vent is seeking to demonstrate 

compliance with the alternative standard specified in 

§63.1406(b) or §63.1407(b), results of the initial compliance 

demonstration specified in §63.1413(f).

(ii) If a batch process vent is seeking to demonstrate 

compliance with the percent reduction requirements of 

§63.1406(a)(1)(ii) or §63.1407(a)(2)(ii), records documenting 

the batch cycle percent reduction or overall percent reduction, 

as appropriate, as specified in §63.1413(e)(1)(iii).

(iii) When using a flare to comply with §63.1406(a)(1)(i) 

or §63.1407(a)(2)(i):

(A) The flare design (i.e., steam-assisted, air-assisted or 

non-assisted);

(B) All visible emission readings, heat content 

determinations, flow rate measurements, and exit velocity 

determinations made during the compliance determination required 

by §63.1413(g); and

(C) Periods when all pilot flames were absent during the 

compliance determination required by §63.1413(g).

(iv) The following information when using a control device 

or control technology, other than a flare, to achieve compliance 
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with the percent reduction requirement of §63.1406(a)(1)(ii) or 

§63.1407(a)(2)(ii):

(A) For an incinerator, non-combustion control device, or 

other control technology, the percent reduction of organic HAP 

achieved for emissions vented to the control device or control 

technology, as determined using the procedures specified in 

§63.1413(e)(1);

(B) For a boiler or process heater, a description of the 

location at which the vent stream is introduced into the boiler 

or process heater; and

(C) For a boiler or process heater with a design heat input 

capacity of less than 44 megawatts and where the vent stream is 

not introduced with the primary fuel or used as the primary 

fuel, the percent reduction of organic HAP achieved for 

emissions vented to the control device, as determined using the 

procedures specified in §63.1413(e)(1).

(v) If a batch process vent is seeking to demonstrate 

compliance with the mass emission limits specified in 

§63.1406(a)(1)(iii) or (a)(2)(iii) or specified in 

§63.1407(b)(2), the following information:

(A) Results of the initial compliance demonstration 

specified in §63.1413(e)(2).
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(B) The organic HAP emissions from the batch process vent 

associated with each single type of batch cycle (Ecyclei) 

determined as specified in §63.1413(e)(2).

(C) The site-specific emission limit required by 

§63.1413(e)(2), as appropriate.

(vi) If an owner or operator designates a condenser 

sometimes operated as a process condenser as a control device, 

comply with either paragraph (d)(1)(vi)(A) or (B) of this 

section.

(A) Retain information, data, analyses to document 

inprocess recycling of the material recovered when the condenser 

is operating as a control device.

(B) When requested by the Administrator, demonstrate that 

material recovered by the condenser operating as a control 

device is reused in a manner meeting the definition of inprocess 

recycling.

(2) Establishment of parameter monitoring level records. 

For each parameter monitored according to §63.1415(b) and Table 

3 of this subpart, or for alternate parameters and/or parameters 

for alternate control devices or control technologies monitored 

according to §63.1417(j) as allowed under §63.1415(e), maintain 

documentation showing the establishment of the level that 

indicates proper operation of the control device or control 

technology as required by §63.1415(c) for parameters specified 
Page 154 of 217

in §63.1415(b) and as required by §63.1417(j) for alternate 

parameters. An owner or operator may choose to monitor operating 

parameters for batch process vents on a batch cycle daily 

average basis or on a block average basis. The batch cycle daily 

average is based on parameter monitoring accomplished during the 

operating day (i.e., a 24-hour basis). The block average is 

based on the parameter monitoring accomplished during a single 

batch cycle. As defined in §63.1402, the block shall be the 

period of time equal to a single batch cycle. Monitored 

parameter documentation shall include the following:

(i) Parameter monitoring data used to establish the level.

(ii) Identification that the parameter monitoring level is 

associated with a batch cycle daily average or a block average.

(iii) A definition of the batch cycle or block, as 

appropriate.

(3) Controlled batch process vent continuous compliance 

records. Continuous compliance records shall be kept as follows:

(i) Each owner or operator of a batch process vent that 

uses a control device or control technology to comply with the 

percent reduction requirements of §63.1406(a)(1)(ii) or 

§63.1407(a)(2)(ii) shall keep the following records, as 

applicable, readily accessible:

(A) Continuous records of the equipment operating 

parameters specified to be monitored under §63.1415(b) as 
Page 155 of 217

applicable, and listed in Table 3 of this subpart, or specified 

by the Administrator in accordance with §63.1417(f) as allowed 

under §63.1415(e). Said records shall be kept as specified under 

paragraph (c) of this section, except as follows:

(1) For carbon adsorbers, the records specified in Table 3 

of this subpart shall be maintained in place of continuous 

records.

(2) For flares, the records specified in Table 4 of this 

subpart shall be maintained in place of continuous records.

(B) Records of the batch cycle daily average value or block 

average value of each continuously monitored parameter, as 

specified in paragraph (c) of this section.

(ii) Each owner or operator of a batch process vent that 

uses a control device or control technology to comply with 

§63.1406 or §63.1407 shall keep the following records, as 

applicable, readily accessible:

(A) Hourly records of whether the flow indicator for bypass 

lines specified in §63.1415(d) was operating and whether a 

diversion was detected at any time during the hour. Also, 

records of the time and duration periods when the vent is 

diverted from the control device or control technology or the 

flow indicator specified in §63.1415(d) is not operating.

(B) Where a seal or closure mechanism is used to comply 

with §63.1415(d), hourly records of whether a diversion was 
Page 156 of 217

detected at any time are not required. The owner or operator 

shall record whether the monthly visual inspection of the seals 

or closure mechanisms has been done and shall record the 

occurrence of all periods when the seal mechanism is broken, the 

bypass line damper or valve position has changed, or the key for 

a lock-and-key type configuration has been checked out, and 

records of any car-seal that has broken.

(C) Records specifying the times and duration of periods of 

monitoring system breakdowns, repairs, calibration checks, and 

zero (low-level) and high-level adjustments. In addition, 

records specifying any other periods of process or control 

device operation or control technology operation when monitors 

are not operating.

(iii) Each owner or operator of a batch process vent 

seeking to demonstrate compliance with the alternative standard, 

as specified in §63.1406(b) or §63.1407(b), shall keep the 

records of continuous emissions monitoring described in 

§63.1416(c).

(iv) Each owner or operator of a batch process vent seeking 

to demonstrate compliance with the mass emission limits, 

specified in §63.1406(a)(1)(iii) or (a)(2)(iii), shall keep the 

following records, as applicable, readily accessible.

(A) The cumulative average monthly emission rate or the 12-

month rolling average monthly emission rate, as appropriate.
Page 157 of 217

(B) If there is a deviation from the mass emission limit,

as specified in §63.1413(h), the individual monthly emission 

rate data points making up the cumulative average monthly 

emission rate or the 12-month rolling average monthly emission 

rate, as appropriate.

(C) If it becomes necessary to redetermine (Ecyclei) for a 

reactor batch process vent, as specified in §63.1413(e)(2), the 

new value(s) for (Ecyclei).

(D) If an owner or operator is demonstrating compliance 

using the procedures in §63.1413(e)(2), the monthly value of the 

site-specific emission limit developed under §63.1413(e)(2).

(e) Aggregate batch vent stream records —(1) Compliance 

demonstration records. Each owner or operator of an aggregate 

batch vent stream complying with §63.1408(a)(1) or (2) shall 

keep the following records, as applicable, readily accessible:

(i) If an aggregate batch vent stream is in compliance with 

the percent reduction requirements of §63.1408(a)(1)(ii) or 

(a)(2)(ii), owners or operators shall comply with the 

recordkeeping requirements for continuous process vents 

specified in 40 CFR part 63, subpart SS.

(ii) If an aggregate batch vent stream is in compliance 

with the alternative standard specified in §63.1408(b), results 

of the initial compliance demonstration specified in 

§63.1413(f).
Page 158 of 217

(iii) When using a flare to comply with §63.1408(a)(1)(i) 

or (a)(2)(i):

(A) The flare design (i.e., steam-assisted, air-assisted or 

non-assisted).

(B) All visible emission readings, heat content 

determinations, flow rate measurements, and exit velocity 

determinations made during the compliance determination required 

by §63.1413(g).

(C) Periods when all pilot flames were absent during the 

compliance determination required by §63.1413(g).

(iv) If an aggregate batch vent stream is seeking to comply 

with the mass emission limits specified in §63.1408(b)(2), 

results of the initial compliance demonstration specified in 

§63.1413(e)(2). In addition, for each batch process vent, the 

emissions associated with each single type of batch cycle 

(Ecyclei), determined as specified in §63.1413(e)(2), shall be 

recorded.

(2) Establishment of parameter monitoring level records. 

For each parameter monitored according to §63.1415(b) and Table 

3 of this subpart, or for alternate parameters and/or parameters 

for alternate control devices monitored according to §63.1417(j) 

as allowed under §63.1415(e), maintain documentation showing the 

establishment of the level that indicates proper operation of 

the control device as required by §63.1415(c) for parameters 
Page 159 of 217

specified in §63.1415(b) and as required by §63.1417(j) for 

alternate parameters. Monitored parameter documentation shall 

include the parameter monitoring data used to establish the 

level.

(3) Controlled aggregate batch vent streams continuous 

compliance records. The following continuous compliance records 

shall be kept, as applicable:

(i) Each owner or operator of an aggregate batch vent 

stream that uses a control device to comply with the percent 

reduction requirement of §63.1408(a)(1)(ii) or (a)(2)(ii) shall 

keep the following records, as applicable, readily accessible:

(A) Continuous records of the equipment operating 

parameters specified to be monitored under §63.1415(b) as 

applicable, and listed in Table 3 of this subpart, or specified 

by the Administrator in accordance with §63.1417(j) as allowed 

under §63.1415(e). Records shall be kept as specified under 

paragraph (c) of this section, except as follows:

(1) For carbon adsorbers, the records specified in Table 3 

of this subpart shall be maintained in place of continuous 

records.

(2) For flares, the records specified in Table 3 of this 

subpart shall be maintained in place of continuous records.
Page 160 of 217

(B) Records of the daily average value of each continuously 

monitored parameter, as specified in paragraph (c) of this 

section.

(ii) Each owner or operator of an aggregate batch vent 

stream that uses a control device to comply with paragraph 

§63.1408(a)(1) or (2) of this section shall keep the following 

records, as applicable, readily accessible:

(A) Hourly records of whether the flow indicator for bypass 

lines specified in §63.1415(d) was operating and whether a 

diversion was detected at any time during the hour. Also, 

records of the times and durations of periods when the vent is 

diverted from the control device or the flow indicator specified 

in §63.1415(d) is not operating.

(B) Where a seal or closure mechanism is used to comply 

with §63.1415(d), hourly records of whether a diversion was 

detected at any time are not required. The owner or operator 

shall record whether the monthly visual inspection of the seals 

or closure mechanisms has been done, and shall record the 

occurrence of all periods when the seal mechanism is broken, the 

bypass line damper or valve position has changed, or the key for 

a lock-and-key type configuration has been checked out, and 

records of any car-seal that has broken.

(C) Records specifying the times and duration of periods of 

monitoring system breakdowns, repairs, calibration checks, and 
Page 161 of 217

zero (low-level) and high-level adjustments. In addition, 

records specifying any other periods of process or control 

device operation when monitors are not operating.

(iii) Each owner or operator of an aggregate batch vent 

stream seeking to demonstrate compliance with the alternative 

standard, as specified in §63.1408(b), shall keep the records of 

continuous emissions monitoring described in §63.1416(c).

(iv) Each owner or operator of an aggregate batch vent 

stream seeking to demonstrate compliance with the mass emission 

limits, specified in §63.1408(b)(2), shall keep the following 

records, as applicable, readily accessible:

(A) The rolling average monthly emission rate or the 12-

month rolling average monthly emission rate, as appropriate.

(B) If there is a deviation from the emission limit, as 

specified in §63.1413(h)(1), the individual monthly emission 

rate data points making up the rolling average monthly emission 

rate or the 12-month rolling average monthly emission rate, as 

appropriate.

(C) If it becomes necessary to redetermine (Ecyclei) for a 

reactor batch process vent, as specified in §63.1413(e)(2), the 

new value(s) for (Ecyclei).

(f) Continuous process vent records —(1) TRE index value 

records. Each owner or operator of a continuous process vent 

shall maintain records of measurements, engineering assessments, 
Page 162 of 217

and calculations performed according to the procedures of 

§63.1412(j) to determine the TRE index value. Documentation of 

engineering assessments, described in §63.1412(k), shall include 

all data, assumptions, and procedures used for the engineering 

assessments.

(2) Volumetric flow rate records. Each owner or operator of 

a continuous process vent shall record the volumetric flow rate 

as measured using the sampling site and volumetric flow rate 

determination procedures (if applicable) specified in 

§63.1412(b) and (f) or determined through engineering assessment 

as specified in §63.1412(k).

(3) Organic HAP concentration records. Each owner or 

operator shall record the organic HAP concentration as measured 

using the sampling site and organic HAP concentration 

determination procedures specified in §63.1412(b)and (e), or

determined through engineering assessment as specified in 

§63.1412(k).

(4) Process change records. Each owner or operator of a 

continuous process vent shall keep up-to-date, readily 

accessible records of any process changes that change the 

control applicability for a continuous process vent. Records are 

to include any recalculation or measurement of the flow rate, 

organic HAP concentration, and TRE index value.
Page 163 of 217

(g) Other records or documentation. (1) For continuous 

monitoring systems used to comply with this subpart, owners or 

operators shall keep records documenting the completion of 

calibration checks and records documenting the maintenance of 

continuous monitoring systems that are specified in the 

manufacturer's instructions or that are specified in other 

written procedures that provide adequate assurance that the 

equipment would reasonably be expected to monitor accurately.

(2) The owner or operator of an affected source granted a 

waiver under §63.10(f) shall maintain any information 

demonstrating whether an affected source is meeting the 

requirements for a waiver of recordkeeping or reporting 

requirements.

(3) Owners or operators using the exemption from the 

equipment leak provisions provided by §63.1400(f) shall comply 

with either paragraph (g)(3)(i) or (ii) of this section.

(i) The owner or operator shall retain information, data, 

and analysis used to document the basis for using the exemption 

provided by §63.1400(f). Such information, data, and analysis 

shall be retained for the 12-month period preceding December 14, 

1998 and for each 12-month period the affected source is in 

operation and using the exemption provided by §63.1400(f). The 

beginning of each 12-month period shall be the anniversary of 

December 14, 1998.
Page 164 of 217

(ii) When requested by the Administrator, the owner or 

operator shall demonstrate that actual annual production is 

equal to or less than 800 megagrams per year of amino/phenolic 

resin for the 12-month period preceding December 14, 1998, and 

for each 12-month period the affected source has been in 

operation and using the exemption provided by §63.1400(f). The 

beginning of each 12-month period shall be the anniversary of 

December 14, 1998.

(4) The owner or operator of a heat exchange system located 

at an affected source shall retain the following records:

(i) Monitoring data required by §63.1409 indicating a leak 

and the date when the leak was detected, and if demonstrated not 

to be a leak, the basis for that determination.

(ii) Records of any leaks detected by procedures subject to 

§63.1409(c)(2) and the date the leak was detected.

(iii) The dates of efforts to repair leaks.

(iv) The method or procedure used to confirm repair of a 

leak and the date repair was confirmed.

(5) For pressure relief devices in organic HAP service, 

keep records of the information specified in paragraphs 

(g)(5)(i) through (v) of this section, as applicable.

(i) A list of identification numbers for pressure relief 

devices that the owner or operator elects to equip with a 
Page 165 of 217

closed-vent system and control device, under the provisions in §

63.1411(d).

(ii) A list of identification numbers for pressure relief 

devices subject to the provisions in § 63.1411(a).

(iii) A list of identification numbers for pressure relief 

devices equipped with rupture disks, under the provisions in §

63.1411(b)(2).

(iv) The dates and results of the monitoring following a 

pressure release for each pressure relief device subject to the 

provisions in § 63.1411(a) and (b). The results shall include:

(A) The background level measured during each compliance

test.

(B) The maximum instrument reading measured at each piece 

of equipment during each compliance test.

(v) For pressure relief devices in organic HAP service 

subject to § 63.1411(c), keep records of each pressure release 

to the atmosphere, including the following information:

(A) The source, nature, and cause of the pressure release.

(B) The date, time, and duration of the pressure release.

(C) An estimate of the quantity of total HAP emitted during 

the pressure release and the calculations used for determining 

this quantity.

(D) The actions taken to prevent this pressure release.
Page 166 of 217

(E) The measures adopted to prevent future such pressure 

releases.

(h) Reduced recordkeeping program. For any parameter with 

respect to any item of equipment, the owner or operator may 

implement the recordkeeping requirements specified in paragraph 

(h)(1) or (2) of this section as alternatives to the provisions 

specified in this subpart for storage vessels, continuous 

process vents, batch process vents, or aggregate batch vent 

streams. The owner or operator shall retain for a period of 5 

years each record required by paragraph (h)(1) or (2) of this 

section.

(1) The owner or operator may retain only the daily 

average, batch cycle daily average, or block average value, and 

is not required to retain more frequent values, for a parameter 

with respect to an item of equipment, if the requirements of 

paragraphs (h)(1)(i) through (vi) of this section are met. An 

owner or operator electing to comply with the requirements of 

paragraph (h)(1) of this section shall notify the Administrator 

in the Notification of Compliance Status Report required under 

§63.1417(e) or, if the Notification of Compliance Status has 

already been submitted, in the Periodic Report immediately 

preceding implementation of the requirements of this paragraph 

as specified in §63.1417(f)(10).
Page 167 of 217

(i) The monitoring system is capable of detecting 

unrealistic or impossible data during periods of operation other 

than start-ups, shutdowns, or malfunctions (e.g., a temperature 

reading of −200 °C on a boiler) and will alert the operator by 

alarm or other means. The owner or operator shall record the 

occurrence. All instances of the alarm or other alert in an 

operating day or block constitute a single occurrence.

(ii) The monitoring system generates, updated at least 

hourly throughout each operating day, a running average of the 

parameter values that have been obtained during that operating 

day or block, and the capability to observe this running average 

is readily available on-site to the Administrator during the 

operating day. The owner or operator shall record the occurrence 

of any period meeting the criteria in paragraphs (h)(1)(ii)(A) 

through and (CB) of this section. All instances in an operating 

day or block constitute a single occurrence:

(A) The running average is above the maximum or below the 

minimum established limits; and

(B) The running average is based on at least six 1-hour 

average values.; and

(C) The running average reflects a period of operation 

other than a start-up, shutdown, or malfunction.

(iii) The monitoring system is capable of detecting 

unchanging data during periods of operation other than start-
Page 168 of 217

ups, shutdowns, or malfunctions, except in circumstances where 

the presence of unchanging data is the expected operating 

condition based on past experience (e.g., pH in some scrubbers) 

and will alert the operator by alarm or other means. The owner 

or operator shall record the occurrence. All instances of the 

alarm or other alert in an operating day or block constitute a 

single occurrence.

(iv) The monitoring system will alert the owner or operator 

by an alarm or other means if the running average parameter 

value calculated under paragraph (h)(1)(ii) of this section 

reaches a set point that is appropriately related to the 

established limit for the parameter that is being monitored.

(v) The owner or operator shall verify the proper 

functioning of the monitoring system, including its ability to 

comply with the requirements of paragraphs (h)(1)(i) through 

(iv) of this section, at the times specified in paragraphs 

(h)(1)(v)(A) through (C). The owner or operator shall document 

that the required verifications occurred.

(A) Upon initial installation.

(B) Annually after initial installation.

(C) After any change to the programming or equipment 

constituting the monitoring system which might reasonably be 

expected to alter the monitoring system's ability to comply with 

the requirements of this section.
Page 169 of 217

(vi) The owner or operator shall retain the records 

identified in paragraphs (h)(1)(vi)(A) through (D) of this 

section.

(A) Identification of each parameter for each item of 

equipment for which the owner or operator has elected to comply 

with the requirements of paragraph (h)(1) of this section.

(B) A description of the applicable monitoring system(s) 

and how compliance will be achieved with each requirement of 

paragraphs (h)(1)(i) through (v) of this section. The 

description shall identify the location and format (e.g., online storage, log entries) for each required record. If the

description changes, the owner or operator shall retain, as 

provided in paragraph (a) of this section, except as provided in 

paragraph (h)(1)(vi)(D) of this section, both the current and 

the most recent superseded description.

(C) A description and the date of any change to the 

monitoring system that would reasonably be expected to impair 

its ability to comply with the requirements of paragraph (h) of 

this section.

(D) Owners and operators subject to paragraph (h)(1)(vi)(B) 

of this section shall retain the current description of the 

monitoring system as long as the description is current. The 

current description shall, at all times, be retained on-site or 

be accessible from a central location by computer or other means 
Page 170 of 217

that provides access within 2 hours after a request. The owner 

or operator shall retain all superseded descriptions for at 

least 5 years after the date of their creation. Superseded 

descriptions shall be retained on-site (or accessible from a 

central location by computer or other means that provides access 

within 2 hours after a request) for at least 6 months after 

their creation. Thereafter, superseded descriptions may be 

stored off-site.

(2) If an owner or operator has elected to implement the 

requirements of paragraph (h)(1) of this section for a parameter 

with respect to an item of equipment and a period of 6 

consecutive months has passed without any deviation as defined 

in paragraph (h)(2)(iv) of this section, the owner or operator 

is no longer required to record the daily average, batch cycle 

daily average, or block average value for any operating day when 

the daily average, batch cycle daily average, or block average 

value is less than the maximum or greater than the minimum 

established limit. With approval by the Administrator, 

monitoring data generated prior to the compliance date of this 

subpart shall be credited toward the period of 6 consecutive 

months if the parameter limit and the monitoring accomplished 

during the period prior to the compliance date were required 

and/or approved by the Administrator.
Page 171 of 217

(i) If the owner or operator elects not to retain the daily 

average, batch cycle daily average, or block average values, the 

owner or operator shall notify the Administrator in the next 

Periodic Report as specified in §63.1417(f)(11). The 

notification shall identify the parameter and unit of equipment.

(ii) If, on any operating day or during any block after the 

owner or operator has ceased recording the daily average, batch 

cycle daily average, or block average values as provided in 

paragraph (h)(2) of this section, there is a deviation as 

defined in paragraph (h)(2)(iv) of this section, the owner or 

operator shall immediately resume retaining the daily average, 

batch cycle daily average, or block average value for each 

operating day and shall notify the Administrator in the next 

Periodic Report. The owner or operator shall continue to retain 

each daily average, batch cycle daily average, or block average 

value until another period of 6 consecutive months has passed 

without a deviation as defined in paragraph (h)(2)(iv) of this 

section.

(iii) The owner or operator shall retain the records 

specified in paragraphs (h)(1)(i) through (iv) of this section 

for the duration specified in paragraph (h) of this section. For 

any calendar week, if compliance with paragraphs (h)(1)(i) 

through (iv) of this section does not result in retention of a 

record of at least one occurrence or measured parameter value, 
Page 172 of 217

the owner or operator shall record and retain at least one value 

during a period of operation other than a start-up, shutdown, or 

malfunction.

(iv) For purposes of paragraph (h)(2) of this section, a 

deviation means that the daily average, batch cycle daily 

average, or block average value of monitoring data for a 

parameter is greater than the maximum, or less than the minimum 

established value, except that the daily average, batch cycle 

daily average, or block average value during any startup, 

shutdown, or malfunction shall not be considered a deviation, if 

the owner or operator operates the source during such periods in 

accordance with §63.6(e)(1).

§63.1417 Reporting requirements.

(a) Reporting and notification. In addition to the reports 

and notifications required by subpart A of this part as 

specified in Table 1 of this subpart, the owner or operator of 

an affected source shall prepare and submit the reports listed 

in paragraphs (d) through (i) of this section as applicable. All 

reports required by this subpart and the schedule for their 

submittal are listed in Table 5 of this subpart.

(b) General. Owners and operators are required to meet the 

reporting requirements of this subpart unless they can 

demonstrate that failure to submit information required to be 

included in a specified report was due to the circumstances 
Page 173 of 217

described in paragraphs (b)(1) through (3) of this section. 

Examples of circumstances where this paragraph may apply include 

information related to newly-added equipment or emission points, 

changes in the process, changes in equipment required or 

utilized for compliance with the requirements of this subpart, 

or changes in methods or equipment for monitoring, 

recordkeeping, or reporting.

(1) The information was not known in time for inclusion in 

the report specified by this subpart.

(2) The owner or operator has been diligent in obtaining 

the information.

(3) The owner or operator submits a report according to the 

provisions of paragraphs (b)(3)(i) through (iii) of this 

section, as appropriate.

(i) If this subpart expressly provides for supplements to 

the report in which the information is required, the owner or 

operator shall submit the information as a supplement to that 

report. The information shall be submitted no later than 60 days 

after it is obtained, unless otherwise specified in this 

subpart.

(ii) If this subpart does not expressly provide for 

supplements, but the owner or operator must submit a request for 

revision of an operating permit pursuant to 40 CFR part 70 or 

part 71 due to circumstances to which the information pertains, 
Page 174 of 217

the owner or operator shall submit the information with the 

request for revision to the operating permit.

(iii) In any case not addressed by paragraph (b)(3)(i) or 

paragraph (b)(3)(ii) of this section, the owner or operator 

shall submit the information with the first Periodic Report, as 

required by this subpart, which has a submission deadline at 

least 60 days after the information is obtained.

(c) Submittals. All reports required under this subpart 

shall be sent to the Administrator at the appropriate address 

listed in §63.13. If acceptable to both the Administrator and 

the owner or operator of an affected source, reports may be 

submitted on electronic media.

(d) Precompliance Report. Owners or operators of affected 

sources requesting an extension for compliance; requesting 

approval to use alternative monitoring parameters, alternative 

continuous monitoring and recordkeeping, or alternative 

controls; requesting approval to use engineering assessment to 

estimate organic HAP emissions from a batch emissions episode as 

described in §63.1414(d)(6)(i)(C); wishing to establish 

parameter monitoring levels according to the procedures 

contained in §63.1413(a)(4)(ii); establishing parameter 

monitoring levels based on a design evaluation as specified in 

§63.1413(a)(3); or following the procedures in §63.1413(e)(2); 

or requesting approval to incorporate a provision for ceasing to 
Page 175 of 217

collect monitoring data during a start-up, shutdown, or 

malfunction into the startup, shutdown, and malfunction plan 

when that monitoring equipment would be damaged if it did not 

cease to collect monitoring data, as permitted under 

§63.1417(d)(9), shall submit a Precompliance Report according to 

the schedule described in paragraph (d)(1) of this section. The 

Precompliance Report shall contain the information specified in 

paragraphs (d)(2) through (11) of this section, as appropriate.

(1) The Precompliance Report shall be submitted to the 

Administrator no later than 12 months prior to the compliance 

date. Unless the Administrator objects to a request submitted in 

the Precompliance Report within 45 days after its receipt, the 

request shall be deemed approved. For new affected sources, the 

Precompliance Report shall be submitted to the Administrator 

with the application for approval of construction or 

reconstruction required by §63.5(d), as specified on Table 1 of 

this subpart. Supplements to the Precompliance Report may be 

submitted as specified in paragraph (d)(11) of this section.

(2) A request for an extension for compliance, as specified 

in §63.1401(d), may be submitted in the Precompliance Report. 

The request for a compliance extension will include the data 

outlined in §63.6(i)(6)(i)(A), (B), and (D), as required in 

§63.1401(d)(1).
Page 176 of 217

(3) The alternative monitoring parameter information 

required in paragraph (j) of this section shall be submitted in 

the Precompliance Report if, for any emission point, the owner 

or operator of an affected source seeks to comply through the 

use of a control technique other than those for which monitoring 

parameters are specified in this subpart or seeks to comply by 

monitoring a different parameter than those specified in this 

subpart.

(4) If the affected source seeks to comply using 

alternative continuous monitoring and recordkeeping as specified 

in paragraph (k) of this section, the owner or operator shall 

submit the information requested in paragraph (d)(4)(i) or (ii) 

of this section in the Precompliance Report:

(i) The owner or operator shall submit notification of the 

intent to use the provisions specified in paragraph (k) of this 

section; or

(ii) The owner or operator shall submit a request for 

approval to use alternative continuous monitoring and 

recordkeeping provisions as specified in paragraph (k) of this 

section.

(5) The owner or operator shall report the intent to use 

alternative controls to comply with the provisions of this 

subpart in the Precompliance Report. The Administrator may deem 

the alternative controls to be equivalent to the controls 
Page 177 of 217

required by the standard under the procedures outlined in 

§63.6(g).

(6) If a request for approval to use engineering assessment 

to estimate organic HAP emissions from a batch emissions 

episode, as specified in §63.1414(d)(6)(i)(C), is being made, 

the information required by §63.1414(d)(6)(iii)(B) shall be 

submitted in the Precompliance Report.

(7) If an owner or operator elects to establish parameter 

monitoring levels according to the procedures contained in 

§63.1413(a)(4)(ii), or will be establishing parameter monitoring 

levels based on a design evaluation as specified in 

§63.1413(a)(3), the following information shall be submitted in 

the Precompliance Report:

(i) Identification of which procedures (i.e., 

§63.1413(a)(1)(i) or (ii)) are to be used; and

(ii) A description of how the parameter monitoring level is 

to be established. If the procedures in §63.1413(a)(4)(ii) are 

to be used, a description of how performance test data will be 

used shall be included.

(8) If an owner or operator is complying with the mass 

emission limit specified in §63.1406(a)(1)(iii) or (a)(2)(iii), 

§63.1407(b)(2), or §63.1408(b)(2), the sample of production 

records specified in §63.1413(e)(2) shall be submitted in the 

Precompliance Report.
Page 178 of 217

(9) If the owner or operator is requesting approval to 

incorporate a provision for ceasing to collect monitoring data 

during a start-up, shutdown, or malfunction into the start-up, 

shutdown, and malfunction plan when that monitoring equipment 

would be damaged if it did not cease to collect monitoring data, 

the information specified in paragraphs (d)(9)(i) and (ii) of 

this section shall be supplied in the Precompliance Report or in 

a supplement to the Precompliance Report. The Administrator 

shall evaluate the supporting documentation and shall approve 

the request only if, in the Administrator's judgment, the 

specific monitoring equipment would be damaged by the 

contemporaneous start-up, shutdown, or malfunction.

(i) Documentation supporting a claim that the monitoring 

equipment would be damaged by the contemporaneous start-up, 

shutdown, or malfunction.

(ii) A request to incorporate such a provision for ceasing 

to collect monitoring data during a start-up, shutdown, or 

malfunction into the start-up, shutdown, and malfunction 

plan.[Reserved]

(10) The procedure for a control device controlling less 

than 1 ton per year of uncontrolled organic HAP emissions shall 

be submitted, as specified in §63.1415(a)(2). Such a procedure 

shall meet the requirements specified in §63.1415(a)(2).
Page 179 of 217

(11) Supplements to the Precompliance Report may be 

submitted as specified in paragraph (d)(11)(i) or (ii) of this 

section. Unless the Administrator objects to a request submitted 

in a supplement to the Precompliance Report within 45 days after 

its receipt, the request shall be deemed approved.

(i) Supplements to the Precompliance Report may be 

submitted to clarify or modify information previously submitted.

(ii) Supplements to the Precompliance Report may be 

submitted to request approval to use alternative monitoring 

parameters, as specified in paragraph (j) of this section; to 

use alternative continuous monitoring and recordkeeping, as 

specified in paragraph (k) of this section; to use alternative 

controls, as specified in paragraph (d)(5) of this section; to 

use engineering assessment to estimate organic HAP emissions 

from a batch emissions episode, as specified in paragraph (d)(6) 

of this section; or to establish parameter monitoring levels 

according to the procedures contained in §63.1413(a)(4)(ii) or 

(a)(3), as specified in paragraph (d)(7) of this section; or to 

include a provision for ceasing to collect monitoring data 

during a start-up, shutdown, or malfunction in the start-up, 

shutdown, and malfunction plan when that monitoring equipment 

would be damaged if it did not cease to collect monitoring data, 

as specified in paragraph (d)(9) of this section.
Page 180 of 217

(e) Notification of Compliance Status. For existing and new 

affected sources, a Notification of Compliance Status shall be 

submitted within 150 days after the compliance dates specified 

in §63.1401. For equipment leaks, the Notification of Compliance 

Status shall contain the information specified in 40 CFR part 

63, subpart UU. For storage vessels, continuous process vents, 

batch process vents, and aggregate batch vent streams, the 

Notification of Compliance Status shall contain the information 

listed in paragraphs (e)(1) through (69) of this section. For 

pressure relief devices subject to the requirements of §

63.1411(c), the owner or operator shall submit the information 

listed in paragraph (e)(10) of this section in the Notification 

of Compliance Status within 150 days after the first applicable 

compliance date for pressure relief device monitoring.

(1) The results of any emission point applicability 

determinations, performance tests, design evaluations, 

inspections, continuous monitoring system performance 

evaluations, any other information used to demonstrate 

compliance, and any other information, as appropriate, required 

to be included in the Notification of Compliance Status under 40 

CFR part 63, subpart WW and subpart SS, as referred to in 

§63.1404 for storage vessels; under 40 CFR part 63, subpart SS, 

as referred to in §63.1405 for continuous process vents; under 

§63.1416(f)(1) through (3) for continuous process vents; under 
Page 181 of 217

§63.1416(d)(1) for batch process vents; and under §63.1416(e)(1) 

for aggregate batch vent streams. In addition, each owner or 

operator shall comply with paragraphs (e)(1)(i) and (ii) of this 

section.

(i) For performance tests, applicability determinations, 

and estimates of organic HAP emissions that are based on 

measurements, the Notification of Compliance Status shall 

include one complete test report, as described in paragraph 

(e)(1)(ii) of this section, for each test method used for a 

particular kind of emission point. For additional tests 

performed for the same kind of emission point using the same 

method, the results and any other required information shall be 

submitted, but a complete test report is not required.

(ii) A complete test report shall include a brief process 

description, sampling site description, description of sampling 

and analysis procedures and any modifications to standard 

procedures, quality assurance procedures, record of operating 

conditions during the test, record of preparation of standards, 

record of calibrations, raw data sheets for field sampling, raw 

data sheets for field and laboratory analyses, documentation of 

calculations, and any other information required by the test 

method.

(2) For each monitored parameter for which a maximum or 

minimum level is required to be established, the Notification of 
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Compliance Status shall contain the information specified in 

paragraphs (e)(2)(i) through (iv) of this section, unless this 

information has been established and provided in the operating 

permit.

(i) The required information shall include the specific 

maximum or minimum level of the monitored parameter(s) for each 

emission point.

(ii) The required information shall include the rationale 

for the specific maximum or minimum level for each parameter for 

each emission point, including any data and calculations used to 

develop the level and a description of why the level indicates 

proper operation of the control device or control technology.

(iii) The required information shall include a definition 

of the affected source's operating day, as specified in 

§63.1416(c)(2)(ii), for purposes of determining daily average 

values or batch cycle daily average values of monitored 

parameters. The required information shall include a definition 

of the affected source's block(s), as specified in 

§63.1416(c)(2)(ii), for purposes of determining block average 

values of monitored parameters.

(iv) For batch process vents, the required information 

shall include a definition of each batch cycle that requires the 

control of one or more batch emission episodes during the cycle, 

as specified in §§63.1413(e)(1)(iii) and 63.1416(c)(2)(ii).
Page 183 of 217

(3) When the determination of applicability for process 

units, as made following the procedures in §63.1400(g), 

indicates that a process unit is an APPU, an identification of 

the APPU and a statement indicating that the APPU is an APPU 

that produces more than one intended product at the same time, 

as specified in §63.1400(g)(1), or is a flexible operations 

process unit as specified in §63.1400(g)(2) through (4).

(4) [Reserved]

(5) The results for each predominant use determination for 

storage vessels belonging to an affected source subject to this 

subpart that is made under §63.1400(h)(6).

(6) Notification that the owner or operator has elected to 

comply with §63.1416(h), Reduced Recordkeeping Program.

(7) Notification that an affected source is exempt from the 

equipment leak provisions of §63.1410 according to the 

provisions of §63.1400(f), and the affected source's actual 

annual production of amino/phenolic resins for the 12-month 

period preceding December 14, 1998.

(8) An owner or operator with a combustion device, recovery 

device, or recapture device affected by the situation described 

in §63.1400(i)(5) shall identify which rule shall be complied 

with for monitoring, recordkeeping, and reporting requirements, 

as allowed under §63.1400(i)(5).
Page 184 of 217

(9) Data or other information used to demonstrate that an 

owner or operator may use engineering assessment to estimate 

emissions for a batch emission episode, as specified in 

§63.1413(d)(6)(iii)(A).

(10) For pressure relief devices in organic HAP service, a 

description of the device or monitoring system to be 

implemented, including the pressure relief devices and process 

parameters to be monitored (if applicable), and a description of 

the alarms or other methods by which operators will be notified 

of a pressure release.

(f) Periodic Reports. For existing and new affected 

sources, each owner or operator shall submit Periodic Reports as 

specified in paragraph (f)(1) of this section. In addition, for 

equipment leaks subject to §63.1410, the owner or operator shall 

submit the information specified in 40 CFR part 63, subpart UU, 

and for heat exchange systems subject to §63.1409, the owner or 

operator shall submit the information specified in §63.1409. 

Section 63.1415 shall govern the use of monitoring data to 

determine compliance for emissions points required to apply 

controls by the provisions of this subpart.

(1) Except as specified in paragraph (f)(12) of this 

section, a report containing the information in paragraph (f)(2) 

of this section or containing the information in paragraphs 

(f)(3) through (11) and (13) of this section, as appropriate, 
Page 185 of 217

shall be submitted semiannually no later than 60 days after the 

end of each 180 day period. The first report shall be submitted 

no later than 240 days after the date the Notification of 

Compliance Status is due and shall cover the 6-month period 

beginning on the date the Notification of Compliance Status is 

due. Subsequent reports shall cover each preceding 6-month 

period.

(2) If none of the compliance exceptions specified in 

paragraphs (f)(3) through (11) of this section occurred during 

the 6-month period, the Periodic Report required by paragraph 

(f)(1) of this section shall be a statement that the affected 

source was in compliance for the preceding 6-month period and no 

activities specified in paragraphs (f)(3) through (11) of this 

section occurred during the preceding 6-month period.

(3) For an owner or operator of an affected source 

complying with the provisions of §§63.1404 through 63.1409 for 

any emission point, Periodic Reports shall include:

(i) All information specified in 40 CFR part 63, subpart WW 

and subpart SS for storage vessels; 40 CFR part 63, subpart SS 

for continuous process vents; §63.1416(d)(3)(ii) for batch 

process vents; and §63.1416(e) for aggregate batch vent stream.

(ii) The daily average values, batch cycle daily average 

values, or block average values of monitored parameters for 

deviations, as specified in §63.1413(h), of operating 
Page 186 of 217

parameters. In addition, the periods and duration of periods 

when monitoring data were not collected shall be specified.

(4) Notification if one or more emission point(s) or one or 

more APPU is added to an affected source. The owner or operator 

shall submit the following information:

(i) A description of the addition to the affected source;

(ii) Notification of applicability status (i.e., does the 

emission point require control) of the additional emission 

point, if appropriate, or notification of all emission points in 

the added APPU.

(5) If there is a deviation from the mass emission limit 

specified in §63.1406(a)(1)(iii) or (a)(2)(iii), §63.1407(b)(2), 

or §63.1408(b)(2), the following information, as appropriate, 

shall be included:

(i) The cumulative average monthly emission rate or the 12-

month rolling average monthly emission rate, as appropriate.

(ii) The individual monthly emission rate data points 

making up the cumulative average monthly emission rate or the 

12-month rolling average monthly emission rate, as appropriate.

(iii) If an owner or operator is demonstrating compliance 

using the procedures in §63.1413(e)(2)(ii), the monthly value of 

the site-specific emission limit.

(6) If any performance tests are reported in a Periodic 

Report, the following information shall be included:
Page 187 of 217

(i) One complete test report shall be submitted for each 

test method used for a particular kind of emission point tested. 

A complete test report shall contain the information specified 

in paragraph (e)(1)(ii) of this section.

(ii) For additional tests performed for the same kind of 

emission point using the same method, results and any other 

information required shall be submitted, but a complete test 

report is not required.

(7) The Periodic Report shall include the results for each 

change made to a primary product determination for 

amino/phenolic resins made under §63.1400(g).

(8) The Periodic Report shall include the results for each 

change made to a predominant use determination for a storage 

vessel belonging to an affected source subject to this subpart 

that is made under §63.1400(h)(6).

(9) If an owner or operator invokes the delay of repair 

provisions for a heat exchange system, the following information 

shall be submitted, as appropriate. If the leak remains 

unrepaired, the information shall also be submitted in each 

subsequent periodic report until repair of the leak is reported.

(i) The presence of the leak and the date that the leak was 

detected.
Page 188 of 217

(ii) Whether or not the leak has been repaired. If the leak 

is repaired, the date the leak was successfully repaired. If the 

leak remains unrepaired, the expected date of repair.

(iii) The reason(s) for delay of repair. If delay of repair 

is invoked due to the reasons described in §63.1409(e)(2), 

documentation of emissions estimates shall be included.

(10) Notification that the owner or operator has elected to 

comply with §63.1416(h), Reduced Recordkeeping Program.

(11) Notification that the owner or operator has elected to 

not retain the daily average, batch cycle daily average, or 

block average values, as appropriate, as specified in 

§63.1416(h)(2)(i).

(12) The owner or operator of an affected source shall 

submit quarterly reports for particular emission points as 

specified in paragraphs (f)(12)(i) through (iv) of this section.

(i) The owner or operator of an affected source shall 

submit quarterly reports for a period of 1 year for an emission 

point if the Administrator requests the owner or operator to 

submit quarterly reports for the emission point.

(ii) The quarterly reports shall include all information 

specified in paragraphs (f)(3) through (11) of this section 

applicable to the emission point for which quarterly reporting 

is required under paragraph (f)(12)(i) of this section. 

Information applicable to other emission points within the 
Page 189 of 217

affected source shall be submitted in the semiannual reports 

required under paragraph (f)(1) of this section.

(iii) Quarterly reports shall be submitted no later than 60 

days after the end of each quarter.

(iv) After quarterly reports have been submitted for an 

emission point for 1 year, the owner or operator may return to 

semiannual reporting for the emission point unless the 

Administrator requests the owner or operator to continue to 

submit quarterly reports.

(13) For pressure relief devices, Periodic Reports must 

include the information specified in paragraphs (f)(13)(i) 

through (iii) of this section.

(i) For pressure relief devices in organic HAP service 

subject to § 63.1411, report confirmation that all monitoring to 

show compliance was conducted within the reporting period.

(ii) For pressure relief devices in organic HAP gas or 

vapor service subject to § 63.1411(b), report any instrument 

reading of 500 ppm above background or greater, more than 5 days 

after the relief device returns to organic HAP gas or vapor 

service after a pressure release.

(iii) For pressure relief devices in organic HAP service 

subject to § 63.1411(c), report each pressure release to the 

atmosphere, including the following information:

(A) The source, nature, and cause of the pressure release.
Page 190 of 217

(B) The date, time, and duration of the pressure release.

(C) An estimate of the quantity of total HAP emitted during 

the pressure release and the method used for determining this 

quantity.

(D) The actions taken to prevent this pressure release.

(E) The measures adopted to prevent future such pressure 

releases.

(g) Start-up, shutdown, and mReports of Malfunctions

reports. If a source fails to meet an applicable standard, 

report such events in the Periodic Report. Report the number of 

failures to meet an applicable standard. For each instance, 

report the date, time and duration of each failure. For each 

failure the report must include a list of the affected sources 

or equipment, an estimate of the volume of each regulated 

pollutant emitted over any emission limit, and a description of 

the method used to estimate the emissions.For the purposes of 

this subpart, the semiannual start-up, shutdown, and malfunction

reports shall be submitted on the same schedule as the Periodic 

Reports required under paragraph (f) of this section instead of 

being submitted on the schedule specified in §63.10(d)(5)(i). 

Said reports shall include the information specified in 

§63.1416(b)(1) and (2) and shall contain the name, title, and 

signature of the owner or operator or other responsible official 

who is certifying its accuracy.
Page 191 of 217

(h) Other reports. Other reports shall be submitted as 

specified in paragraphs (h)(1) through (78) of this section.

(1) For storage vessels, the notifications of inspections 

required by 40 CFR part 63, subpart WW shall be submitted.

(2) A site-specific test plan shall be submitted no later 

than 90 days before the planned date for a performance test. 

Unless the Administrator requests changes to the site-specific 

test plan within 45 days after its receipt, the site-specific 

test plan shall be deemed approved. The test plan shall include 

a description of the planned test and rationale for why the 

planned performance test will provide adequate and 

representative results for demonstrating the performance of the 

control device. If required by §63.1413(e)(1) or §63.1414(d)(5), 

the test plan shall include an emission profile and rationale 

for why the selected test period is representative.

(3) The owner or operator shall notify the Administrator of 

the intention to conduct a performance test at least 30 days 

before the performance test is scheduled in order to allow the 

Administrator the opportunity to have an observer present during 

the test. If after 30 days notice for an initially scheduled 

performance test, there is delay (due to operational problems, 

etc.) in conducting the scheduled performance test, the owner or 

operator of an affected source shall notify the Administrator as 

soon as possible of any delay in the original test date, either 
Page 192 of 217

by providing at least 7 days prior notice of the rescheduled 

date of the performance test, or by arranging a rescheduled date 

with the Administrator by mutual agreement.

(4) When the conditions of §63.1400(g)(7) or the conditions 

of §63.1400(g)(8) are met, notification of changes to the 

primary product for an APPU or process unit shall be submitted. 

When a notification is made in response to a change in the 

primary product under §63.1400(g)(7), rationale for why it is 

anticipated that no amino/phenolic resins will be produced in 

the process unit in the future shall be included.

(5) Owners or operators of APPU or emission points (other 

than equipment leak components subject to §63.1410) that are 

added to the affected source under the provisions of 

§63.1400(d)(2) or (3) or under the provisions of §63.5(b)(6) 

shall submit reports as specified in paragraphs (h)(5)(i) 

through (ii) of this section.

(i) Reports shall include:

(A) A description of the process change or addition, as 

appropriate;

(B) The planned start-up date and the appropriate 

compliance date; and

(C) Identification of the emission points (except equipment 

leak components subject to §63.1410) specified in paragraphs 

(h)(5)(i)(C)(1) through (3) of this section, as applicable.
Page 193 of 217

(1) All the emission points in an added APPU.

(2) All the emission points in an affected source that 

becomes a new affected source.

(3) All the added or created emission points resulting from 

a process change.

(ii) If the owner or operator wishes to request approval to 

use alternative monitoring parameters, alternative continuous 

monitoring or recordkeeping, alternative controls, engineering 

assessment to estimate organic HAP emissions from a batch 

emissions episode, or wishes to establish parameter monitoring 

levels according to the procedures contained in 

§63.1413(a)(1)(ii) or (ii), a Precompliance Report shall be 

submitted no later than 180 days prior to the appropriate 

compliance date.

(6) The information specified in paragraphs (h)(6)(i) and 

(ii) of this section shall be submitted when a small control 

device becomes a large control device, as specified in 

§63.1413(a)(1)(ii).

(i) Notification that a small control device has become a 

large control device and the site-specific test plan shall be 

submitted within 60 days of the date the small control device 

becomes a large control device. The site-specific test plan 

shall include the information specified in paragraph (h)(2) of 
Page 194 of 217

this section. Approval of the site-specific test plan shall 

follow paragraph (h)(2) of this section.

(ii) Results of the performance test required by 

§63.1413(a)(1)(ii) shall be submitted within 150 days of the 

date the small control device becomes a large control device.

(7) Whenever a continuous process vent becomes subject to 

control requirements under 40 CFR part 63, subpart SS, as a 

result of a process change, the owner or operator shall submit a 

report within 60 days after the performance test or 

applicability assessment, whichever is sooner. The report may be 

submitted as part of the next Periodic Report required by 

paragraph (f) of this section.

(i) The report shall include the following information:

(A) A description of the process change;

(B) The results of the recalculation of the organic HAP 

concentration, volumetric flow rate, and or TRE index value 

required under §63.1412 and recorded under §63.1416(f).

(C) A statement that the owner or operator will comply with 

the requirements specified in §63.1405.

(ii) If a performance test is required as a result of a 

process change, the owner or operator shall specify that the 

performance test has become necessary due to a process change. 

This specification shall be made in the performance test 
Page 195 of 217

notification to the Administrator, as specified in paragraph 

(h)(3) of this section.

(iii) If a process change does not result in additional 

applicable requirements, then the owner or operator shall 

include a statement documenting this in the next Periodic Report 

required by paragraph (f) of this section.

(8) Electronic reporting. Within 60 days after the date of 

completing each performance test (as defined in § 63.2), the 

owner or operator must submit the results of the performance 

tests, including any associated fuel analyses, required by this 

subpart according to the methods specified in paragraph 

(h)(8)(i) or (ii) of this section.

(i) For data collected using test methods supported by the 

EPA-provided software, the owner or operator shall submit the 

results of the performance test to the EPA by direct computerto-computer electronic transfer via EPA-provided software, 

unless otherwise approved by the Administrator. Owners or 

operators, who claim that some of the information being 

submitted for performance tests is confidential business 

information (CBI), must submit a complete file using EPAprovided software that includes information claimed to be CBI on 

a compact disc, flash drive, or other commonly used electronic 

storage media to the EPA. The electronic media must be clearly

marked as CBI and mailed to U.S. EPA/OAPQS/CORE CBI Office, 
Page 196 of 217

Attention: WebFIRE Administrator, MD C404-02, 4930 Old Page Rd., 

Durham, NC 27703. The same file with the CBI omitted must be 

submitted to the EPA by direct computer-to-computer electronic 

transfer via EPA-provided software.

(ii) For any performance test conducted using test methods 

that are not compatible with the EPA-provided software, the 

owner or operator shall submit the results of the performance 

test to the Administrator at the appropriate address listed in §

60.4.

(i) Operating permit application. An owner or operator who 

submits an operating permit application instead of a 

Precompliance Report shall submit the information specified in 

paragraph (d) of this section, Precompliance Report, as

applicable.

(j) Alternative monitoring parameters. The owner or 

operator who has been directed by any section of this subpart or 

any section of another subpart referenced by this subpart that 

expressly referenced this paragraph (j) to set unique monitoring 

parameters, or who requests approval to monitor a different 

parameter than those specified in §63.1415(b), shall submit the 

information specified in paragraphs (j)(1) through (3) of this 

section in the Precompliance Report, as required by paragraph 

(d) of this section.
Page 197 of 217

(1) The required information shall include a description of 

the parameter(s) to be monitored to ensure the recovery device, 

control device, or control technology is operated in conformance 

with its design and achieves the specified emission limit or 

percent reduction and an explanation of the criteria used to 

select the parameter(s).

(2) The required information shall include a description of 

the methods and procedures that will be used to demonstrate that 

the parameter indicates proper operation, the schedule for this 

demonstration, and a statement that the owner or operator will 

establish a level for the monitored parameter as part of the 

Notification of Compliance Status report required in paragraph 

(e) of this section, unless this information has already been 

included in the operating permit application.

(3) The required information shall include a description of 

the proposed monitoring, recordkeeping, and reporting system to 

include the frequency and content of monitoring, recordkeeping, 

and reporting. Further, the rationale for the proposed 

monitoring, recordkeeping, and reporting system shall be 

included if either condition in paragraph (j)(3)(i) or (ii) of 

this section is met:

(i) If monitoring and recordkeeping is not continuous; or

(ii) If reports of daily average values will not be 

included in Periodic Reports when the monitored parameter value 
Page 198 of 217

is above the maximum level or below the minimum level as 

established in the operating permit or the Notification of 

Compliance Status.

(k) Alternative continuous monitoring. An owner or operator 

choosing not to implement the monitoring provisions specified in 

§63.1415 for storage vessels, continuous process vents, batch 

process vents, or aggregate batch vent streams may instead 

request approval to use alternative continuous monitoring 

provisions according to the procedures specified in paragraphs 

(k)(1) through (4) of this section. Requests shall be submitted 

in the Precompliance Report as specified in paragraph (d)(4) of 

this section if not already included in the operating permit 

application and shall contain the information specified in 

paragraphs (k)(2)(i) and (ii) of this section, as applicable.

(1) The provisions in §63.8(f)(5)(i) shall govern the 

review and approval of requests.

(2) An owner or operator of an affected source that does 

not have an automated monitoring and recording system capable of 

measuring parameter values at least once every 15 minutes and 

that does not generate continuous records may request approval 

to use a nonautomated system with less frequent monitoring in 

accordance with paragraphs (k)(2)(i) and (ii) of this section.

(i) The requested system shall include manual reading and 

recording of the value of the relevant operating parameter no 
Page 199 of 217

less frequently than once per hour. Daily average (or batch 

cycle daily average) values shall be calculated from these 

hourly values and recorded.

(ii) The request shall contain:

(A) A description of the planned monitoring and 

recordkeeping system;

(B) Documentation that the affected source does not have an 

automated monitoring and recording system;

(C) Justification for requesting an alternative monitoring 

and recordkeeping system; and

(D) Demonstration to the Administrator's satisfaction that 

the proposed monitoring frequency is sufficient to represent 

control or recovery device operating conditions, considering 

typical variability of the specific process and control or 

recovery device operating parameter being monitored.

(3) An owner or operator may request approval to use an 

automated data compression recording system that does not record 

monitored operating parameter values at a set frequency (for 

example, once every 15 minutes) but records all values that meet 

set criteria for variation from previously recorded values, in 

accordance with paragraphs (k)(3)(i) and (ii) of this section.

(i) The requested system shall be designed to:

(A) Measure the operating parameter value at least once 

every 15 minutes;
Page 200 of 217

(B) Except for the monitoring of batch process vents, 

calculate hourly average values each hour during periods of 

operation;

(C) Record the date and time when monitors are turned off 

or on;

(D) Recognize unchanging data that may indicate the monitor 

is not functioning properly, alert the operator, and record the 

incident;

(E) Calculate daily average, batch cycle daily average, or 

block average values of the monitored operating parameter based 

on all measured data; and

(F) If the daily average is not a deviation, as defined in 

§63.1413(h), from the operating parameter, the data for that 

operating day may be converted to hourly average values, and the 

four or more individual records for each hour in the operating 

day may be discarded.

(ii) The request shall contain:

(A) A description of the monitoring system and data 

compression recording system, including the criteria used to 

determine which monitored values are recorded and retained;

(B) The method for calculating daily averages and batch 

cycle daily averages; and

(C) A demonstration that the system meets all criteria in 

paragraph (k)(3)(i) of this section.
Page 201 of 217

(4) An owner or operator may request approval to use other 

alternative monitoring systems according to the procedures 

specified in §63.8(f)(4).

§63.1418 [Reserved]

§63.1419 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 

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 implementation and 

enforcement of 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 (4) of this section.
Page 202 of 217

(1) Approval of alternatives to the requirements in 

§§63.1400 through 63.1401 and 63.1404 through 63.1410. Where 

these standards reference another subpart, the cited provisions 

will be delegated according to the delegation provisions of the 

referenced subpart. Where these standards reference another 

subpart and modify the requirements, the requirements shall be 

modified as described in this subpart. Delegation of the 

modified requirements will also occur according to the 

delegation provisions of the referenced subpart.

(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.

Table 1 to Subpart OOO of Part 63—Applicability of General 

Provisions to Subpart OOO Affected Sources

Reference

Applies 

to 

subpart 

OOO Explanation

63.1(a)(1) Yes §63.1402 specifies definitions in

addition to or that supersede 

definitions in §63.2.

63.1(a)(2) Yes
Page 203 of 217

63.1(a)(3) Yes §63.1401(i) identifies those 

standards which overlap with the 

requirements of subpart OOO of this 

part and specify how compliance shall 

be achieved.

63.1(a)(4) Yes Subpart OOO (this table) specifies 

the applicability of each paragraph 

in subpart A of this part.

63.1(a)(5) No [Reserved].

63.1(a)(6)–

63.1(a)(8)

Yes.

63.1(a)(9) No [Reserved].

63.1(a)(6) Yes

63.1(a)(7)-(9) No [Reserved].

63.1(a)(10) Yes

63.1(a)(11) Yes

63.1(a)(12)–

63.1(a)(14)

Yes

63.1(b)(1) No

63.1(b)(2) Yes

63.1(b)(3) No §63.1400(e) provides documentation 

requirements for APPUs not considered 

affected sources.

63.1(c)(1) Yes Subpart OOO (this table) specifies 

the applicability of each paragraph 

in subpart A of this part.

63.1(c)(2) No Area sources are not subject to this 

subpart.

63.1(c)(3) No [Reserved].

63.1(c)(4) YesNo [Reserved].

63.1(c)(5) Yes Except that affected sources are not 

required to submit notifications 

overridden by this table.

63.1(d) No [Reserved].

63.1(e) Yes

63.2 Yes §63.1402 specifies the definitions 
Page 204 of 217

from subpart A of this part that 

apply to this subpart.

63.3 Yes

63.4(a)(1)–

63.4(a)(3)

Yes

63.4(a)(4) No [Reserved].

63.4(a)(5) Yes

63.4(b) Yes

63.4(c) Yes

63.5(a)(1) Yes Except the terms “source” and 

“stationary source” should be 

interpreted as having the same 

meaning as “affected source.”

63.5(a)(2) Yes

63.5(b)(1) Yes Except §63.1400(d) specifies when 

construction or reconstruction is 

subject to new source standards.

63.5(b)(2) No [Reserved].

63.5(b)(3) Yes

63.5(b)(4) Yes Except that the Initial Notification 

and §63.9(b) requirements do not 

apply.

63.5(b)(5) Yes

63.5(b)(6) Yes Except that §63.1400(d) specifies 

when construction or reconstruction 

is subject to new source standards.

63.5(c) No [Reserved].

63.5(d)(1)(i) Yes Except that the references to the 

Initial Notification and §63.9(b)(5) 

do not apply.

63.5(d)(1)(ii) Yes Except that §63.5(d)(1)(ii)(H) does 

not apply.

63.5(d)(1)(iii) No §63.1417(e) specifies Notification of 

Compliance Status requirements.

63.5(d)(2) No

63.5(d)(3) Yes Except §63.5(d)(3)(ii) does not 
Page 205 of 217

apply, and equipment leaks subject to 

§63.1410 are exempt.

63.5(d)(4) Yes

63.5(e) Yes

63.5(f)(1) Yes

63.5(f)(2) Yes Except that where §63.9(b)(2) is 

referred to, the owner or operator 

need not comply.

63.6(a) Yes

63.6(b)(1) Yes

63.6(b)(2) Yes

63.6(b)(3) Yes

63.6(b)(4) Yes

63.6(b)(5) Yes

63.6(b)(6) No [Reserved].

63.6(b)(7) No

63.6(c)(1) Yes Except that §63.1401 specifies the 

compliance date.

63.6(c)(2) No

63.6(c)(3) No [Reserved].

63.6(c)(4) No [Reserved].

63.6(c)(5) Yes

63.6(d) No [Reserved].

63.6(e) Yes Except as otherwise specified in this 

table, §63.6(e) does not apply to 

emission points that do not require 

control under this subpart.

a

63.6(e)(1)(i) No This is addressed by

§63.1400(k)(4).See § 63.1400(k)(4) 

for general duty requirement.

63.6(e)(1)(ii) YesNo

63.6(e)(1)(iii) Yes

63.6(e)(2) Yes
Page 206 of 217

63.6(e)(3) No

63.6(e)(3)(i) Yes For equipment leaks (subject to 

§63.1410), the start-up, shutdown, 

and malfunction plan requirement of 

§63.6(e)(3)(i) is limited to control 

devices and is optional for other 

equipment. The start-up, shutdown, 

malfunction plan may include written 

procedures that identify conditions 

that justify a delay of repair.

63.6(e)(3)(i)(A) No This is addressed by §63.1400(k)(4).

63.6(e)(3)(i)(B) Yes

63.6(e)(3)(i)(C) Yes

63.6(e)(3)(ii) Yes

63.6(e)(3)(iii) No Recordkeeping and reporting are 

specified in §§63.1416 and 63.1417.

63.6(e)(3)(iv) No Recordkeeping and reporting are 

specified in §§63.1416 and 63.1417.

63.6(e)(3)(v) Yes

63.6(e)(3)(vi) Yes

63.6(e)(3)(vii) Yes

63.6(e)(3)(vii)(A) Yes

63.6(e)(3)(vii) 

(B)

Yes Except the plan shall provide for 

operation in compliance with 

§63.1400(k)(4).

63.6(e)(3)(vii) 

(C)

Yes

63.6(e)(3)(viii) Yes

63.6(e)(3)(ix) Yes

63.6(f)(1) YesNo

63.6(f)(2) Yes Except §63.7(c), as referred to in 

§63.6(f)(2)(iii)(D), does not apply, 

and except that §63.6(f)(2)(ii) does 

not apply to equipment leaks subject 

to §63.1410.

63.6(f)(3) Yes
Page 207 of 217

63.6(g) Yes

63.6(h) No This subpart OOO does not require 

opacity and visible emission 

standards.

63.6(i)(1) Yes

63.6(i)(2) Yes

63.6(i)(3) Yes

63.6(i)(4)(i)(A) Yes

63.6(i)(4)(i)(B) No Dates are specified in §§63.1401(e) 

and 63.1417(d)(1).

63.6(i)(4)(ii) No

63.6(i)(5)–(14) Yes

63.6(i)(15) No [Reserved].

63.6(i)(16) Yes

63.6(j) Yes

63.7(a)(1) Yes

63.7(a)(2) No §63.1417(e) specifies the submittal 

dates of performance test results for 

all emission points except equipment 

leaks; for equipment leaks, 

compliance demonstration results are 

reported in the Periodic Reports.

63.7(a)(3) Yes

63.7(b) No §63.1417 specifies notification 

requirements.

63.7(c) No

63.7(d) Yes

63.7(e)(1) YesNo Except that all performance tests 

shall be conducted at maximum 

representative operating conditions 

achievable at the time without 

disruption of operations or damage to 

equipment.See § 63.1413(a)(2).

63.7(e)(2) Yes

63.7(e)(3) No Subpart OOO specifies requirements.
Page 208 of 217

63.7(e)(4) Yes

63.7(f) Yes Except that if a site specific test 

plan is not required, the 

notification deadline in 

§63.7(f)(2)(i) shall be 60 days prior 

to the performance test, and in 

§63.7(f)(3), approval or disapproval 

of the alternative test method shall 

not be tied to the site specific test 

plan.

63.7(g) Yes Except that the requirements in 

§63.1417(e) shall apply instead of 

the references to the Notification of 

Compliance Status report in §63.9(h). 

In addition, equipment leaks subject 

to §63.1410 are not required to 

conduct performance tests.

63.7(h) Yes Except §63.7(h)(4)(ii) may not be 

applicable, if the site-specific test 

plan in §63.7(c)(2) is not required.

63.8(a)(1) Yes

63.8(a)(2) No

63.8(a)(3) No [Reserved].

63.8(a)(4) Yes

63.8(b)(1) Yes

63.8(b)(2) No Subpart OOO specifies locations to 

conduct monitoring.

63.8(b)(3) Yes

63.8(c)(1) Yes

63.8(c)(1)(i) YesNo

63.8(c)(1)(ii) No For all emission points except 

equipment leaks, comply with 

§63.1416(b)(2); for equipment leaks, 

comply with requirements in 40 CFR 

part 63, subpart UU.

63.8(c)(1)(iii) YesNo

63.8(c)(2) Yes

63.8(c)(3) Yes
Page 209 of 217

63.8(c)(4) No §63.1415 specifies monitoring 

frequency; not applicable to 

equipment leaks because §63.1410 does 

not require continuous monitoring 

systems.

63.8(c)(5)–

63.8(c)(8)

No

63.8(d) No

63.8(e) No

63.8(f)(1)–

63.8(f)(3)

Yes

63.8(f)(4)(i) No Timeframe for submitting request is 

specified in §63.1417 (j) or (k); not 

applicable to equipment leaks because 

§63.1410 (through reference to 40 CFR 

part 63, subpart UU) specifies 

acceptable alternative methods.

63.8(f)(4)(ii) No Contents of request are specified in 

§63.1417(j) or (k).

63.8(f)(4)(iii) No

63.8(f)(5)(i) Yes

63.8(f)(5)(ii) No

63.8(f)(5)(iii) Yes

63.8(f)(6) No Subpart OOO does not require 

continuous emission monitors.

63.8(g) No Data reduction procedures specified 

in §63.1416(a) and (h); not 

applicable to equipment leaks.

63.9(a) Yes

63.9(b) No Subpart OOO does not require an 

initial notification.

63.9(c) Yes

63.9(d) Yes

63.9(e) No §63.1417 specifies notification 

deadlines.

63.9(f) No Subpart OOO does not require opacity 

and visible emission standards.
Page 210 of 217

63.9(g) No

63.9(h) No §63.1417(e) specifies Notification of 

Compliance Status requirements.

63.9(i) Yes

63.9(j) No

63.10(a) Yes

63.10(b)(1) No §63.1416(a) specifies record 

retention requirements.

63.10(b)(2) No Subpart OOO specifies recordkeeping 

requirements.

63.10(b)(3) No §63.1400(e) requires documentation of 

sources that are not affected 

sources.

63.10(c) No §63.1416 specifies recordkeeping 

requirements.

63.10(d)(1) Yes

63.10(d)(2) No §63.1417 specifies performance test 

reporting requirements; not 

applicable to equipment leaks.

63.10(d)(3) No Subpart OOO does not require opacity 

and visible emission standards.

63.10(d)(4) Yes

63.10(d)(5) YesNo Except that reports required by 

§63.10(d)(5)(i) may be submitted at 

the same time as Periodic Reports 

specified in §63.1417(f). The startup, shutdown, and malfunction plan, 

and any records or reports of startup, shutdown, and malfunction do not 

apply to emission points that do not 

require control under this 

subpart.See § 63.1417(g) for 

malfunction reporting requirements.

63.10(e) No §63.1417 specifies reporting 

requirements.

63.10(f) Yes

63.11 Yes Except that instead of §63.11(b), 

§63.1413(g) shall apply.
Page 211 of 217

63.12 Yes

63.13–63.15 Yes

aThe plan and any records or reports of start-up, shutdown, and 

malfunction do not apply to emission points that do not require 

control under this subpart.

Table 2 to Subpart OOO of Part 63—Known Organic Hazardous Air 

Pollutants (HAP) From the Manufacture of Amino/Phenolic Resins

Organic HAP

CAS 

Number

Organic HAP subject to cooling 

tower monitoring requirements in 

§63.1409 (Yes/No)

Column A Column B

Acrylamide 79–06–1 No No

Aniline 62–53–3 Yes No

Biphenyl 92–52–4 Yes Yes

Cresol and cresylic 

acid (mixed)

1319–

77–3

Yes No

Cresol and cresylic 

acid (m-)

108–39–

4

Yes No

Cresol and cresylic 

acid (o-)

95–48–7 Yes No

Cresol and cresylic 

acid (p-)

106–44–

5

Yes No

Diethanolamine 111–42–

2

No No

Dimethylformamide 68–12–2 No No

Ethylbenzene 100–41–

4

Yes Yes

Ethylene glycol 107–21–

1

No No

Formaldehyde 50–00–0 Yes No

Glycol ethers 0 No No

Methanol 67–56–1 Yes Yes

Methyl ethyl ketone 78–93–3 Yes Yes
Page 212 of 217

Methyl isobutyl ketone108–10–

1

Yes Yes

Naphthalene 91–20–3 Yes Yes

Phenol 108–95–

2

Yes No

Styrene 100–42–

5

Yes Yes

Toluene 108–88–

3

No Yes

Xylenes (NOS) 1330–

20–7

Yes Yes

Xylene (m-) 108–38–

3

Yes Yes

Xylene (o-) 95–47–6 Yes Yes

Xylene (p-) 106–42–

3

Yes Yes

CAS No. = Chemical Abstract Registry Number.

Table 3 to Subpart OOO of Part 63—Batch Process Vent Monitoring 

Requirements

Control device

Parameters to be 

monitored

Frequency/recordkeeping 

requirements

Scrubbera pH of scrubber 

effluent, and

Continuous records as 

specified in §63.1416(d).b

Scrubber liquid 

and gas flow 

rates

Continuous records as 

specified in §63.1416(d).b

Absorbera Exit temperature 

of the absorbing 

liquid, and

Continuous records as 

specified in §63.1416(d).b

Exit specific 

gravity for the 

absorbing liquid

Continuous records as 

specified in §63.1416(d).b

Condensera Exit (product 

side) 

temperature

Continuous records as 

specified in §63.1416(d).a
Page 213 of 217

Carbon adsorbera Total 

regeneration 

steam flow or 

nitrogen flow, 

or pressure 

(gauge or 

absolute) during 

carbon bed 

regeneration 

cycle(s), and

Record the total regeneration 

steam flow or nitrogen flow, 

or pressure for each carbon 

bed regeneration cycle.

Temperature of 

the carbon bed 

after 

regeneration and 

within 15 

minutes of 

completing any 

cooling cycle(s)

Record the temperature of the 

carbon bed after each 

regeneration and within 15 

minutes of completing any 

cooling cycle(s).

Thermal 

incinerator

Firebox 

temperaturec

Continuous records as 

specified in §63.1416(d).b

Catalytic 

incinerator

Temperature 

upstream and 

downstream of 

the catalyst bed

Continuous records as 

specified in §63.1416(d).b

Boiler or process 

heater with a 

design heat input 

capacity less than 

44 megawatts and 

where the batch 

process vents or 

aggregate batch 

vent streams are 

not introduced 

with or used as 

the primary fuel

Firebox 

temperaturec

Continuous records as 

specified in §63.1416(d).b

Flare Presence of a 

flame at the 

pilot light

Hourly records of whether the 

monitor was continuously 

operating during batch 

emission episodes, or 

portions thereof, selected 

for control and whether a 

flame was continuously 

present at the pilot light 
Page 214 of 217

during said periods.

All control 

devices

Diversion to the 

atmosphere from 

the control 

device or

Hourly records of whether the 

flow indicator was operating 

during batch emission 

episodes, or portions 

thereof, selected for control 

and whether a diversion was 

detected at any time during 

said periods as specified in 

§63.1416(d).

Monthly 

inspections of 

sealed valves

Records that monthly 

inspections were performed as 

specified in §63.1416(d).

Scrubber, 

absorber, 

condenser, and 

carbon adsorber 

(as an alternative 

to the 

requirements 

previously 

presented in this 

table)

Concentration 

level or reading 

indicated by an 

organic 

monitoring 

device at the 

outlet of the 

control device

Continuous records as 

specified in §63.1416(d).b

aAlternatively, these devices may comply with the organic 

monitoring device provisions listed at the end of this table.

b“Continuous records” is defined in §63.111.

cMonitor may be installed in the firebox or in the ductwork 

immediately downstream of the firebox before any substantial 

heat exchange is encountered.

Table 4 to Subpart OOO of Part 63—Operating Parameter Levels

Device Parameters to be monitored

Established 

operating

parameter(s)

Scrubber pH of scrubber effluent; and 

scrubber liquid and gas flow 

rates

Minimum pH; and 

minimum liquid/gas 

ratio

Absorber Exit temperature of the 

absorbing liquid; and exit 

Maximum 

temperature; and 
Page 215 of 217

specific gravity of the 

absorbing liquid

maximum specific 

gravity

Condenser Exit temperature Maximum 

temperature

Carbon absorber Total regeneration steam or 

nitrogen flow, or pressure 

(gauge or absolute)a during 

carbon bed regeneration 

cycle; and temperature of 

the carbon bed after 

regeneration (and within 15 

minutes of completing any 

cooling cycle(s))

Maximum flow or 

pressure; and 

maximum 

temperature

Thermal 

incinerator

Firebox temperature Minimum 

temperature

Catalytic 

incinerator

Temperature upstream and 

downstream of the catalyst 

bed

Minimum upstream 

temperature; and 

minimum 

temperature 

difference across 

the catalyst bed

Boiler or process 

heater

Firebox temperature Minimum 

temperature

Other devices (or 

as an alternate 

to the 

requirements 

previously 

presented in this 

table)b

Organic HAP concentration 

level or reading at outlet 

of device

Maximum organic 

HAP concentration 

or reading

a25 to 50 mm (absolute) is a common pressure level obtained by 

pressure swing absorbers.

bConcentration is measured instead of an operating parameter.

Table 5 to Subpart OOO of Part 63—Reports Required by This 

Subpart

Reference

Description of 

report Due date

§63.1400(j) and Refer to Table 1 and Refer to Subpart A of this 
Page 216 of 217

Subpart A of 

this part

Subpart A of this 

part

part.

63.1417(d) Precompliance Report Existing affected sources—12 

months prior to the 

compliance date. New 

affected sources—with 

application for approval of 

construction or 

reconstruction.

63.1417(e) Notification of 

Compliance Status

Within 150 days after the 

compliance date.

63.1417(f) Periodic Reports Semiannually, no later than 

60 days after the end of 

each 6-month period. See 

§63.1417(f)(1) for the due 

date for the first report.

63.1417(f)(12) Quarterly reports 

upon request of the 

administrator

No later than 60 days after 

the end of each quarter.

63.1417(g) Start-up, shutdown, 

and malfunction 

reports

Semiannually (same schedule 

as Periodic reports).

63.1417(h)(1) Notification of 

storage vessel 

inspection

As specified in 40 CFR part 

63, subpart WW.

63.1417(h)(2) Site-specific test 

plan

90 days prior to planned 

date of test.

63.1417(h)(3) Notification of 

planned performance 

test

30 days prior to planned 

date of test.

63.1417(h)(4) Notification of 

change in primary 

product

As specified in §63.1400 

(g)(7) or (g)(8).

63.1417(h)(5) Notification of 

added emission 

points

180 days prior to the 

appropriate compliance date.

63.1417(h)(6) Notification that a 

small control device 

has been 

redesignated as a 

Within 60 days of the 

redesignation of control 

device size.
Page 217 of 217

large control device

63.1417(h)(7) Notification of 

process change

Within 60 days after 

performance test or 

applicability assessment, 

whichever is sooner.

63.1417(h)(8) Electronic reporting Within 60 days after 

completing performance test.

aNote that the APPU remains subject to this subpart until the 

notification under §63.1400(g)(7) is made.

Table 6 to Subpart OOO of Part 63—Coefficients for Total 

Resource Effectivenessa

Control device basis

Values of coefficients

A B C

Flare 5.276×10−1 9.98×10−2 2.096×10−3

Thermal Incinerator 0 Percent 

Recovery

4.068×10−1 1.71×10−2 8.664×10−3

Thermal Incinerator 70 Percent 

Recovery

6.868×10−1 3.21×10−3 3.546×10−3

aUse according to procedures outlined in this section.

MJ/scm = MegaJoules per standard cubic meter.

scm/min = Standard cubic meters per minute.