§63.11501. What are the notification, recordkeeping, and reporting requirements?
40 C.F.R. § 63.11501
General provisions. You must meet the requirements of the General Provisions in 40 CFR part 63, subpart A, as shown in Table 9 to this subpart. The General Provisions in other parts do not apply except when a requirement in an overlapping standard, which you determined is at least as stringent as subpart VVVVVV and with which you have opted to comply, requires compliance with general provisions in another part.
Notification of compliance status (NOCS). Beginning August 31, 2026, the owner or operator must submit all subsequent Notification of Compliance Status reports in PDF format to the EPA following the procedure specified in § 63.9(k). Your NOCS required by § 63.9(h) must include the following additional information specified in paragraphs (b)(1) through (5) of this section, as applicable. Within 150 days after the first applicable compliance date, you must also submit the information in paragraph (b)(6) of this section for equipment subject to the requirements of § 63.11495(a)(6).
This certification of compliance, signed by a responsible official—
“This facility complies with the management practices in § 63.11495.”
“This facility complies with the requirements in § 63.11496 for HAP emissions from process vents.”
“This facility complies with the requirements in § 63.11496 and § 63.11497 for surge control vessels, bottoms receivers, and storage tanks.”
“This facility complies with the requirements in § 63.11498 to treat wastewater streams.”
“This facility complies with the requirements in § 63.11499 for heat exchange systems.”
If you comply with the alternative standard as specified in Table 2 to this subpart or Table 3 to this subpart, include the information specified in § 63.1258(b)(5), as applicable.
If you establish an operating limit for a parameter that will not be monitored continuously in accordance with §§ 63.11496(g)(4) and 63.2450(k)(6), provide the information as specified in §§ 63.11496(g)(4) and 63.2450(k)(6).
A list of all transferred liquids that are reactive or resinous materials, as defined in § 63.11502(b).
If you comply with provisions in an overlapping rule in accordance with § 63.11500, identify the affected CMPU, heat exchange system, and/or wastewater system; provide a list of the specific provisions with which you will comply; and demonstrate that the provisions with which you will comply are at least as stringent as the otherwise applicable requirements, including monitoring, recordkeeping, and reporting requirements, in this subpart VVVVVV.
For equipment subject to the requirements of § 63.11495(a)(6), you must also submit the information specified in paragraphs (b)(6)(i) through (iv) of this section.
CMPU identification,
Number of each equipment type (e.g., valves, pumps) excluding equipment in vacuum service; and
Method of compliance with the standard (e.g., “annual leak detection and repair” or “equipped with dual mechanical seals”).
For pressure relief devices subject to the pressure release management work practice standards in § 63.165(e), you must submit the information listed in paragraphs (b)(6)(iv)(A) and (B) of this section.
A description of the monitoring system to be implemented, including the relief devices and process parameters to be monitored, and a description of the alarms or other methods by which operators will be notified of a pressure release.
A description of the prevention measures to be implemented for each affected pressure relief device.
Recordkeeping. You must maintain files of all information required by this subpart for at least 5 years following the date of each occurrence according to the requirements in § 63.10(b)(1). If you are subject, you must comply with the recordkeeping and reporting requirements of § 63.10(b)(2)(iii) and (vi) through (xiv), and the applicable requirements specified in paragraphs (c)(1) through (11) of this section.
For each CMPU subject to this subpart, you must keep the records specified in paragraphs (c)(1)(i) through (viii) of this section.
Except as specified in paragraph (c)(9) of this section, records of management practice inspections, repairs, and reasons for any delay of repair, as specified in § 63.11495(a)(5).
Except as specified in paragraph (c)(11) of this section, records of small heat exchange system inspections, demonstrations of indications of leaks that do not constitute leaks, repairs, and reasons for any delay in repair as specified in § 63.11495(b).
If batch process vent emissions are less than 10,000 lb/yr for a CMPU, records of batch process vent emission calculations, as specified in § 63.11496(a)(1), the number of batches operated each month, as specified in § 63.11496(a)(3), and any updated emissions calculations, as specified in § 63.11496(a)(3). Alternatively, keep records of the worst-case processes or organic HAP usage, as specified in § 63.11496(a)(2) and (4), respectively.
Records of all TRE calculations for continuous process vents as specified in § 63.11496(b)(2).
Records of metal HAP emission calculations as specified in § 63.11496(f)(1) and (2). If total uncontrolled metal HAP process vent emissions from a CMPU subject to this subpart are estimated to be less than 400 lb/yr, also keep records of either the number of batches per month or operating hours, as specified in § 63.11496(f)(2).
Records identifying wastewater streams and the type of treatment they receive, as specified in table 6 to this subpart.
Before April 1, 2029, records of the date, time, and duration of each malfunction of operation of process equipment, control devices, recovery devices, or continuous monitoring systems used to comply with this subpart that causes a failure to meet a standard. The record must include a list of the affected sources or equipment, an estimate of the volume of each regulated pollutant emitted over the standard, and a description of the method used to estimate the emissions. After April 1, 2029, for any deviation, records of the start date, start time, duration in hours, cause, a list of the affected sources or equipment, an estimate of the quantity of each regulated pollutant emitted over any emission limit, and a description of the method used to estimate the emissions.
Before April 1, 2029, records of actions taken during periods of malfunction to minimize emissions in accordance with § 63.11495(d), including corrective actions to restore malfunctioning process and air pollution control and monitoring equipment to its normal or usual manner of operation. After April 1, 2029, for any deviation, records of actions taken to minimize emissions in accordance with § 63.11495(d), and any corrective action taken to return the affected unit to its normal or usual manner of operation.
For batch process vents subject to table 2 to this subpart and continuous process vents subject to table 3 to this subpart, you must keep records specified in paragraphs (c)(2)(i) or (ii) of this section, as applicable.
If you route emissions to a control device other than a flare, keep records of performance tests, if applicable, as specified in § 63.998(a)(2)(ii) and (4), keep records of the monitoring system and the monitored parameters, as specified in § 63.998(b) and (c), and keep records of the closed-vent system, as specified in § 63.998(d)(1). If you use a recovery device to maintain the TRE above 1.0 for a continuous process vent, keep records of monitoring parameters during the TRE index value determination, as specified in § 63.998(a)(3).
If you route emissions to a flare, keep records of the flare compliance assessment, as specified in § 63.998(a)(1)(i), keep records of the pilot flame monitoring, as specified in § 63.998(a)(1)(ii) and (iii), and keep records of the closed-vent system, as specified in § 63.998(d)(1).
For metal HAP process vents subject to table 4 to this subpart, you must keep records specified in paragraph (c)(3)(i) or (ii) of this section, as applicable.
For a new source using a control device other than a baghouse and for any existing source, maintain a monitoring plan, as specified in § 63.11496(f)(3)(i), and keep records of monitoring results, as specified in § 63.11496(f)(3).
For a new source using a baghouse to control metal HAP emissions, keep a site-specific monitoring plan, as specified in §§ 63.11496(f)(4) and 63.11410(g), and keep records of bag leak detection systems, as specified in §§ 63.11496(f)(4) and 63.11410(g)(4).
For each storage tank subject to table 5 to this subpart, you must keep records specified in paragraphs (c)(4)(i) through (vii) of this section, as applicable.
Keep records of the vessel dimensions, capacity, and liquid stored, as specified in § 63.1065(a).
Keep records of each inspection of an internal floating roof, as specified in § 63.1065(b)(1).
Keep records of each seal gap measurement for external floating roofs, as specified in § 63.1065(b)(2), and keep records of inspections of external floating roofs, as specified in § 63.1065(b)(1).
If you vent emissions to a control device other than a flare, keep records of the operating plan and measured parameter values, as specified in §§ 63.985(c) and 63.998(d)(2).
If you vent emissions to a flare, keep records of all periods of operation during which the flare pilot flame is absent, as specified in §§ 63.987(c) and 63.998(a)(1), and keep records of closed-vent systems, as specified in § 63.998(d)(1).
For periods of planned routine maintenance of a control device, keep records of the day and time at which each maintenance period begins and ends, and keep records of the type of maintenance performed, as specified in § 63.11497(b)(3).
For each pressure vessel subject to the requirements of § 63.11497(f) you must keep records as specified in paragraphs (c)(4)(vii)(A) and (B) of this section.
The date of each performance test conducted according to § 63.11497(f)(2).
The record of each performance test conducted according to § 63.11497(f)(2), including the following:
(1) Date each defect was detected and the instrument reading (in ppmv) during the performance test.
(2) Date of the next performance test that shows the instrument reading is less than 500 ppmv and the instrument reading (in ppmv) during the performance test.
(3) Start and end dates of each period after the date in paragraph (c)(4)(ix)(B)(1) of this section when the pressure vessel was completely empty.
(4) Estimated emissions from each defect.
For each wastewater stream subject to item 2 in table 6 to this subpart, keep records of the wastewater stream identification and the disposition of the organic phase(s), as specified in item 2 to table 6 to this subpart.
Except as specified in paragraph (c)(11) of this section, for each large heat exchange system subject to table 8 to this subpart, you must keep records of detected leaks; the date the leak was detected; if demonstrated not to be a leak, the basis for that determination; the date of efforts to repair the leak; and the date the leak is repaired, as specified in table 8 to this subpart.
You must keep a record of all transferred liquids that are reactive or resinous materials, as defined in § 63.11502(b), and not included in the NOCS.
For continuous process vents subject to table 3 to this subpart, keep records of the occurrence and duration of each startup and shutdown of operation of process equipment, or of air pollution control and monitoring equipment.
If you are subject to the equipment leak requirements specified in § 63.11495(a)(6), then you must keep records as specified in paragraphs (c)(9)(i) through (vii) of this section instead of the records specified in paragraph (c)(1)(i) of this section.
Keep a list, summary description, or diagram(s) showing the location and identification number of all equipment in organic HAP service at the facility and the information in paragraphs (c)(9)(i)(A) through (D) of this section.
Identification of equipment designated as unsafe to monitor, difficult to monitor, unsafe to inspect, difficult to inspect, or unsafe to repair and the plan for monitoring or inspecting this equipment, as applicable.
Identification of the equipment in batch process units, for which you do not elect to pressure test the batch product process equipment train.
Identification of the equipment in heavy liquid service.
Identification of the equipment in organic HAP service less than 300 hours per calendar year.
For leak detection monitoring and inspections required by paragraphs § 63.11495(a)(6) (e.g., monitoring using Method 21 of appendix A-7 to part 60 of this chapter; visible, audible, or olfactory monitoring; closed vent system inspections; and batch process unit monitoring), record the date of the monitoring or inspection and include a statement of whether leaks were detected. If no leaks are detected, records of the monitoring and inspection results are not required.
When each leak is detected as specified in § 63.11495(a)(6), the following information must be recorded:
The instrument and the equipment identification number and the operator name, initials, or identification number.
The date the leak was detected and the date of first attempt to repair the leak.
The date of successful repair of the leak.
Maximum instrument reading measured by Method 21 of 40 CFR part 60, appendix A-7 of this chapter after it is successfully repaired or determined to be nonrepairable.
“Repair delayed” and the reason for the delay if a leak is not repaired within 15 calendar days after discovery of the leak.
(1) You may develop a written procedure that identifies the conditions that justify a delay of repair. In such cases, reasons for delay of repair may be documented by citing the relevant sections of the written procedure.
(2) If delay of repair was caused by depletion of stocked parts, there must be documentation that the spare parts were sufficiently stocked on-site before depletion and the reason for depletion.
Dates of CMPU shutdowns that occur while the equipment is unrepaired.
For each pressure relief device subject to the provisions in § 63.165(e), you must keep the records specified in paragraphs (c)(9)(iv)(A) through (C) of this section.
Records of the prevention measures implemented as required in § 63.165(e)(3)(ii).
Records of the number of releases during each calendar year.
For each release to the atmosphere, you must keep the records specified in paragraphs (c)(9)(iv)(C)(1) through (4) of this section.
(1) The start and end time and date of each pressure release to the atmosphere.
(2) Records of any data, assumptions, and calculations used to estimate of the mass quantity of each organic HAP released during the event.
(3) Records of the root cause analysis and corrective action analysis conducted as required in § 63.165(e)(3)(iii), including an identification of the affected facility, a statement noting whether the event resulted from the same root cause(s) identified in a previous analysis and either a description of the recommended corrective action(s) or an explanation of why corrective action is not necessary under § 63.165(e)(7)(i).
(4) For any corrective action analysis for which implementation of corrective actions are required in § 63.165(e)(7), a description of the corrective action(s) completed within the first 45 days following the discharge and, for action(s) not already completed, a schedule for implementation, including proposed commencement and completion dates.
If you own or operate a batch product process and elect to pressure test the batch product process equipment train to demonstrate compliance with § 63.11495(a)(6), you are exempt from the requirements of paragraphs (c)(9)(i) through (iv) of this section. Instead, you must maintain records of the following information:
A list of identification numbers for equipment in a batch product process.
The dates of each pressure test required in § 63.178(b), the test pressure, and the pressure drop observed during the test.
When a batch product process equipment train does not pass two consecutive pressure tests, the following information must be recorded:
(1) The date of each pressure test and the date of each leak repair attempt.
(2) Repair methods applied in each attempt to repair the leak.
(3) The reason for the delay of repair.
(4) The expected date for delivery of the replacement equipment and the actual date of delivery of the replacement equipment.
(5) The date of successful repair.
You must maintain records of the information specified in paragraphs (c)(9)(vi)(A) through (C) of this section for closed vent systems and control devices subject to the provisions of § 63.172. The records specified in paragraph (c)(9)(vi)(A) of this section must be retained for the life of the equipment.
The design specifications and performance demonstrations specified in paragraphs (c)(9)(vi)(A)(1) through (4) of this section.
(1) Detailed schematics, design specifications of the control device, and piping and instrumentation diagrams.
(2) The dates and descriptions of any changes in the design specifications.
(3) The flare design (i.e., steam-assisted, air-assisted, or non-assisted) and the results of the compliance demonstration required by subpart SS of this part.
(4) A description of the parameter or parameters monitored, as required in § 63.172(e), to ensure that control devices are operated and maintained in conformance with their design and an explanation of why that parameter (or parameters) was selected for the monitoring.
Records of operation of closed vent systems and control devices, as specified in paragraphs (c)(9)(vi)(B)(1) through (3) of this section.
(1) Dates and durations when the closed vent systems and control devices required in § 63.11495(a)(6) are not operated as designed as indicated by the monitored parameters, including periods when a flare pilot light system does not have a flame.
(2) Dates and durations during which the monitoring system or monitoring device is inoperative.
(3) Dates and durations of startups and shutdowns of control devices required in § 63.11495(a)(6).
Records of inspections of closed vent systems subject to the provisions of § 63.172, as specified in paragraphs (c)(9)(vi)(C)(1) and (2) of this section.
(1) For each inspection conducted in accordance with the provisions of § 63.172(f)(1) or (2) during which leaks were detected, the information specified in paragraph (c)(9)(iii) of this section must be recorded.
(2) For each flow event from a bypass line subject to the requirements in § 63.172(j), you must maintain records sufficient to determine whether or not the detected flow included flow requiring control. For each flow event from a bypass line requiring control that is released either directly to the atmosphere or to a control device not meeting the requirements in § 63.11495(a)(6), you must include an estimate of the volume of gas, the concentration of organic HAP in the gas, and the resulting emissions of organic HAP that bypassed the control device using process knowledge and engineering estimates.
If you choose to comply with the requirements of § 63.179, you must maintain the following records:
Identification of the CMPU(s) and the organic HAPs they handle.
A schematic of the CMPU, enclosure, and closed vent system.
A description of the system used to create a negative pressure in the enclosure to ensure that all emissions are routed to the control device.
For each flow event from a bypass line subject to the requirements in § 63.11495(e), you must maintain records sufficient to determine whether or not the detected flow included flow requiring control. For each flow event from a bypass line requiring control that is released either directly to the atmosphere or to a control device not meeting the requirements specified in §§ 63.11495 through 63.11499, you must include an estimate of the volume of gas, the concentration of organic HAP in the gas and the resulting emissions of organic HAP that bypassed the control device using process knowledge and engineering estimates.
If you are subject to the requirements specified in item 1.c of table 8 to this subpart (for heat exchange systems with a cooling water flow rate greater than or equal to 8,000 gal/min), then you must keep records as specified in § 63.104(f)(3) instead of the heat exchange system records specified in paragraphs (c)(1)(ii) and (6) of this section.
Semiannual compliance reports. You must submit semiannual compliance reports that contain the information specified in paragraphs (d)(1) through (12) of this section, as applicable. All reports must contain the company name and address (including county), as well as the beginning and ending dates of the reporting period. For periods where no events described by paragraphs (d)(1) through (12) of this section occur, a statement must be included in the report pursuant to § 63.10(e)(3)(v). Beginning on April 1, 2029, or once the report template for this subpart has been available on the CEDRI website for one year, whichever date is later, submit all subsequent reports using the appropriate electronic report template on the CEDRI website (https://www.epa.gov/electronic-reporting-air-emissions/cedri) for this subpart and following the procedure specified in § 63.9(k). The date report templates become available will be listed on the CEDRI website. Unless the Administrator or delegated State agency or other authority has approved a different schedule for submission of reports, the report must be submitted by the deadline specified in this subpart, regardless of the method in which the report is submitted.
Deviations. Before April 1, 2029 you must clearly identify any deviation from the requirements of this subpart. Beginning on April 1, 2029, for each deviation, you must report the start date, start time, duration in hours, cause, a list of the affected sources or equipment, an estimate of the quantity of each regulated pollutant emitted over any emission limit, a description of the method used to estimate the emissions, actions taken to minimize emissions, and any corrective action taken to return the affected unit to its normal or usual manner of operation.
Delay of repair for a large heat exchange system. Except as specified in paragraph (d)(11) of this section, you must include the information specified in § 63.104(f)(2) each time you invoke the delay of repair provisions for a heat exchange system with a cooling water flow rate equal to or greater than 8,000 gal/min.
Delay of leak repair. You must provide the following information for each delay of leak repair beyond 15 days for any process equipment, storage tank, surge control vessel, bottoms receiver, and each delay of leak repair beyond 45 days for any heat exchange system with a cooling water flow rate less than 8,000 gal/min: information on the date the leak was identified, the reason for the delay in repair, and the date the leak was repaired.
Process change. You must report each process change that affects a compliance determination and submit a new certification of compliance with the applicable requirements in accordance with the procedures specified in paragraph (b) of this section.
Data for the alternative standard. If you comply with the alternative standard, as specified in table 2 or 3 to this subpart, report the information required in § 63.1258(b)(5).
Overlapping rule requirements. Report any changes in the overlapping provisions with which you comply.
Reactive and resinous materials. Report any transfer of liquids that are reactive or resinous materials, as defined in § 63.11502(b), and not included in the NOCS.
Malfunctions. If a malfunction occurred during the reporting period, the report must include the number of instances of malfunctions that caused emissions in excess of a standard. For each malfunction that caused emissions in excess of a standard, the report must include a list of the affected sources or equipment, an estimate of the volume of each regulated pollutant emitted over the standard, and a description of the method used to estimate the emissions. The report must also include a description of actions you took during a malfunction of an affected source to minimize emissions in accordance with § 63.11495(d), including actions taken to correct a malfunction. On and after April 1, 2029, malfunctions are reported as deviations under paragraph (d)(1) of this section and this paragraph (d)(8) no longer applies.
Equipment leaks. For each CMPU complying with the provisions of § 63.11495(a)(6), report the information listed in paragraphs (d)(9)(i) through (vi) of this section.
The number of components for which leaks were detected, the total number of components monitored, and the number of components for which leaks were not repaired, identifying the number of those that are determined nonrepairable, and totaled by component type.
The facts that explain any delay of repairs and, where appropriate, why a CMPU shutdown was technically infeasible.
For pressure relief devices subject to the requirements in § 63.11495(a)(6)(iv) include the information specified in paragraphs (d)(9)(iii)(A) through (C) of this section.
For pressure relief devices in organic HAP gas or vapor service, pursuant to § 63.165(e)(1), report the instrument readings and dates for all readings of 500 ppm or greater.
For pressure relief devices in organic HAP gas or vapor service, pursuant to § 63.165(e)(2), report the instrument readings and dates of instrument reading conducted.
For pressure relief devices in organic HAP service subject to § 63.165(e)(3), report each pressure release to the atmosphere, including pressure relief device identification name or number, the start date, start time, and duration (in minutes) of the pressure release; an estimate of the mass quantity in pounds of each organic HAP released; the results of any root cause analysis and corrective action analysis completed during the reporting period, including the corrective actions implemented during the reporting period; and, if applicable, the implementation schedule for planned corrective actions to be implemented subsequent to the reporting period.
For bypass lines subject to the requirements in § 63.172(j) as specified in § 63.11495(a)(6)(ix), include the start date, start time, duration in hours, estimate of the volume of gas in standard cubic feet, the concentration of organic HAP in the gas in parts per million by volume and the resulting mass emissions of organic HAP in pounds that bypass a control device. For periods when the flow indicator is not operating, report the start date, start time, and duration in hours.
If applicable, the compliance option selected under § 63.172(n) as specified in § 63.11495(a)(6)(ix).
If you elect to meet the requirements in § 63.178(b) as specified in § 63.11495(a)(6)(xi), include the information listed in paragraphs (d)(9)(vi)(A) through (E) of this section.
Batch product process equipment train identification;
The number of pressure tests conducted;
The number of pressure tests where the equipment train failed the pressure test;
The facts that explain any delay of repairs; and
The results of all monitoring to determine compliance with § 63.172(f).
Bypass lines. For bypass lines subject to the requirements § 63.11495(e), report the start date, start time, duration in hours, estimate of the volume of gas in standard cubic feet, the concentration of organic HAP in the gas in ppmv and the resulting mass emissions of organic HAP in pounds that bypass a control device. For periods when the flow indicator is not operating, report the start date, start time, and duration in hours.
Heat exchange systems. If you are subject to the requirements specified in item 1.c of table 8 to this subpart (for heat exchange systems with a cooling water flow rate greater than or equal to 8,000 gal/min), then you must submit the information specified in § 63.104(f)(2)(vi) instead of the heat exchange system information specified in paragraphs (d)(2) and (3) of this section.
Pressure vessels. If you are subject to the requirements specified in § 63.11497(e) and obtain an instrument reading greater than 500 ppmv when monitoring a pressure vessel in accordance with § 63.11497(e)(2), report an identification of the pressure vessel and a copy of the records specified in paragraph (c)(4)(vii)(B) of this section.
Notes, amendments, and revision history
Amendments
[74 FR 56041, Oct. 29, 2009, as amended at 77 FR 75758, Dec. 21, 2012; 91 FR 16528, Apr. 1, 2026]
Source
Source: 74 FR 56041, Oct. 29, 2009, unless otherwise noted.
Authority
Authority: 42 U.S.C. 7401 et seq.
Source
Source: 57 FR 61992, Dec. 29, 1992, unless otherwise noted.
Amendments
[74 FR 56041, Oct. 29, 2009, as amended at 77 FR 75758, Dec. 21, 2012; 91 FR 16528, Apr. 1, 2026]