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Rule and Implementation Information for General Provisions: 40 CFR part 65, subparts H, I, J and M would apply to owners or operators expressly referenced to part 65 from future rulemakings that may result in new subparts or revisions to current subparts of 40 CFR parts 60, 61 or 63
EPA-HQ-OAR-2002-0038
Legacy Docket Numbers: Docket#A-91-09 and A-2001-02
Legacy Docket Numbers: Docket#A-91-09 and A-2001-02
NOTE: Startup, shutdown and malfunction. See a copy of the July 22, 2009 letter and a copy of the Sierra Club decision on the EPA Office of Enforcement and Compliance Assurance Web site at http://www.epa.gov/compliance/civil/caa/ssm.html Ref: August 26, 2009, 74FR43124 Notice
On this page:
Rule Information
Proposed and Promulgated Rules
General Provisions
| Date | Citation | Action | Description | File Download |
| 03/26/12 | 77 FR 17897 | Proposed | National Uniform Emission Standards for Storage Vessel and Transfer Operations, Equipment Leaks, and Closed Vent Systems and Control Devices; and Revisions to the National Uniform Emission Standards General Provisions: Proposed Rule |  |
| 05/16/07 | 72 FR 27437 | Final | Revisions to Standards of Performance for New Stationary Sources, National Emission Standards for Hazardous Air Pollutants, and National Emission Standards for Hazardous Air Pollutants for Source Categories: to allow for extensions to the deadline imposed for source owners and operators to conduct an initial or subsequent performance test required by applicable regulations. | |
| 04/18/07 | 72 FR 19385 | Final | National Emission Standards for Hazardous Air Pollutants: General Provisions: Notice of Decision Denying Petition for Reconsideration | |
| 03/05/07 | 72 FR 9718 | Proposal | Extension of public comment period for National Emission Standards for Hazardous Air Pollutants: General Provisions: The EPA is proposing amendments to the General Provisions to the national emission standards for hazardous air pollutants (NESHAP). The proposed amendments would replace the policy described in the May 16, 1995 EPA memorandum entitled, ``Potential to Emit for MACT Standards--Guidance on Timing Issues,'' from John Seitz, Director, Office of Air Quality Planning and Standards (OAQPS), to EPA Regional Air Division Directors. | |
| 01/03/07 | 72 FR 69 | Proposal | National Emission Standards for Hazardous Air Pollutants: General Provisions:The EPA is proposing amendments to the General Provisions to the national emission standards for hazardous air pollutants (NESHAP). The proposed amendments would replace the policy described in the May 16, 1995 EPA memorandum entitled, ``Potential to Emit for MACT Standards--Guidance on Timing Issues,'' from John Seitz, Director, Office of Air Quality Planning and Standards (OAQPS), to EPA Regional Air Division Directors. | |
| 12/04/06 | 71 FR 70383 | Notice | Recent Posting to the Applicability Determination Index (ADI) Database System of Agency Applicability Determinations, Alternative Monitoring Decisions, and Regulatory Interpretations Pertaining to Standards of Performance for New Stationary Sources, National Emission Standards for Hazardous Air Pollutants, and the Stratospheric Ozone Protection Program | |
| 08/09/06 | 71 FR 45487 | Proposed Rule | Revisions to Standards of Performance for New Stationary Sources, National Emission Standards for Hazardous Air Pollutants, and National Emission Standards for Hazardous Air Pollutants for Source Categories-Proposed Rule | |
| 04/20/06 | 71 FR 20445 | Final Rule | National Emission Standards for Hazardous Air Pollutants: General Provisions; Startup, Shutdown, and Malfunction plans-Final Rule | |
| 07/29/05 | 70 FR 43992 | Proposal | National Emission Standards for Hazardous Air Pollutants; General Provisions:Notice of reconsideration of final rule; proposed amendments; request for public comment. | |
| 06/22/05 | 70 FR 36141 | Notice of availability | This notice announces applicability determinations, alternative monitoring decisions, and regulatory interpretations that EPA has made under the New Source Performance Standards (NSPS); the National Emission Standards for Hazardous Air Pollutants (NESHAP); and the Stratospheric Ozone Protection Program. | |
| 04/22/04 | 69FR 21737 | Final | National Environmental Performance Track Program | |
| 5/30/03 | 68 FR 32585 | Rules/Regulations | Final Amendments of the final amendments proposed 12/9/02. | |
| 5/15/03 | 67 FR 26249 | Proposed Rules | This action proposes amendments to the general provisions that would provide regulatory relief, where appropriate, to facilities that use P2 to achieve and maintain HAP emission reductions equivalent to or better than MACT level of control. This rule also proposes additional incentives for facilities that are members of the national environmental performance track program. Comments are due by July 14, 2003. | |
| 12/9/02 | 67 FR 72875 | Proposed Rules | Proposed Amendments - Proposes to establish new timeline for submission of 112(j) Part 2 applications and to make several changes in sections of the General Provisions that establish general procedures for startup, shutdown and malfunction plans (SSMP). | |
| 4/5/02 | 67 FR 16595 | Rules/Regulations | Promulgation of 3/23/01 Amendments. Note: Table of Significant Changes available, see below. | |
| 3/23/01 | 66 FR 16318 | Proposed Rules | Proposes to revise and clarify several of the current provisions. Proposed amendments, in part, based on a result of decisions reached in settlement negotiations. | |
| 2/12/99 | 64 FR 7467 | Rules/Regulations | Recordkeeping and Reporting Burden Reduction | |
| 09/11/96 | 61 FR 47840 | Proposed Rule | Recordkeeping and Reporting Burden Reduction | |
| 3/16/94 | 59 FR 12430 | Rules/Regulations | Original Promulgation | |
| 8/11/93 | 58 FR 42760 | Rules/Regulations | Original Proposal | not available |
NOTE: All files are Government Printing Office (GPO) Federal Register files unless otherwise indicated. You can also access full text of the Code of Federal Regulations at GPO e-CFR.
Settlements
| Date | Citation | Action | Description | File Download |
| 8/26/02 | 67 FR 54804 | Settlement Agreement | Federal Register Notice announcing the proposed settlement for the 112(j)/General Provisions Litigation. The settlement proposes to reduce the time between the Part 1 and Part 2 application from 24 months to 12 months, would require submittal of all startup, shutdown, and malfunction plans to the Administrator (or delegated), and would make certain other SSMP provisions consistent with intent stated in the preamble to the previous amendments. The comment period is 30 days | |
| 11/28/00 | 65 FR 70898 | Settlement Agreement | Federal Register Notice announcing a settlement agreement with the litigants for amendments to the Part 63 General Provisions and the Section 112(j) requirements. | |
Closely Related Rules, Policies or Program Guidance
| 2/00 | DRAFT Guidelines for MACT Determinations under Section 112(j) Requirements [EPA-453/R-xx-026] | |
Technical Information
Technical Support Document/Response to Comments
| 2/02 | General Provisions for 40 CFR Part 63 BID for Promulgated Amendments [EPA-453/R-02-002] | |
| 2/94 | General Provisions for 40 CFR Part 63 BID for Promulgated Regulation [EPA-450/3-91-019b] | |
FACT Sheets
| 5/03 | FACT SHEET - P2 Proposed Amendments | |
| 5/03 | FACT SHEET - Final Amendments | |
| 3/02 | FACT SHEET - Final Amendments | |
| 3/95 | FACT SHEET - Final Rule | |
Implementation Information
Source Identification and Location Information
No single source list exists. Please see individual part 63 standards for list of potentially affected sources.
| 9/20/96 | Source Identification Procedures for Sources Subject to Regulations under Section 111(d) of the CAA as Amended in 1990 [Enabling Document, Scanned Version] | |
Implementation Tools
| 09/2003 | Plain Language Q & A Document - Summary of Requirements for MACT Standard's Startup, Shutdown, and Malfunction Plans | |
| 8/02 | Significant Changes Table - General Provision Amendments of 4/02 | |
| 8/02 | General Provisions Key Word Index | |
| 8/02 | Overview Brochure (tri-fold) | |
| 8/02 | Reconstruction Review Flow Diagram | |
| 8/02 | Compliance Extension Overview | |
| 8/02 | Compliance Extension Flow Diagram | |
Example Notices and Reports
All forms required under the General Provisions are referenced in the table below, however, OAQPS in partnership with Office of Environmental Information (OEI) have developed only a limited number of example forms, namely under section 63.9.
Although most standards reference sections 63.9 and 63.10 of the General Provisions for some or all of their notification and reporting requirements, please be aware that these General Provisions example forms are not intended to exactly match all the requirements of a specific standard. Specific standards may include or exclude General Provision requirements or can require additional information beyond Subpart A. For this reason, these example report forms developed under Subpart A should be treated as examples only and may be useful to users as a starting point for developing report forms that are facility and MACT specific.
| Report Type | Citation | File Download |
| Construction and Reconstruction | ||
| Application for Approval of Construction and Reconstruction | 63.5(d)(1)-(5) |
| Compliance with Standards and Maintenance Requirements |
| Notification of Opacity or Visible Emission Observations | 63.6(h)(4) | See Example Notification of Performance Test under 63.9(e) |
| Request for Compliance Extension | 63.6(i)(3) | See Example Request for Compliance Extension under 63.9(c) | Performance Testing Requirements |
| Notification of Performance Test | 63.7(b) | See Example Notification of Performance Test under 63.9(e) |
| Request to Waive a Performance Test | 63.7(h)(3) | No Form Available | Monitoring Requirements |
| Notification of Performance Evaluation | 63.8(e)(2) | No Form Available |
| Reporting Performance Evaluations | 63.8(e)(5) | No Form Available |
| Request to Use Alternative Monitoring Method | 63.8(f)(4)(i) | No Form Available | Notification Requirements |
| Initial Notification | 63.9(b) |
|
| Request for Compliance Extension | 63.9(c) |
|
| Notification that Source is Subject to Special Compliance Requirements | 63.9(d) |
|
| Notification of Performance Test (combined form) | 63.9(e) |
|
| Notification of Opacity and Visible Emission Observations (combined form) | 63.9(f) |
|
| Additional Notification Requirements for Sources with CEMs (combined form) | 63.9(g) |
|
| Notification of Compliance Status | 63.9(h) |
| Recordkeeping and Reporting Requirements |
| Results of Performance Test | 63.10(d)(2) | No Form Available |
| Results of Opacity or Visible Emission Observations | 63.10(d)(3) | No Form Available |
| Progress Reports | 63.10(d)(4) | No Form Available |
| Periodic Startup, Shutdown and Malfunction Semiannual Reports | 63.10(d)(5) | No Form Available |
| Reporting Results of Continuous Monitoring System Performance Evaluations | 63.10(e)(2) | No Form Available |
| Excess Emissions and Continuous Monitoring System Performance Evaluations | 6310(e)(3) |
|
| Reporting Continuous Opacity Monitoring System Data Produced During a Performance Test | 63.10(f)(2) | No Form Available |
Compliance and Enforcement Information
| 3/01 | Letter on Performance Specifications and Applicability of 63.8 for CMS | |
State Programs
The Environmental Council of the States. 
The website provides state delegation information for environmental programs.
NOTE: Most links on this page are pointers to other hosts and locations in the Internet. This information is provided as a service; however the U.S. Environmental Protection Agency does not endorse, approve or otherwise support these sites.