Sec. NR 460.09 - Recordkeeping and reporting requirements

ยง NR 460.09. Recordkeeping and reporting requirements

(1) APPLICABILITY AND GENERAL INFORMATION.

(a) The requirements of this section apply to owners or operators of affected sources who are subject to the provisions of 40 CFR part 63 or chs. NR 460 to 469, unless specified otherwise in a relevant standard.

(b) For affected sources that have been granted an extension of compliance under Subpart D of 40 CFR part 63, the requirements of this section do not apply to those sources while they are operating under compliance extensions.

(c) The owner or operator of an affected source subject to recordkeeping and reporting requirements established under 40 CFR part 63 or chs. NR 460 to 469 shall submit the required reports to the department.

(d) If an owner or operator supervises one or more stationary sources in Wisconsin affected by more than one standard established pursuant to section 112 of the act (42 USC 7412), the owner or operator and the department may arrange by mutual agreement a common schedule on which periodic reports required for each source shall be submitted throughout the year. The allowance in the previous sentence applies beginning one year after the latest compliance date for any relevant standard established pursuant to section 112 of the act (42 USC 7412). Procedures governing the implementation of this provision are specified in s. NR 460.08(9).

(e) If an owner or operator supervises one or more stationary sources affected by standards established pursuant to section 112 of the act (42 USC 7412), as amended November 15, 1990, and standards set under 40 CFR part 60, 40 CFR part 61, or both parts, the owner or operator and the department may arrange by mutual agreement a common schedule on which periodic reports required by each relevant standard shall be submitted throughout the year. The allowance in the previous sentence applies beginning one year after the stationary source is required to be in compliance with the relevant section 112 standard, or one year after the stationary source is required to be in compliance with the applicable 40 CFR part 60 or 40 CFR part 61 standard, whichever is latest. Procedures governing the implementation of this provision are specified in s. NR 460.08(9).

(2) GENERAL RECORDKEEPING REQUIREMENTS.

(a) General. The owner or operator of an affected source subject to the provisions of 40 CFR part 63 or chs. NR 460 to 469 shall maintain files of all information, including all reports and notifications, required by 40 CFR part 63 or chs. NR 460 to 469 recorded in a form suitable and readily available for expeditious inspection and review. The files shall be retained for at least 5 years following the date of each occurrence, measurement, maintenance, corrective action, report or record. At a minimum, the most recent 2 years of data shall be retained on site. The remaining 3 years of data may be retained off site. Files may be maintained on microfilm, on a computer, on computer floppy disks, on magnetic tape disks or on microfiche.

(b) Recordkeeping requirements. The owner or operator of an affected source subject to the provisions of 40 CFR part 63 shall maintain relevant records for the source of all of the following:

1. The occurrence and duration of each startup or shutdown when the startup or shutdown causes the source to exceed any applicable emission limitation in the relevant emission standards.

2. The occurrence and duration of each malfunction of operation, that is process equipment, or the required air pollution control and monitoring equipment.

3. All required maintenance performed on the air pollution control and monitoring equipment.

4.

a. Actions taken during periods of startup or shutdown when the source exceeded applicable emission limitations in a relevant standard and when the actions taken are different from the procedures specified in the affected source's startup, shutdown and malfunction plan, required in s. NR 460.05(4) (c).

b. Actions taken during periods of malfunction, including corrective actions to restore malfunctioning process and air pollution control and monitoring equipment to its normal or usual manner of operation, when the actions taken are different from the procedures specified in the affected source's startup, shutdown and malfunction plan required in s. NR 460.05(4) (c).

5. All information necessary, including actions taken, to demonstrate conformance with the affected source's startup, shutdown and malfunction plan, required in s. NR 460.05(4) (c), when all actions taken during periods of startup or shutdown, and the startup or shutdown causes the source to exceed any applicable emission limit in the relevant emission standards, and all actions taken during periods of malfunction, including corrective actions to restore malfunctioning process and air pollution control and monitoring equipment to its normal or usual manner of operation, are consistent with the procedures specified in the plan. The information needed to demonstrate conformance with the startup, shutdown and malfunction plan may be recorded using a checklist or some other effective form of recordkeeping, in order to minimize the recordkeeping burden for conforming events.

6. Each period during which a continuous monitoring system is malfunctioning or inoperative, including out-of-control periods.

7. All required measurements needed to demonstrate compliance with a relevant standard, including, but not limited to, 15-minute averages of continuous monitoring system data, raw performance testing measurements and raw performance evaluation measurements, that support data that the source is required to report. The following limitations apply:

a. This subdivision paragraph applies to owners or operators required to install a continuous emissions monitoring system (CEMS) where the CEMS installed is automated, and where the calculated data averages do not exclude periods of CEMS breakdown or malfunction. An automated CEMS records and reduces the measured data to the form of the pollutant emission standard through the use of a computerized data acquisition system. In lieu of maintaining a file of all CEMS subhourly measurements under this subdivision, the owner or operator shall retain the most recent consecutive 3 averaging periods of subhourly measurements and a file that contains a hard copy of the data acquisition system algorithm used to reduce the measured data into the reportable form of the standard.

b. This subdivision paragraph applies to owners or operators required to install a CEMS where the measured data is manually reduced to obtain the reportable form of the standard, and where the calculated data averages do not exclude periods of CEMS breakdown or malfunction. In lieu of maintaining a file of all CEMS subhourly measurements under this subdivision, the owner or operator shall retain all subhourly measurements for the most recent reporting period. The subhourly measurements shall be retained for 120 days from the date of the most recent summary or excess emission report submitted to the department.

c. The department, upon notification to the source, may require the owner or operator to maintain all measurements as required by subd. 7. (intro.) if the department determines these records are required to more accurately assess the compliance status of the affected source.

8. All results of performance tests, continuous monitoring system performance evaluations, and opacity and visible emission observations.

9. All measurements as may be necessary to determine the conditions of performance tests and performance evaluations.

10. All continuous monitoring system calibration checks.

11. All adjustments and maintenance performed on continuous monitoring systems.

12. Any information demonstrating whether a source is meeting the requirements for a waiver of recordkeeping or reporting requirements under 40 CFR part 63 or chs. NR 460 to 469, if the source has been granted a waiver under sub. (6).

13. All emission levels relative to the criterion for obtaining permission to use an alternative to the relative accuracy test, if the source has been granted permission under s. NR 460.07(6) (e).

14. All documentation supporting initial notifications and notifications of compliance status under s. NR 460.08.

(c) Recordkeeping requirements for applicability determinations. If an owner or operator determines that his or her stationary source that emits, or has the potential to emit, without considering controls, one or more hazardous air pollutants regulated by any standard established pursuant to section 112 (d) or (f) of the Act (42 USC 7412(d) or (f)), and that stationary source is in the source category regulated by the relevant standard, but that source is not subject to the relevant standard or other requirement established under 40 CFR part 63 or chs. NR 460 to 469, because of limitations on the source's potential to emit or an exclusion, the owner or operator shall keep a record of the applicability determination on site at the source for a period of 5 years after the determination, or until the source changes its operations to become an affected source, whichever comes first. The record of the applicability determination shall be signed by the person making the determination and include an analysis or other information that demonstrates why the owner or operator believes the source is not an affected source. The analysis or other information shall be sufficiently detailed to allow the department to make a finding about the source's applicability status with regard to the relevant standard or other requirement. If relevant, the analysis shall be performed in accordance with requirements established in relevant subparts of 40 CFR part 63 for this purpose for particular categories of stationary sources. If relevant, the analysis should be performed in accordance with EPA guidance materials published to assist sources in making applicability determinations under section 112 of the Act (42 USC 7412), if any. The requirements to determine applicability of a standard under 40 CFR 63.1(b) (3) and to record the results of that determination under this paragraph do not by themselves create an obligation for the owner or operator to obtain a title V permit.

(3) ADDITIONAL RECORDKEEPING REQUIREMENTS FOR SOURCES WITH CONTINUOUS MONITORING SYSTEMS.

(a) In addition to complying with the requirements specified in sub. (2) (a) and (b), the owner or operator of an affected source required to install a continuous monitoring system by a relevant standard shall maintain records for the source of all of the following:

1. All required continuous monitoring system measurements, including monitoring data recorded during unavoidable continuous monitoring system breakdowns and out-of-control periods.

2. The date and time identifying each period during which the continuous monitoring system was inoperative except for zero (low-level) and high-level checks.

3. The date and time identifying each period during which the continuous monitoring system was out of control, as defined in s. NR 460.07(3) (g).

4. The specific identification, including date and times, of each period of excess emissions and parameter monitoring exceedances, as defined in the relevant standards, that occurs during startups, shutdowns and malfunctions of the affected source.

5. The specific identification, including the date and times, of each period of excess emissions and parameter monitoring exceedances, as defined in the relevant standards, that occurs during periods other than startups, shutdowns and malfunctions of the affected source.

6. The nature and cause of any malfunction, if known.

7. The corrective action taken or preventive measures adopted.

8. The nature of the repairs or adjustments to the continuous monitoring system that was inoperative or out of control.

9. The total process operating time during the reporting period.

10. All procedures that are part of a quality control program developed and implemented for the continuous monitoring system under s. NR 460.07(4).

(b) In order to satisfy the requirements of par. (a) 6. to 8. and to avoid duplicative recordkeeping efforts, the owner or operator may use the affected source's startup, shutdown and malfunction plan or records kept to satisfy the recordkeeping requirements of the startup, shutdown and malfunction plan specified in s. NR 460.05(4), provided that the plan and records adequately address the requirements of par. (a) 6. to 8.

(4) GENERAL REPORTING REQUIREMENTS.

(a) General. Notwithstanding the requirements in this subsection or sub. (5), and except as provided in s. NR 460.11, the owner or operator of an affected source subject to reporting requirements under 40 CFR part 63 or under chs. NR 460 to 469 shall submit reports to the department in accordance with the reporting requirements in the relevant standards.

(b) Reporting results of performance tests. The owner or operator of an affected source shall report the results of any performance test under s. NR 460.06 to the department. The owner or operator of an affected source shall report the results of the performance test to the department before the close of business on the 60th day following the completion of the performance test, unless specified otherwise in a relevant standard or as approved otherwise in writing by the department. The results of the performance test shall be submitted as part of the notification of compliance status required under s. NR 460.08(8).

(c) Reporting results of opacity or visible emission observations. The owner or operator of an affected source required to conduct opacity or visible emission observations by a relevant standard shall report the opacity or visible emission results, produced using Method 9 or Method 22 in Appendix A of 40 CFR part 60, incorporated by reference in s. NR 484.04(13), or an alternative to these test methods, along with the results of the performance test required under s. NR 460.06. If no performance test is required, or if visibility or other conditions prevent the opacity or visible emission observations from being conducted concurrently with the performance test required under s. NR 460.06, the owner or operator shall report the opacity or visible emission results before the close of business on the 30th day following the completion of the opacity or visible emission observations.

(d) Progress reports. The owner or operator of an affected source who is required to submit progress reports as a condition of receiving a compliance date extension under s. NR 460.05(7) shall submit the reports to the department by the dates specified in the written compliance date extension.

(e) Startup, shutdown and malfunction reports.

1. `Periodic reports.' If actions taken by an owner or operator during a startup or shutdown of an affected source, and the startup or shutdown causes the source to exceed any applicable emission limit in the relevant emission standards, or during a malfunction of an affected source, including actions taken to correct a malfunction, are consistent with the procedures specified in the source's startup, shutdown and malfunction plan as required in s. NR 460.05(4) (c), the owner or operator shall state the information in a startup, shutdown and malfunction report. Actions taken to minimize emissions during startups, shutdowns and malfunctions shall be summarized in the report and may be done in checklist form. If actions taken are the same for each event, only one checklist is necessary. The report shall also include the number, duration and a brief description for each type of malfunction which occurred during the reporting period and which caused or may have caused any applicable emission limitation to be exceeded. Reports shall only be required if a startup or shutdown caused the source to exceed any applicable emission limitation in the relevant emission standards or if a malfunction occurred during the reporting period. The startup, shutdown and malfunction report shall consist of a letter, containing the name, title and signature of the owner or operator or other responsible official who is certifying its accuracy, that shall be submitted to the department semiannually, or on a more frequent basis if specified otherwise in a relevant standard or as established otherwise in the source's part 70 permit. The startup, shutdown and malfunction report shall be delivered or postmarked by the 30th day following the end of each calendar half, or other calendar reporting period, as appropriate. If the owner or operator is required to submit excess emissions and continuous monitoring system performance, or other periodic, reports under 40 CFR part 63 or chs. NR 460 to 469, the startup, shutdown and malfunction reports required under this subsection may be submitted simultaneously with the excess emissions and continuous monitoring system performance or other reports. If startup, shutdown and malfunction reports are submitted with excess emissions and continuous monitoring system performance or other periodic reports, and the owner or operator receives approval to reduce the frequency of reporting for the latter under sub. (5), the frequency of reporting for the startup, shutdown and malfunction reports also may be reduced if the department does not object to the intended change. The procedures to implement the allowance in the preceding sentence shall be the same as the procedures specified in sub. (5) (c).

2. `Immediate reports.' Notwithstanding the allowance to reduce the frequency of reporting for periodic startup, shutdown and malfunction reports under subd. 1., any time an action taken by an owner or operator during a startup or shutdown that caused the source to exceed any applicable emission limitation in the relevant emission standards or during a malfunction, including actions taken to correct a malfunction, is not consistent with the procedures specified in the affected source's startup, shutdown and malfunction plan, the owner or operator shall report the actions taken for that event within 2 working days after commencing actions inconsistent with the plan followed by a letter within 7 working days after the end of the event. The immediate report required under this subdivision shall consist of a telephone call or facsimile (FAX) transmission to the department within 2 working days after commencing actions inconsistent with the plan, and it shall be followed by a letter, delivered or postmarked within 7 working days after the end of the event, that contains the name, title and signature of the owner or operator or other responsible official who is certifying its accuracy, explaining the circumstances of the event, the reasons for not following the startup, shutdown and malfunction plan, describing all excess emissions or parameter monitoring exceedances or both which are believed to have occurred, or could have occurred in the case of malfunctions, and actions taken to minimize emissions in conformance with s. NR 460.05(4) (a) 1.

3. `Alternative reporting arrangements.' Notwithstanding the requirements of subd. 2., the owner or operator may make alternative reporting arrangements, in advance, with the department. Procedures governing the arrangement of alternative reporting requirements under this subsection are specified in s. NR 460.08(9).

(5) ADDITIONAL REPORTING REQUIREMENTS FOR SOURCES WITH CONTINUOUS MONITORING SYSTEMS.

(a) General. When more than one CEMS is used to measure the emissions from one affected source, due to multiple breechings or outlets, for example, the owner or operator shall report the results as required for each CEMS.

(b) Reporting results of continuous monitoring system performance evaluations.

1. The owner or operator of an affected source required to install a continuous monitoring system by a relevant standard shall furnish the department a copy of a written report of the results of the continuous monitoring system performance evaluation, as required under s. NR 460.07(5), simultaneously with the results of the performance test required under s. NR 460.06, unless otherwise specified in the relevant standard.

2. The owner or operator of an affected source using a continuous opacity monitoring system to determine opacity compliance during any performance test required under s. NR 460.06 shall furnish the department 2 or, upon request, 3 copies of a written report of the results of the continuous opacity monitoring system performance evaluation conducted under s. NR 460.07(5). The copies shall be furnished at least 15 calendar days before the performance test required under s. NR 460.06 is conducted.

(c) Excess emissions and continuous monitoring system performance report and summary report.

1. Excess emissions and parameter monitoring exceedances are defined in relevant standards. The owner or operator of an affected source required to install a continuous monitoring system by a relevant standard shall submit an excess emissions and continuous monitoring system performance report or a summary report or both to the department semiannually, except when any of the following occur:

a. More frequent reporting is specifically required by a relevant standard.

b. The department determines on a case-by-case basis that more frequent reporting is necessary to accurately assess the compliance status of the source.

c. The affected source is complying with the Performance Track provisions of s. NR 460.11, which allows less frequent reporting.

2. Notwithstanding the frequency of reporting requirements specified in subd. 1., an owner or operator who is required by a relevant standard to submit excess emissions and continuous monitoring system performance and summary reports on a quarterly or more frequent basis may reduce the frequency of reporting for that standard to semiannual if all of the following conditions are met:

a. For 1 full year, the affected source's excess emissions and continuous monitoring system performance reports, which may be quarterly or monthly, continually demonstrate that the source is in compliance with the relevant standard.

b. The owner or operator continues to comply with all recordkeeping and monitoring requirements specified in this chapter and the relevant standard.

c. The department does not object to a reduced frequency of reporting for the affected source, as provided in subd. 3.

3. The frequency of reporting of excess emissions and continuous monitoring system performance and summary reports required to comply with a relevant standard may be reduced only after the owner or operator notifies the department in writing of his or her intention to make a change and the department does not object to the intended change. In deciding whether to approve a reduced frequency of reporting, the department may review information concerning the source's entire previous performance history during the 5-year recordkeeping period prior to the intended change, including performance test results, monitoring data, and evaluations of an owner or operator's conformance with operation and maintenance requirements. The information may be used by the department to make a judgment about the source's potential for noncompliance in the future. If the department disapproves the owner or operator's request to reduce the frequency of reporting, the department shall notify the owner or operator in writing within 45 days after receiving notice of the owner or operator's intention. The notification from the department to the owner or operator shall specify the grounds on which the disapproval is based. In the absence of a notice of disapproval within 45 days, approval is automatically granted.

4. As soon as continuous monitoring system data indicate that the source is not in compliance with any emission limitation or operating parameter specified in the relevant standard, the frequency of reporting shall revert to the frequency specified in the relevant standard, and the owner or operator shall submit an excess emissions and continuous monitoring system performance report and summary report for the noncomplying emission points at the next appropriate reporting period following the noncomplying event. After demonstrating ongoing compliance with the relevant standard for another full year, the owner or operator may again request approval from the department to reduce the frequency of reporting for that standard, as provided for in subds. 2. and 3.

5. All excess emissions and monitoring system performance reports and all summary reports, if required, shall be delivered or postmarked by the 30th day following the end of each calendar half or quarter, as appropriate. Written reports of excess emissions or exceedances of process or control system parameters shall include all the information required in sub. (3) (a) 2. to 8., in s. NR 460.07(3) (g) and (h), and in the relevant standard, and they shall contain the name, title and signature of the responsible official who is certifying the accuracy of the report. When no excess emissions or exceedances of a parameter have occurred, or a continuous monitoring system has not been inoperative, out of control, repaired or adjusted, this information shall be stated in the report.

6. As required under subds. 7. and 8., one summary report shall be submitted for the hazardous air pollutants monitored at each affected source, unless the relevant standard specifies that more than one summary report is required, such as one summary report for each hazardous air pollutant monitored. The summary report shall be entitled "Summary Report - Gaseous and Opacity Excess Emission and Continuous Monitoring System Performance" and shall contain all of the following information:

a. The company name and address of the affected source.

b. An identification of each hazardous air pollutant monitored at the affected source.

c. The beginning and ending dates of the reporting period.

d. A brief description of the process units.

e. The emission and operating parameter limitations specified in the relevant standards.

f. The monitoring equipment manufacturers and model numbers.

g. The date of the latest continuous monitoring system certification or audit.

h. The total operating time of the affected source during the reporting period.

i. An emission data summary, or similar summary if the owner or operator monitors control system parameters, including the total duration of excess emissions during the reporting period, recorded in minutes for opacity and hours for gases, the total duration of excess emissions expressed as a percent of the total source operating time during that reporting period, and a breakdown of the total duration of excess emissions during the reporting period into those that are due to startup or shutdown, control equipment problems, process problems, other known causes, and other unknown causes.

j. A continuous monitoring system performance summary, or similar summary if the owner or operator monitors control system parameters, including the total continuous monitoring system downtime during the reporting period, recorded in minutes for opacity and hours for gases, the total duration of continuous monitoring system downtime expressed as a percent of the total source operating time during that reporting period, and a breakdown of the total continuous monitoring system downtime during the reporting period into periods that are due to monitoring equipment malfunctions, nonmonitoring equipment malfunctions, quality assurance/quality control calibrations, other known causes, and other unknown causes.

k. A description of any changes in continuous monitoring system, processes or controls since the last reporting period.

L. The name, title and signature of the responsible official who is certifying the accuracy of the report.

m. The date of the report.

7. If the total duration of excess emissions or process or control system parameter exceedances for the reporting period is less than one percent of the total operating time for the reporting period, and continuous monitoring system downtime for the reporting period is less than 5% of the total operating time for the reporting period, only the summary report shall be submitted, and the full excess emissions and continuous monitoring system performance report need not be submitted unless required by the department.

8. If the total duration of excess emissions or process or control system parameter exceedances for the reporting period is one percent or greater of the total operating time for the reporting period, or the total continuous monitoring system downtime for the reporting period is 5% or greater of the total operating time for the reporting period, both the summary report and the excess emissions and continuous monitoring system performance report shall be submitted.

(d) Reporting continuous opacity monitoring system data produced during a performance test. The owner or operator of an affected source required to use a continuous opacity monitoring system shall record the monitoring data produced during a performance test required under s. NR 460.06 and shall furnish the department a written report of the monitoring results. The report of continuous opacity monitoring system data shall be submitted simultaneously with the report of the performance test results required in sub. (4) (b).

(6) WAIVER OF RECORDKEEPING OR REPORTING REQUIREMENTS.

(a) Until a waiver of a recordkeeping or reporting requirement has been granted by the administrator or the department under this subsection, the owner or operator of an affected source remains subject to the requirements of this section.

Note: Under 40 CFR 63.91(g) only EPA can approve major changes to recordkeeping and reporting requirements.

(b) Recordkeeping or reporting requirements may be waived upon written application to the administrator or, for minor changes, the department if the affected source is achieving the relevant standards, or the source is operating under a compliance date extension, or the owner or operator has requested a compliance date extension and the department is still considering that request.

(c) If an application for a waiver of recordkeeping or reporting is made for a minor change to recordkeeping or reporting, the application shall accompany the request for a compliance date extension under s. NR 460.05(7), any required compliance progress report or compliance status report required under 40 CFR part 63 or chs. NR 460 to 469 or in the source's part 70 permit, or an excess emissions and continuous monitoring system performance report required under sub. (5), whichever is applicable. The application shall include whatever information the owner or operator considers useful to convince the department that a waiver of recordkeeping or reporting is warranted.

(d) The department shall approve or deny a request for a minor waiver of recordkeeping or reporting requirements under this subsection when it does whichever of the following is applicable:

1. Approves or denies a compliance date extension.

2. Makes a determination of compliance following the submission of a required compliance status report or excess emissions and continuous monitoring systems performance report.

3. Makes a determination of suitable progress towards compliance following the submission of a compliance progress report.

(e) A waiver of any recordkeeping or reporting requirement granted under this subsection may be conditioned on other recordkeeping or reporting requirements deemed necessary by the department.

(f) Approval of any waiver granted under this section will not abrogate the department's authority or in any way prohibit the department from later canceling the waiver. The cancellation will be made only after notice is given to the owner or operator of the affected source.

(Cr. Register, March, 1997, No. 495, eff. 4-1-97; CR 00-175: renum. (2) (b) 7. to be (2) (b) 7. (intro.), cr. (2) (b) 7. a. to c., r. (5) (c) 1. c., am. (6) (a) to (d) (intro.) Register March 2002 No. 555, eff. 4-1-02; correction in (4) (c) made under s. 13.93(2m) (b) 7, Stats., Register March 2002 No. 555; CR 05-039: am. (2) (b) 2. to 5., (c), (4) (a), (e) 1. and 2., cr. (5) (c) 1. c. Register February 2006 No. 602, eff. 3-1-06; CR 07-105: am. (2) (b) 1., 2., 5., (4) (e) 1. and 2., renum. (2) (b) 4. to be (2) (b) 4. a. and am., cr. (2) (b) 4. b. Register December 2008 No. 636, eff. 1-1-09.)

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