Wisconsin Administrative Code
Department of Natural Resources
NR 400-499 - Environmental Protection - Air Pollution Control
Chapter NR 460 - Emission Standards For Hazardous Air Pollutants For Source Categories-General Provisions
Section NR 460.09 - Recordkeeping and reporting requirements
Universal Citation: WI Admin Code ยง NR 460.09
Current through August 26, 2024
(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.
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