AIR POLLUTION CONTROL BOARD
DEPARTMENT OF ENVIRONMENTAL MANAGEMENT
POLICY NUMBER: AIR-007-NPD-R2
SUBJECT: Guidelines for Submittal and Review of Annual Compliance Certifications under the Federally Enforceable State Operating Permit (FESOP) and Part 70 Permit Programs
AUTHORIZED: Daniel Murray, Assistant Commissioner, Office of Air Quality; and Phil Perry, Branch Chief, Compliance Branch, Office of Air Quality
SUPERSEDES: AIR 007 NPD; AIR 007 NPD R1
ISSUING OFFICE(S): Office of Air Quality, Compliance Branch
ORIGINALLY EFFECTIVE: March 6, 1997
RENEWED/REVISED: September 6, 2002; October 31, 2008
Disclaimer: This Nonrule Policy Document (NPD) is intended solely as guidance and does not have the effect of law or represent formal Indiana Department of Environmental Management (IDEM) decisions or final actions. This NPD shall be used in conjunction with applicable laws. It does not replace applicable laws, and, if it conflicts with these laws, the laws shall control. This NPD may be put into effect by IDEM 30 days after presentation to the appropriate state environmental board. Under
IC 13-14-1-11.5, this policy will be available for public inspection for at least 45 days prior to presentation to the appropriate board. If the nonrule policy is presented to more than one state environmental board, it will be effective 30 days after presentation to the last board. IDEM will submit the policy to the Indiana Register for publication. Revisions to the policy will follow the same procedure of presentation to the state environmental board and publication.
IDEM will begin using this revised NPD in reviewing annual compliance certifications submitted after the effective date of this nonrule policy until such time as the NPD is revised.
This NPD outlines the procedures for the FESOP and Part 70 permittees for the annual compliance certification submittal and review requirements under
326 IAC 2-7-5,
326 IAC 2-7-6(5)(C), and
326 IAC 2-8-5(a)(1)(C).
"Authorized individual"- for FESOP requirements pursuant to 326 IAC 2-1.1-1(1) - means an individual responsible for the overall operation of one or more manufacturing, production, or operating plants or a duly authorized representative of such person. For any public agency, the term means either a ranking elected official, the chief executive officer, or a designated representative of such person having responsibility for the overall operations of a principal geographic unit of the agency. The definition of an "authorized individual" is similar to that of a "responsible official", except that the definition of authorized individual is not as narrow. IDEM expects that the authorized individual would have a similar level of control as a responsible official, but the definition could include health and safety managers and others.
"Continuous compliance (CC)" – The compliance status when a source has no deviations, irrespective of the monitoring frequency, for the relevant permit term or condition during the reporting period.
"Deviation" - An exceedance of a permit limitation or a failure to comply with a requirement of the permit, including exceedances during an emergency. Deviations would include not taking a required action, such as the failure to conduct specified compliance monitoring, to take a response step or to maintain proper records, or exceeding a permit limitation for a specified pollutant.
"Intermittent Compliance (IC)" – The compliance status when a source has a deviation for the relevant permit term or condition during part or all of the reporting period.
"Methods" - One of the items that are required as part of an annual compliance certification is the identification of the "methods or means" used to determine the compliance status with each permit term or condition. The following is a list of standard monitoring methods and abbreviations that may be used to complete the annual compliance certification.
• Continuous emission monitoring system = CEMS
• Continuous opacity monitoring system = COMS
• Parametric monitoring = PM
• Other = O (specify in the Comments column)
"Responsible official"- for Part 70 requirements pursuant to 326 IAC 2-7-1(34) means the following:
(A) For a corporation:
(i) a president;
(ii) a secretary;
(iii) a treasurer;
(iv) a vice president of the corporation in charge of a principal business function;
(v) any other person who performs similar policy or decision making functions for the corporation; or
(vi) a duly authorized representative of any person listed in this clause if the representative is responsible for the overall operation of one (1) or more manufacturing, production, or operating facilities applying for or subject to a Part 70 permit and either:
(AA) the facilities employ more than two hundred fifty (250) persons or have gross annual sales or expenditures exceeding twenty-five million dollars ($25,000,000) (in second quarter 1980 dollars); or
(BB) the delegation of authority to such representative is approved in advance by the commissioner.
(B) For a partnership or sole proprietorship: a general partner or the proprietor, respectively.
(C) For a municipality, state, federal, or other public agency: either a principal executive officer or ranking elected official. As used in this clause, "principal executive officer of a federal agency" includes the chief executive officer having responsibility for the overall operations of a principal geographic unit of the agency, for example, a regional administrator of the U.S. EPA.
(D) For affected sources:
(i) The designated representative for actions, standards, requirements, or prohibitions under Title IV of the CAA or the regulations promulgated thereunder; and
(ii) The designated representative for any other purposes under a Part 70 permit.
An example of a responsible official or duly authorized representative would be a plant or site manager that is responsible for the overall operation of a manufacturing plant. Examples of individuals that do not meet the criteria include environmental consultants or environmental managers, human resource directors and safety coordinators that are not responsible for the overall operation of a plant.
Non-IDEM parties
"Authorized Individual" - Certifies the Annual Compliance Certification required by a FESOP permit.
"Responsible Official" - Certifies the Annual Compliance Certification, required by a Part 70 permit.
General Requirements
A. The Annual Compliance Certification (ACC) must be submitted by the date identified in the permit as follows:
• Part 70 (Title V) sources must submit the ACC to IDEM, U.S. EPA, Region 5, and the local air pollution control agency, where appropriate.
• FESOP sources must submit the ACC to IDEM and the local air pollution control agency, where appropriate.
The submittal dates are April 15 or July 1 and the ACC must be postmarked, have a shipping date on a sender's receipt from a common carrier or be hand delivered as of these dates. Refer to the permit to determine the specific submittal date and addresses.
B. The Annual Compliance Certification must cover the period from January 1 through December 31 of the year being reported, except for the first year of the permit. For the first year of the permit, the certification is to cover the period from the date the permit becomes effective until December 31 of that same year the permit became effective. The time period the ACC covers should be noted on the certification.
C. The Annual Compliance Certification must be signed by a responsible official as defined in
326 IAC 2-7-1(34) for Part 70 sources or authorized individual as defined in
326 IAC 2-1.1-1 for FESOP sources (See the Definitions section in this document); or must include the Part 70 or FESOP Certification Form that is in your permit. The certification on the ACC submitted to IDEM must contain an original signature and date.
D. The Annual Compliance Certification report is to include the following:
• Identification of whether compliance during the period was continuous or intermittent (See Definitions, and Sample page 1, check box (17)).
• In cases where there was not continuous compliance with all permit terms and conditions, the identification of the permit term(s) or condition(s) for which compliance was intermittent.
• The identification of the method(s) or other means used by the owner or operator for determining the compliance status.
• Such other facts as the permitting authority may require to determine the compliance status of the source.
E. Included with this NPD is a sample ACC form and guidelines for completion. Sources may create their own equivalent form for submittal as long as the required information outlined in this NPD and in applicable state and federal rules is included.
Permit amendments/modifications
The certification should be based on the source's compliance with all permit terms that existed during the reporting period, including those permit terms that were added, modified or deleted during the reporting period. Sources should be sure to review all of the permits in effect during the reporting period. The source should determine which requirements were replaced by permit amendments or permit modifications during the reporting period and certify its compliance status with all requirements that were effective during the reporting period. The comments field on the certification can be used to explain which term(s) was/were added, modified, or deleted during the reporting period in order to clarify the intermittent compliance.
Permit renewals
Sources may need to address permit renewals where the new permit is issued at some point during the year. Sources should be sure to review the original permit and renewed permit that is in effect during the reporting period as a starting point. Compliance with respect to both the original permit and the renewed permit issued during the reporting period must be described in the ACC in a manner similar to that described above for permit amendments and modifications. The ACC should be based on both permits that were in effect during the ACC reporting period and any intermittent compliance from those permits should be included in the ACC. In some cases, the source may wish to consult with IDEM about the proper way to address source specific situations.
Transfer of ownership and ACCs
In a situation where an owner transfers ownership or sells a source after December 31st, but prior to the ACC submittal deadline, IDEM suggests that the company buying the source require the seller to complete and submit the ACC prior to the sale, or at least, make sure the necessary information is available so the buyer can submit the ACC by the ACC submittal deadline. However, if the seller does not submit the ACC, the new owner would need to make the submission.
If a sale takes place after the submittal deadline or later in the year, the new owner will be responsible for submitting the ACC the following year. It is recommended that the new owner obtains the necessary information from the prior owner so that the ACC can be completed after the end of the year.
ACC Example
A completed example is attached at the end of the NPD. The example is included to show how the required information can be provided on the example ACC form to satisfy the annual compliance certification requirements. Each permit is different and each certification will be different because of the unique terms and conditions of the various permits.
Instructions for completing the ACC sample form
Source Information
(1) Source Name: Enter the name of the source for the time period covered by the ACC.
(2) Source Address: Enter the source's location address.
(3) City: Enter the city where the source is physically located.
(4) State: IN
(5) Zip Code: Enter the zip code for the physical address of the source.
(6) Mailing Address: If different from the location address, enter it here. Otherwise, leave blank.
(7) Mailing City: If different from the location city, enter it here. Otherwise, leave blank.
(8) Mailing State: If different from the location state, enter it here. Otherwise, leave blank.
(9) Mailing Zip Code: If different from the location zip code, enter it here. Otherwise, leave blank.
(10) Permit number: The 14 or 15 digit identification number for your Part 70 or FESOP permit. Include all permits, renewed permits, permit amendments, permit modifications that were in effect during the review period. Additional space is included in section (16) Comments if needed.
(11) Reporting Period: The time period covered by this annual compliance certification. Generally, this would be January 1, to December 31, of the previous calendar year.
(12) Contact Person: The person IDEM can contact if they have questions about information provided on this ACC. This person should be someone that is familiar with the plant and the Part 70 or FESOP permit. This may be an environmental manager or a consultant, but does not have to be the same person signing the certification.
(13) Email Address: The contact person's email address.
(14) Phone Number: The contact person's phone number.
(15) Fax Number: The contact person's fax number.
(16) Comments: May provide any additional comments. For example, if the owner or operator has submitted an administrative amendment or minor permit modification, but IDEM has not acted on the application, it is suggested that the date the application was submitted be noted here.
Source Compliance Information
(17) CHECK THE BOX NEXT TO EITHER (A) OR (B): Review compliance with each term and condition of your permit(s). Review the definitions of Continuous Compliance and Intermittent Compliance in the Definitions section of this document. Then certify compliance by checking the box next to either statement (A) or statement (B). If a deviation occurred during the reporting period, the source must certify Intermittent Compliance with statement (B).
(18) PERMIT TERMS FOR WHICH THERE WAS INTERMITTENT COMPLIANCE: If the box next to statement (17)(B) is checked, identify all permit terms for which intermittent compliance occurred during the reporting period for this ACC. This table can be used to identify the terms and conditions in Sections B, C, and D of your permit(s) for which deviations occurred during the reporting period. The Part 70 or FESOP permit Table of Contents can be used as a guide to include the condition number and description on the forms. It is not necessary to include the complete term or condition (see example).
There are some permit terms and conditions in Sections B and C whose compliance status may be dependent upon other terms and conditions in Sections D, E, etc. A source may clarify that intermittent compliance is associated with more than one permit term or condition by cross referencing the other term(s) or condition(s) in the "Report date/Comments" column.
For each of the term(s) and condition(s), that had deviations, the source should provide the information called for in the table. In any case, the source should review the permit terms and conditions carefully when completing the annual compliance certification to make sure the certification is accurate and addresses each relevant permit term and condition.
• If this information has been submitted to IDEM previously in a Quarterly Deviation and Compliance Monitoring Report, Emergency Report, or other required report, then the source should provide the date of that report in the column.
• If this information has not been submitted previously, then the source should attach the information to the certification. A copy of the Quarterly Deviation and Compliance Monitoring Report should be used to provide the information. If the deviation or emergency was reported previously, all that needs to be included is the date of the report in the "Report date/Comments" column.
Permit Term/Condition: For example D.1.10
Description of Permit Condition: You can use the description in your permit for this term or condition.
Method Codes: The methods by which compliance was determined. See the end of the Sample form or the Definitions section for the list of codes.
Report Date/Comments: The owner operator should identify where more detailed information about the deviations that led to the intermittent compliance can be found, such as date and type of the periodic report on which a deviation was previously reported. (Example: Quarterly Deviation and Compliance Monitoring Report)
It should be noted that the identification of a deviation does not mean an enforcement action will be initiated. A determination of whether an enforcement action will be initiated can only be made after review and analysis of the data collected from the required monitoring, reports of deviations and any other credible evidence. If a source has identified a deviation during the reporting period, a source cannot certify continuous compliance for the relevant permit term or condition.
Certification
The signature block in this section must be executed, or if required by your permit, the Part 70 or FESOP Certification Form that is included in your permit must be executed and attached. The Responsible Official or Authorized Individual as defined in the Definitions section of this document must sign and complete the certification. A Responsible Official must sign the certification for Part 70 or Title V sources. An Authorized Individual must sign the certification for FESOP sources.
Consistent with Part 6.1.7 of the Agency Policy, SOP, and QAPP Documentation Policy: The policy shall be authorized by the appropriate tiers of management, and "shall include a signature line for the Agency QA Manager(s) to signify the policy meets Agency format standards."
EXAMPLE: PART 70 / FESOP PERMIT- ANNUAL COMPLIANCE CERTIFICATION
SAMPLE: PART 70 / FESOP PERMIT- ANNUAL COMPLIANCE CERTIFICATION
INDIANA DEPARTMENT OF ENVIRONMENTAL MANAGEMENT
Indianapolis, IN 46204-2251
EXAMPLE
PART 70 / FESOP PERMIT- ANNUAL COMPLIANCE CERTIFICATION
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| SOURCE INFORMATION |
| (1) Source name: | Blue Ox Woodworks, Inc. |
| (2) Source address: | 1234 N. Main Street |
| (3) City: | Greentown | (4) State: | IN | (5) Zip code: | 47345 |
| (6) Mailing address: (if different from above) | |
| (7) Mailing City: | | (8) Mailing State: | | (9) Mailing Zip code: | |
| (10) Permit numbers: | T000-0000-00000, T000-0001-00000 | (11) Reporting Period: | 1/1/05 – 12/31/05 |
| (12) Contact person: | John Smith | (13) Email Address: | jsmith@aaa.aaa |
| (14) Phone number: | (317) 555-5678 | (15) Fax number: | (317) 555-5677 |
| (16) Comments: Significant Source Modification Issued 3/15/06. |
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| SOURCE COMPLIANCE INFORMATION |
| (17) CHECK THE BOX NEXT TO EITHER (A) OR (B) BELOW. (The terms "continuous compliance" and "intermittent compliance" are defined on the Definitions page). | |
| (A) This source was in CONTINUOUS COMPLIANCE with all of the permit terms and conditions that impose a work practice or emission standard or requires performance testing, monitoring, record keeping or reporting based on the monitoring methods in the permit. | |
| (B) This source was in CONTINUOUS COMPLIANCE with all of the permit terms and conditions that impose a work practice or emission standard or requires performance testing, monitoring, record keeping or reporting based on the monitoring methods in the permit, except for the terms and conditions listed in the following table for which the source reported intermittent compliance. | X |
| IMPORTANT: If you select option (B), you must complete the following table in which you list any permit terms for which compliance was intermittent during the permit for the reporting period covered by this Compliance Certification. |
(18) PERMIT TERMS FOR WHICH COMPLIANCE WAS INTERMITTENT
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| Source Name: Blue Ox Woodworks, Inc. | Source Permit Number: T000-0000-00000 |
| Permit Term/ Condition | Description of Permit Condition | *Method Codes | Report Date/Comments |
| B.10 | Quarterly Report | RR | Submitted January 15, 2005 |
| C.2 | Opacity | VE | 7/17/05, Emergency Occurrence Report |
| D.1.1 | Volatile Organic Compounds (VOC) | WP | 4/15/05, Deviation report attached |
| D.1.8 | Record Keeping Requirements | RK | Pressure drop records were not kept during 10 days of operation due to individual being on vacation. Environmental Management System (EMS) reviewed and revised on 12/15/05 to include backup personnel when staff is not available. See attached revision to EMS and Quarterly Deviation and Compliance Monitoring Report. |
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(18) PERMIT TERMS FOR WHICH COMPLIANCE WAS INTERMITTENT (Continued) – Attach additional sheets if necessary
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| Source Name: Blue Ox Woodworks, Inc. | Source Permit Number: T000-0000-00000 |
| Permit Term/ Condition | Description of Permit Condition | *Method Codes | Report Date/Comments |
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Monitoring methods: CEMS = continuous emissions monitoring system; COMS = continuous opacity monitoring system; ST = stack test;
VE = visible emissions; RK = record keeping; RR = review of records; MB = mass balance; EF = emissions factor; Insp = inspections; FA = fuel analysis; WP = work practice; PM = parametric monitoring; Calc = calculations; O = other (specify in Comments)
For Part 70 sources: The submittal by the Permittee requires the certification by the "responsible official" as defined by
326 IAC 2-7-1(34).
For FESOP sources: The notification which shall be submitted by the Permittee requires the certification by the "authorized individual" as defined by
326 IAC 2-1.
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| I certify that, based on information and belief formed after reasonable inquiry, the statements and information in the document are true, accurate, and complete. |
| Signature: | Sam R. Jones | Title/Position: | Vice President |
| Printed Name: | Sam R. Jones | Date: | 4/13/06 |
| Phone number: | (317) 555-1234 | Email Address: | sjones@aaa.aaa |
PLEASE NOTE: YOU MUST EITHER SIGN THIS FORM
OR
ATTACH THE CERTIFICATION FORM INCLUDED IN YOUR PERMIT.
INDIANA DEPARTMENT OF ENVIRONMENTAL MANAGEMENT
Indianapolis, IN 46204-2251
SAMPLE
PART 70 / FESOP PERMIT- ANNUAL COMPLIANCE CERTIFICATION
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| SOURCE INFORMATION |
| (1) Source name: | |
| (2) Source address: | |
| (3) City: | | (4) State: | | (5) Zip code: | |
| (6) Mailing address: (if different from above) | |
| (7) Mailing City: | | (8) Mailing State: | | (9) Mailing Zip code: | |
| (10) Permit numbers: | | (11) Reporting Period: | |
| (12) Contact person: | | (13) Email Address: | |
| (14) Phone number: | | (15) Fax number: | |
| (16) Comments: |
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| SOURCE COMPLIANCE INFORMATION |
| (17) CHECK THE BOX NEXT TO EITHER (A) OR (B) BELOW. (The terms "continuous compliance" and "intermittent compliance" are defined on the Definitions page). | |
| (A) This source was in CONTINUOUS COMPLIANCE with all of the permit terms and conditions that impose a work practice or emission standard or requires performance testing, monitoring, record keeping or reporting based on the monitoring methods in the permit. | |
| (B) This source was in CONTINUOUS COMPLIANCE with all of the permit terms and conditions that impose a work practice or emission standard or requires performance testing, monitoring, record keeping or reporting based on the monitoring methods in the permit, except for the terms and conditions listed in the following table for which the source reported intermittent compliance. | |
| IMPORTANT: If you select option (B), you must complete the following table in which you list any permit terms for which compliance was intermittent during the permit for the reporting period covered by this Compliance Certification. |
(18) PERMIT TERMS FOR WHICH COMPLIANCE WAS INTERMITTENT
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| Source Name: | Source Permit Number: |
| Permit Term/ Condition | Description of Permit Condition | *Method Codes | Report Date/Comments |
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(18) PERMIT TERMS FOR WHICH COMPLIANCE WAS INTERMITTENT (Continued) – Attach additional sheets if necessary
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| Source Name: | Source Permit Number: |
| Permit Term/ Condition | Description of Permit Condition | *Method Codes | Report Date/Comments |
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Monitoring methods: CEMS = continuous emissions monitoring system; COMS = continuous opacity monitoring system; ST = stack test;
VE = visible emissions; RK = record keeping; RR = review of records; MB = mass balance; EF = emissions factor; Insp = inspections; FA = fuel analysis; WP = work practice; PM = parametric monitoring; Calc = calculations; O = other (specify in Comments)
For Part 70 sources: The submittal by the Permittee requires the certification by the "responsible official" as defined by
326 IAC 2-7-1(34).
For FESOP sources: The notification which shall be submitted by the Permittee requires the certification by the "authorized individual" as defined by
326 IAC 2-1.1-1(1).
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| I certify that, based on information and belief formed after reasonable inquiry, the statements and information in the document are true, accurate, and complete. |
| Signature: | | Title/Position: | |
| Printed Name: | | Date: | |
| Phone number: | | Email Address: | |
PLEASE NOTE: YOU MUST EITHER SIGN THIS FORM
OR
ATTACH THE CERTIFICATION FORM INCLUDED IN YOUR PERMIT.
Posted: 11/12/2008 by Legislative Services Agency
DIN: 20081112-IR-326080830NRA
Composed: May 03,2024 6:18:51AM EDT
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