Title 40
SECTION 75.73
75.73 Recordkeeping and reporting.
§ 75.73 Recordkeeping and reporting.(a) General recordkeeping provisions. The owner or operator of any affected unit shall maintain for each affected unit and each non-affected unit under § 75.72(b)(2)(ii) a file of all measurements, data, reports, and other information required by this part at the source in a form suitable for inspection for at least three (3) years from the date of each record. Except for the certification data required in § 75.57(a)(4) and the initial submission of the monitoring plan required in § 75.57(a)(5), the data shall be collected beginning with the earlier of the date of provisional certification or the compliance deadline in § 75.70(b). The certification data required in § 75.57(a)(4) shall be collected beginning with the date of the first certification test performed. The file shall contain the following information:
(1) The information required in §§ 75.57(a)(2), (a)(4), (a)(5), (a)(6), (b), (c)(2), (d), (g), and (h).
(2) The information required in §§ 75.58(b)(2) or (b)(3) (for units with add-on NOX emission controls), as applicable, (d) (as applicable for units using Appendix E to this part), and (f) (as applicable for units using the low mass emissions unit provisions of § 75.19).
(3) For each hour when the unit is operating, NOX mass emissions, calculated in accordance with section 8.1 of appendix F to this part.
(4) During the second and third calendar quarters, cumulative ozone season heat input and cumulative ozone season operating hours.
(5) Heat input and NOX methodologies for the hour.
(6) Specific heat input record provisions for gas-fired or oil-fired units using the procedures in appendix D to this part. In lieu of the information required in § 75.57(c)(2), the owner or operator shall record the information in § 75.58(c) for each affected gas-fired or oil-fired unit and each non-affected gas- or oil-fired unit under § 75.72(b)(2)(ii) for which the owner or operator is using the procedures in appendix D to this part for estimating heat input.
(7) Specific NOX record provisions for gas-fired or oil-fired units using the optional low mass emissions excepted methodology in § 75.19. In lieu of recording the information in §§ 75.57(b), (c)(2), (d), and (g), the owner or operator shall record, for each hour when the unit is operating for any portion of the hour, the following information for each affected low mass emissions unit for which the owner or operator is using the low mass emissions excepted methodology in § 75.19(c):
(i) Date and hour;
(ii) If one type of fuel is combusted in the hour, fuel type (pipeline natural gas, natural gas, residual oil, or diesel fuel) or, if more than one type of fuel is combusted in the hour, the fuel type which results in the highest emission factors for NOX;
(iii) Average hourly NOX emission rate (in lb/mmBtu, rounded to the nearest thousandth); and
(iv) Hourly NOX mass emissions (in lbs, rounded to the nearest tenth).
(8) Formulas from monitoring plan for total NOX mass.
(b) Certification, quality assurance and quality control record provisions. The owner or operator of any affected unit shall record the applicable information in § 75.59 for each affected unit or group of units monitored at a common stack and each non-affected unit under § 75.72(b)(2)(ii).
(c) Monitoring plan recordkeeping provisions - (1) General provisions. The owner or operator of an affected unit shall prepare and maintain a monitoring plan for each affected unit or group of units monitored at a common stack and each non-affected unit under § 75.72(b)(2)(ii). Except as provided in paragraph (d) or (f) of this section, a monitoring plan shall contain sufficient information on the continuous emission monitoring systems, excepted methodology under § 75.19, or excepted monitoring systems under appendix D or E to this part and the use of data derived from these systems to demonstrate that all the unit's NoX emissions are monitored and reported.
(2) Whenever the owner or operator makes a replacement, modification, or change in the certified continuous emission monitoring system, excepted methodology under § 75.19, excepted monitoring system under appendix D or E to this part, or alternative monitoring system under subpart E of this part, including a change in the automated data acquisition and handling system or in the flue gas handling system, that affects information reported in the monitoring plan (e.g., a change to a serial number for a component of a monitoring system), then the owner or operator shall update the monitoring plan.
(3) Contents of the monitoring plan for units not subject to an Acid Rain emissions limitation. Prior to January 1, 2009, each monitoring plan shall contain the information in § 75.53(e)(1) or § 75.53(g)(1) in electronic format and the information in § 75.53(e)(2) or § 75.53(g)(2) in hardcopy format. On and after January 1, 2009, each monitoring plan shall contain the information in § 75.53(g)(1) in electronic format and the information in § 75.53(g)(2) in hardcopy format, only. In addition, to the extent applicable, prior to January 1, 2009, each monitoring plan shall contain the information in § 75.53(f)(1)(i), (f)(2)(i), and (f)(4) or § 75.53(h)(1)(i), and (h)(2)(i) in electronic format and the information in § 75.53(f)(1)(ii) and (f)(2)(ii) or § 75.53(h)(1)(ii) and (h)(2)(ii) in hardcopy format. On and after January 1, 2009, each monitoring plan shall contain the information in § 75.53(h)(1)(i), and (h)(2)(i) in electronic format and the information in § 75.53(h)(1)(ii) and (h)(2)(ii) in hardcopy format, only. For units using the low mass emissions excepted methodology under § 75.19, prior to January 1, 2009, the monitoring plan shall include the additional information in § 75.53(f)(5)(i) and (f)(5)(ii) or § 75.53(h)(4)(i) and (h)(4)(ii). On and after January 1, 2009, for units using the low mass emissions excepted methodology under § 75.19 the monitoring plan shall include the additional information in § 75.53(h)(4)(i) and (h)(4)(ii), only. Prior to January 1, 2008, the monitoring plan shall also identify, in electronic format, the reporting schedule for the affected unit (ozone season or quarterly), and the beginning and end dates for the reporting schedule. The monitoring plan also shall include a seasonal controls indicator, and an ozone season fuel-switching flag.
(d) General reporting provisions. (1) The designated representative for an affected unit shall comply with all reporting requirements in this section and with any additional requirements set forth in an applicable State or federal NOX mass emission reduction program that adopts the requirements of this subpart.
(2) The designated representative for an affected unit shall submit the following for each affected unit or group of units monitored at a common stack and each non-affected unit under § 75.72(b)(2)(ii):
(i) Initial certification and recertification applications in accordance with § 75.70(d);
(ii) Monitoring plans in accordance with paragraph (e) of this section; and
(iii) Quarterly reports in accordance with paragraph (f) of this section.
(3) Other petitions and communications. The designated representative for an affected unit shall submit petitions, correspondence, application forms, and petition-related test results in accordance with the provisions in § 75.70(h).
(4) Quality assurance RATA reports. If requested by the permitting authority, the designated representative of an affected unit shall submit the quality assurance RATA report for each affected unit or group of units monitored at a common stack and each non-affected unit under § 75.72(b)(2)(ii) by the later of 45 days after completing a quality assurance RATA according to section 2.3 of appendix B to this part or 15 days of receiving the request. The designated representative shall report the hardcopy information required by § 75.59(a)(9) to the permitting authority.
(5) Notifications. The designated representative for an affected unit shall submit written notice to the permitting authority according to the provisions in § 75.61 for each affected unit or group of units monitored at a common stack and each non-affected unit under § 75.72(b)(2)(ii).
(6) Routine appendix E retest reports. If requested by the applicable EPA Regional Office, appropriate State, and/or appropriate local air pollution control agency, the designated representative shall submit a hardcopy report within 45 days after completing a required periodic retest according to section 2.2 of appendix E to this part, or within 15 days of receiving the request, whichever is later. The designated representative shall report the hardcopy information required by § 75.59(b)(5) to the applicable EPA Regional Office, appropriate State, and/or appropriate local air pollution control agency that requested the hardcopy report.
(e) Monitoring plan reporting - (1) Electronic submission. The designated representative for an affected unit shall submit to the Administrator a complete, electronic, up-to-date monitoring plan file for each affected unit or group of units monitored at a common stack and each non-affected unit under § 75.72(b)(2)(ii), no later than 21 days prior to the initial certification test; at the time of a certification or recertification application submission; and whenever an update of the electronic monitoring plan is required, either under § 75.53 or elsewhere in this part.
(2) Hardcopy submission. The designated representative of an affected unit shall submit all of the hardcopy information required under § 75.53, for each affected unit or group of units monitored at a common stack and each non-affected unit under § 75.72(b)(2)(ii), to the permitting authority prior to initial certification. Thereafter, the designated representative shall submit hardcopy information only if that portion of the monitoring plan is revised. The designated representative shall submit the required hardcopy information as follows: no later than 21 days prior to the initial certification test; with any certification or recertification application, if a hardcopy monitoring plan change is associated with the recertification event; and within 30 days of any other event with which a hardcopy monitoring plan change is associated, pursuant to § 75.53(b). Electronic submittal of all monitoring plan information, including hardcopy portions, is permissible provided that a paper copy of the hardcopy portions can be furnished upon request.
(f) Quarterly reports - (1) Electronic submission. The designated representative for an affected unit shall electronically report the data and information in this paragraph (f)(1) and in paragraphs (f)(2) and (3) of this section to the Administrator quarterly, unless the unit has been placed in long-term cold storage (as defined in § 72.2 of this chapter). For units placed into long-term cold storage during a reporting quarter, the exemption from submitting quarterly reports begins with the calendar quarter following the date that the unit is placed into long-term cold storage. In such cases, the owner or operator shall submit quarterly reports for the unit beginning with the data from the quarter in which the unit recommences operation (where the initial quarterly report contains hourly data beginning with the first hour of recommenced operation of the unit). Each electronic report must be submitted to the Administrator within 30 days following the end of each calendar quarter. Except as otherwise provided in § 75.64(a)(4) and (a)(5), each electronic report shall include the information provided in paragraphs (f)(1)(i) through (1)(vi) of this section, and shall also include the date of report generation. Prior to January 1, 2009, each report shall include the facility information provided in paragraphs (f)(1)(i)(A) and (B) of this section, for each affected unit or group of units monitored at a common stack. On and after January 1, 2009, only the facility identification information provided in paragraph (f)(1)(i)(A) of this section is required.
(i) Facility information:
(A) Identification, including:
(1) Facility/ORISPL number;
(2) Calendar quarter and year data contained in the report; and
(3) Electronic data reporting format version used for the report.
(B) Location of facility, including:
(1) Plant name and facility identification code;
(2) EPA AIRS facility system identification code;
(3) State facility identification code;
(4) Source category/type;
(5) Primary SIC code;
(6) State postal abbreviation;
(7) FIPS county code; and
(8) Latitude and longitude.
(ii) The information and hourly data required in paragraphs (a) and (b) of this section, except for:
(A) Descriptions of adjustments, corrective action, and maintenance;
(B) Information which is incompatible with electronic reporting (e.g., field data sheets, lab analyses, quality control plan);
(C) For units with NOX add-on emission controls that do not elect to use the approved site-specific parametric monitoring procedures for calculation of substitute data, the information in § 75.58(b)(3);
(D) Information required by § 75.57(h) concerning the causes of any missing data periods and the actions taken to cure such causes;
(E) Hardcopy monitoring plan information required by § 75.53 and hardcopy test data and results required by § 75.59;
(F) Records of flow polynomial equations and numerical values required by § 75.59(a)(5)(vi);
(G) Daily fuel sampling information required by § 75.58(c)(3)(i) for units using assumed values under appendix D;
(H) Information required by § 75.59(b)(2) concerning transmitter or transducer accuracy tests;
(I) Stratification test results required as part of the RATA supplementary records under § 75.59(a)(7);
(J) Data and results of RATAs that are aborted or invalidated due to problems with the reference method or operational problems with the unit and data and results of linearity checks that are aborted or invalidated due to operational problems with the unit; and
(K) Supplementary RATA information required under § 75.59(a)(7), except that:
(1) The applicable data elements under § 75.59(a)(7)(ii)(A) through (T) and under § 75.59(a)(7)(iii)(A) through (M) shall be reported for flow RATAs at circular or rectangular stacks (or ducts) in which angular compensation for yaw and/or pitch angles is used (i.e., Method 2F or 2G in appendices A-1 and A-2 to part 60 of this chapter), with or without wall effects adjustments;
(2) The applicable data elements under § 75.59(a)(7)(ii)(A) through (T) and under § 75.59(a)(7)(iii)(A) through (M) shall be reported for any flow RATA run at a circular stack in which Method 2 in appendices A-1 and A-2 to part 60 of this chapter is used and a wall effects adjustment factor is determined by direct measurement;
(3) The data under § 75.59(a)(7)(ii)(T) shall be reported for all flow RATAs at circular stacks in which Method 2 in appendices A-1 and A-2 to part 60 of this chapter is used and a default wall effects adjustment factor is applied; and
(4) The data under § 75.59(a)(7)(ix)(A) through (F) shall be reported for all flow RATAs at rectangular stacks or ducts in which Method 2 in appendices A-1 and A-2 to part 60 of this chapter is used and a wall effects adjustment factor is applied.
(iii) Average NOX emission rate (lb/mmBtu, rounded to the nearest thousandth) during the quarter and cumulative NOX emission rate for the calendar year.
(iv) Tons of NOX emitted during quarter, cumulative tons of NOX emitted during the year, and, during the second and third calendar quarters, cumulative tons of NOX emitted during the ozone season.
(v) During the second and third calendar quarters, cumulative heat input for the ozone season.
(vi) Unit or stack or common pipe header operating hours for quarter, cumulative unit, stack or common pipe header operating hours for calendar year, and, during the second and third calendar quarters, cumulative operating hours during the ozone season.
(vii) Reporting period heat input.
(viii) New reporting frequency and begin date of the new reporting frequency (if applicable).
(2) The designated representative shall certify that the component and system identification codes and formulas in the quarterly electronic reports submitted to the Administrator pursuant to paragraph (e) of this section represent current operating conditions.
(3) Compliance certification. The designated representative shall submit and sign a compliance certification in support of each quarterly emissions monitoring report based on reasonable inquiry of those persons with primary responsibility for ensuring that all of the unit's emissions are correctly and fully monitored. The certification shall state that:
(i) The monitoring data submitted were recorded in accordance with the applicable requirements of this part, including the quality assurance procedures and specifications; and
(ii) With regard to a unit with add-on emission controls and for all hours where data are substituted in accordance with § 75.34(a)(1), the add-on emission controls were operating within the range of parameters listed in the monitoring plan and the substitute values do not systematically underestimate NOX emissions.
(4) The designated representative shall comply with all of the quarterly reporting requirements in §§ 75.64(d), (f), and (g).
[64 FR 28624, May 26, 1999, as amended at 67 FR 40446, June 12, 2002; 73 FR 4359, Jan. 24, 2008]