-IR- Database Guide
-IR- Database: Indiana Register

AIR POLLUTION CONTROL BOARD

DEPARTMENT OF ENVIRONMENTAL MANAGEMENT


STATUS: Effective
POLICY NUMBER: Air-007-NPD-R3
SUBJECT: Guidelines for Submittal and Review of Annual Compliance Certifications under the Federally Enforceable State Operating Permit and Part 70 Permit Programs
AUTHORIZED: Brian Rockensuess, Commissioner
SUPERSEDES: AIR 007 NPD; AIR 007 NPD R1; AIR-007-NPD-R2
ISSUING OFFICE(S): Office of Air Quality, Compliance Branch
ORIGINALLY EFFECTIVE: March 6, 1997
RENEWED/REVISED: September 6, 2002; October 31, 2008; December 9, 2021

Disclaimer: This Nonrule Policy Document (NPD) is being established by the Indiana Department of Environmental Management (IDEM) consistent with its authority under IC 13-14-1-11.5. It is intended solely to provide guidance and shall be used in conjunction with applicable rules or laws. It does not replace applicable rules and laws, and if it conflicts with these rules or laws, the rules or laws shall control. IDEM will submit the policy to the Indiana Register for publication.

1.0 PURPOSE

Guidelines for IDEM Federally Enforceable State Operating Permit (FESOP) and Part 70 permittees for the annual compliance certification (ACC) 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).

2.0 SCOPE

IDEM will begin using this revised nonrule policy document in reviewing ACC submitted after the effective date of this nonrule policy until such time as the nonrule policy document is revised.

3.0 SUMMARY

This nonrule policy document outlines the procedures for the FESOP and Part 70 permittees for the ACC 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).

4.0 DEFINITIONS

4.1. "Authorized individual or FESOP requirements pursuant to 326 IAC 2-1.1-1(1)" – 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 "responsible official", except the definition of authorized individual is not as narrow. IDEM expects 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.

4.2. "Continuous compliance (CC)" – In order to certify continuous compliance, a source must have no deviations, irrespective of the monitoring frequency, for the relevant permit term or condition during the reporting period. If a source has identified a deviation during the reporting period, a source cannot certify continuous compliance for the relevant permit term or condition.

4.3. "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, to maintain proper records, or exceeding a permit limitation for a specified pollutant.

4.4. "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.

4.5. "Methods" – One of the items required as part of an ACC 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 ACC.
• Continuous emission monitoring system = CEMS
• Continuous opacity monitoring system = COMS
• Stack test = ST
• Visible emissions = VE
• Record keeping = RK
• Review of records = RR
• Mass balance = MB
• Emission factors = EF
• Inspections = Insp
• Fuel analysis = FA
• Work practice = WP
• Parametric monitoring = PM
• Calculations = Calc
• Other = O (specify in the Comments column)

4.6. "Responsible official" – For Part 70 requirements pursuant to 326 IAC 2-7-1(35) 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 responsible for the overall operation of a manufacturing plant. Examples of individuals not meeting 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.

5.0 ROLES

5.1. The authorized individual shall certify the ACC required by a FESOP permit.
5.2. The responsible official shall certify the ACC required by a Part 70 permit.

6.0 POLICY

General Requirements
6.1. The 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.
6.2. The ACC 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.
6.3. The ACC must be signed by a responsible official as defined in 326 IAC 2-7-1(35) for Part 70 sources or authorized individual as defined in 326 IAC 2-1.1-1 for FESOP sources, as defined in 4.0 Definitions; or must include the Part 70 or FESOP Certification Form that is in your permit.
6.4. The ACC report is to include the following:
• Identification of whether compliance during the period was continuous or intermittent, as defined in 4.0 Definitions, and Appendix 9.2 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.
6.5. Included with this nonrule policy document is a sample ACC form Appendix 9.2 and guidelines for completion. Sources may create their own equivalent form for submittal as long as the required information outlined in this nonrule policy document and in applicable state and federal rules is included.

Permit amendments or 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 Appendix 9.1. The example is included to show how the required information can be provided on the example ACC form to satisfy the ACC 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 period covered by this ACC. 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 4.0 Definitions. 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 Appendix 9.1.

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 ACC 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 9.2 Sample form or 4.0 Definitions 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 4.0 Definitions, 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.

7.0 REFERENCES

7.1. Indiana Administrative Codes:
B. 326 IAC 2-7-6(5)(C).
C. 326 IAC 2-8-5(a)(1)(C).

8.0 SIGNATURES

326220001NRA01.jpg

9.0 APPENDICES

9.1 EXAMPLE: PART 70 / FESOP PERMIT – ANNUAL COMPLIANCE CERTIFICATION
9.2 SAMPLE: PART 70 / FESOP PERMIT – ANNUAL COMPLIANCE CERTIFICATION

9.1 EXAMPLE

INDIANA DEPARTMENT OF ENVIRONMENTAL MANAGEMENT
OFFICE OF AIR QUALITY
COMPLIANCE BRANCH
100 North Senate Avenue
MC 61-53 IGCN 1003
Indianapolis, IN 46204-2251

PART 70 / FESOP PERMIT – ANNUAL COMPLIANCE CERTIFICATION

This form can be used to satisfy the annual compliance certification requirements for Part 70 sources under 326 IAC 2-7-5, 326 IAC 2-7-6(5)(C), and FESOP sources under 326 IAC 2-8-5(a)(1)(C).
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. 
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
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. 
       
       
       
       
       
*Method Codes:
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(35).

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).
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.

9.2 SAMPLE

INDIANA DEPARTMENT OF ENVIRONMENTAL MANAGEMENT
OFFICE OF AIR QUALITY
COMPLIANCE BRANCH
100 North Senate Avenue
MC 61-53 IGCN 1003
Indianapolis, IN 46204-2251

PART 70 / FESOP PERMIT – ANNUAL COMPLIANCE CERTIFICATION

This form can be used to satisfy the annual compliance certification requirements for Part 70 sources under 326 IAC 2-7-5, 326 IAC 2-7-6(5)(C), and FESOP sources under 326 IAC 2-8-5(a)(1)(C).
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:   
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
Source Name:  Source Permit Number: 
Permit Term/ Condition  Description of Permit Condition  *Method Codes  Report Date/Comments 
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       
       

(18) PERMIT TERMS FOR WHICH COMPLIANCE WAS INTERMITTENT (Continued) – Attach additional sheets if necessary
Source Name:  Source Permit Number: 
Permit Term/ Condition  Description of Permit Condition  *Method Codes  Report Date/Comments 
       
       
       
       
       
       
       
       
       
*Method Codes:
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(35).

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).
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: 01/12/2022 by Legislative Services Agency

DIN: 20220112-IR-326220001NRA
Composed: Dec 07,2022 8:54:27AM EST
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