General Compliance Considerations
MON Compliance Issues
Plans and Reports Critical to Delineate
Scope of MON Compliance Program
Startup, Shutdown and Malfunction
Accuracy and Completeness Essential to
Minimizing Exposure to Enforcement
Reporting
Certifications
Recordkeeping
Timeliness
Rick Bidstrup
202-974-1760
[email protected]
Startup, Shutdown And
Malfunctions 63.6(e), 63.2525(j)
Confidential Business Information
MON Workshop
Definition of Startup
Setting in operation of a continuous
operation for any purpose
Key Definitions
General Duty
First time a new or reconstructed batch
SSM Plan Content and Procedures
First time newly added equipment is put into
operation begins production
operation
SSM Reporting and Recordkeeping
First time a new product or process is run
MON Workshop
MON Workshop
Definition of Startup for Batch
Operations
Definition of Shutdown
First time equipment is put into operation at
Cessation of a continuous operation for any
start of campaign if steps differ from startup
of standard or nonstandard batch
Startup encompasses actions to bring a
campaign on-line, regardless of whether
previous campaigns of that product have been
run, or after a shutdown for maintenance
Routine action to put equipment into
operation as part of a batch within a
campaign is not startup
MON Workshop
purpose
Cessation of batch operation if steps differ
from standard or nonstandard batch
Emptying and degassing storage vessels
Routine action to cease batch operations at
end of campaign or between batches in
campaign is not shutdown
MON Workshop
Definition of Malfunction
Sudden, infrequent and not reasonably
preventable failure
General Duty During SSM Periods
63.6(e)(1)(i), 68 FR 32596 (May 30, 2003)
Reduce emissions to the greatest extent consistent
with safety and good air pollution control practices
Compliance with MACT standard sufficient but not
necessary compliance with a properly drafted SSM
plan satisfies the general duty
Process
Process equipment
EPA: a source will not be considered to have satisfied
Air pollution control or monitoring equipment
Failures caused in part by poor
maintenance or careless operations are not
malfunctions
the duty to minimize emissions merely because it
complied with an inadequate SSMP
EPA: General duty requires review [of SSMPs] on an
ongoing basis and . . . appropriate improvements to
ensure that excess emissions are avoided
MON Workshop
MON Workshop
SSM Plan Procedures
SSM Plan Content
Implement general duty
Describe processes for operating and
maintaining source during SSM periods
Correct malfunctions as soon as practicable
Carveouts
Develop by compliance date
Revise as appropriate by source or as
required by EPA
Revise within 45 days of an event qualifying
as a malfunction but not included in the
SSM plan
Not required to include Group 2 emission points
unless used in emissions average
Maintain on site with copies retained for
For equipment leaks, SSM Plan need cover
control devices only
Submit to EPA promptly on request
five-year period
MON Workshop
MON Workshop
Reporting During SSM Periods
63.2520(e)(4), (e)(5)(iii)
SSM Plan Revisions
Revisions to be reported in semiannual
compliance report
Reporting to be made in semiannual compliance
report -- immediate SSM reporting not required
Revisions altering scope of activities
constituting SSM or modifying applicability of
a MON requirement takes effect only
following written notice
Applicable to SSM periods during which excess
emissions occur
Records that SSM Plan procedures were followed
Documentation of actions inconsistent with SSM
plan
Brief description of each malfunction
MON Workshop
MON Workshop
Recordkeeping of SSM Periods
63.998(c)(1)(ii)(D)-(G), 63.998(d)(3)
Records of each SSM period during which
MON Reporting and Recordkeeping
Key Notifications and Reports
Other Reports
excess emissions occurred
Occurrence and duration
Recordkeeping
Records that SSM plan was followed
Waiver of Recordkeeping/Reporting
63.10(b)(2)(xii), 63.10(f)
Documentation of actions inconsistent with SSM
plan
Records of CMS SSM events specifying
absence of excess emissions
Written application containing information considered
useful by owner/operator
Required showing of compliance or suitable progress
Recordkeeping supporting waiver may be required
MON Workshop
Key Notifications and Reports
Initial Notification
March 2004
MON Workshop
Initial Notification 63.9(b), 2515(b)
Purpose
Alert appropriate agencies of existence of
affected source and anticipated future
compliance actions
Precompliance Report
May 2006
Notification of Compliance Status Report
April 2007
Semi-Annual Compliance Report
August 2007
Other Notifications and Reports
Content
Brief description of the nature, size, design and
method of operation of the source
Identification of the types of emission points
Identification of the types of HAPs emitted
Timing
60 Days Advance Notice
120 Days after Effective Date or 120 Days after
New Source Becomes Subject to MON
MON Workshop
Precompliance Report 63.2520(c)
MON Workshop
Content of Precompliance Report
Operating limits for parameters other than
Approval requests; EPA to act within 90
days
Due at least 6 months prior to compliance
date, or for new sources, with the
application for approval of construction or
reconstruction
those specified in the MON
Setting monitoring parameters outside those
established during performance test
(63.2460(c)(3))
Test conditions, data and calculations used to
develop the limit
Description of why limit indicates proper operation
of control device
Use of P2 alternative
P2 demonstration plan under 63.2495(c)(1)
MON Workshop
MON Workshop
Content of Precompliance Report
Use of engineering analysis to calculate
uncontrolled emissions under 63.1257(d)(2)(ii)
Used to meet other regulatory obligations
No affect on applicability or compliance
determinations
Periodic verification for control devices
handling less than 1 tpy of HAP emissions
Supporting rationale for compliance verification in
absence of continuous measurement under
63.2460(c)(5)
Operating limits
Notification of Compliance Status
Report 63.9(h), 63.10(d)(2), 63.2520(d)
Purpose
Comprehensively describe the affected source
and the strategy being used to comply
Provide mechanism for establishing and
reporting compliance obligations
NOTE: NOCS including the results of
nonapplicability determinations is required for all
affected facilities, even if no sources are subject
to controls (63.2520(d)(2)(i))
Timing
Due by 150 days after compliance date
Measurement frequency
MON Workshop
Content of NOCS
MON Workshop
Content of NOCS
Monitoring Information Relating to Initial
Threshold Determinations
Results of applicability determinations, emission
calculations, or analyses used to
identify/quantify HAP emissions
Identification of overlapping MACT requirements
and sources election for emission points
Compliance
Emissions profiles
Performance tests (including description of
sampling/analysis and QA/QC procedures)
Engineering analyses
Specified records relating to process units used
to create a PUG and calculations of initial
primary product of PUG (63.2535(I)(1)-(3))
Design evaluations
Identification of storage tanks complying via the
vapor balancing alternative
Descriptions of monitoring devices and frequencies
and operating limits (with supporting data)
established during initial compliance demonstrations
Other calculations or measures to demonstrate initial
compliance
MON Workshop
Content of NOCS
MON Workshop
Semi-Annual Compliance Report
63.2520(b), (e)
Process Information
Statement by responsible corporate official
certifying to accuracy of the report
All operating scenarios
Descriptions of worst case operating and/or
testing conditions for control devices
Specified information on processes subject to
the work practice standard for equipment leaks
(63.1039(a)(1)-(3))
Timing
Coverage Period of First Report: Compliance
Date to Whichever of June 30 or December 31
Occurs 6-12 Months After Compliance Date
Report Due Two Months Later (August 31 or
February 28)
Subsequent Reports Due Semi-Annually
Permitting Authority Dates Govern if Different
MON Workshop
MON Workshop
Content of Compliance Report
Information on Deviations
Content of Compliance Report
Information on Changes
Statement that there was no failure to meet
emissions limits, operating limits, and work
practice standards (including during SSM periods)
New operating scenarios
Non-CMS deviations: (1) total operating time of
affected source; (2) number, duration, cause and
corrective action; (3) operating logs for days of
deviation, except for deviations of work practice
standards for equipment leaks
Include verification that
CMS deviations: detailed information specified in
63.2520(e)(5)(iii)(A)-(L), including duration,
identification of HAPs, and operating logs for days
of deviation
Revised operating scenarios for existing
processes
(1) operating conditions for any associated
control or treatment device have not been
exceeded and
(2) required calculations have been
performed
MON Workshop
Content of Compliance Report
Information on Changes
Process change (ie, a change not within the
scope of an existing operating scenario or within
a range of conditions specified in a standard
batch)
MON Workshop
Content of Compliance Report
Information on Changes
Records on process units added to a PUG
Records of primary product redeterminations
description of the process change
revisions to information in original notification
of compliance status report
detailed information on addition of processes
or equipment
NOTE: Immediate reporting not required
MON Workshop
Content of Compliance Report
Other Information
Reports of SSM during which excess emissions
occurred
Statement that there were no out of control
periods of the CEM
MON Workshop
Notification Of Process Change
Report 63.2520(e)(10)(ii)
Report providing 60 days advance notice:
change to information in the precompliance
report
Reports of LDAR program
any change in status of a control device from
small to large
Results of tank and wastewater management
unit inspections
a change from Group 2 to Group 1 for any
emission point
Reports of CVS bypass and/or car seal breaks
MON Workshop
MON Workshop
Performance Notifications
Recordkeeping
Performance Tests 40 CFR 63.7(b),
General Requirements
63.9(e), 2515(c)
Notification required 60 days in advance
Test plan and emission profile to be included for
initial compliance procedures for batch process
vents
CMS Performance Evaluations 40 CFR
63.8(e), 63.9(g)
Notification required 60 days in advance
Nonapplicability Determinations
Supporting Documentation for Reports
Operating Scenarios
Compliance Measurements
Equipment Records
MON Workshop
General Recordkeeping
Requirements 63.10(b)(1)
Maintain at least 5 years
Maintain at least 2 years on site
Option of computers or media
May be physically located off-site (eg in a
central server) provided that they are
accessible on-site
Suitable and readily available for
MON Workshop
Records for Nonapplicability
Determinations 63.10(b)(3)
Triggered where source emits HAPs and is in
covered source category, but is not subject to
standard based on PTE or exclusion
Maintain records on-site for 5 years or until site
changes its operations to become an affected
source
Signed by person making determination
Analysis/information demonstrating
nonapplicability sufficient for an EPA finding
expeditious inspection and review
MON Workshop
Documentation Supporting Initial
Notifications and Notifications of
Compliance Status 63.10(b)(2)(xiv)
MON Workshop
Records of Each Operating Scenario
63.2525(b)
Description of process and type of process
equipment
Identification of related process vents
(including emissions episodes), wastewater
PODs, storage tanks and transfer racks
Applicable control requirements including level
of required control
For vents, level of control for each vent
Control device or treatment process used and
operating/testing conditions
MON Workshop
MON Workshop
Records of Each Operating Scenario
63.2525(b)
Process vents, wastewater POD, transfer
racks and storage tanks (including those
from other processes) simultaneously
routed to the control device or treatment
processes
Schedule or Log of Operating
Scenarios - 63.2525(c)
To be updated each time a different
operating scenario is put into operation
Applicable monitoring requirements and
parametric levels assuring compliance
Calculations/engineering analyses to
demonstrate compliance
MON Workshop
Records of Compliance
Measurements 63.10(b)(2)(vii)-(ix)
All required measurements needed to
demonstrate compliance (including CMS
data, results of performance tests,
performance evaluations)
Measurements necessary to determine
conditions of performance tests, performance
evaluations
MON Workshop
Group 1 Batch Process Vent
Recordkeeping - 63.2525(d)
Where some vents are controlled to less
than the percent reduction requirement:
Records of whether each bath was considered
to be a standard batch
For nonstandard batches, the estimated
controlled and uncontrolled emissions
CEMS data special provisions at
63.10(b)(2)(vii)(A)-(B)
MON Workshop
Group 2 Batch Process Vent
Recordkeeping - 63.2525(e)
For purposes of Group 2 thresholds
Day each batch was completed and whether
each batch was a standard batch
MON Workshop
CMS Recordkeeping
Records of CPMS calibration checks and
maintenance - 63.998(c)(1)(ii)(A), 63.2450(k)(1),
63.2525(g)
Records for CEMS - 63.10(b)(2)(vi), (x), (xi),
63.2525(h)
Estimated controlled and uncontrolled
emissions for nonstandard batches
Records of daily 365-day rolling summations of
emissions, calculated at least monthly
No records required if notification of
Date and time that deviation started and stopped and
whether it occurred during an SSM period
Period during which CEMS is malfunctioning or inoperative
CEMS calibration checks
compliance status report documented that
the MCPU does not process, use or
produce HAP
MON Workshop
Adjustments and maintenance performed on CEMS
Calculations for primary product determination and
redetermination
MON Workshop
Equipment-Specific Recordkeeping
Records of maintenance of air pollution
control equipment - 63.10(b)(2)(iii)
Records of each time a safety device is
opened to avoid unsafe conditions 63.2525(f)
Records Relating to PUGs 63.2525(i)
Descriptions of MCPU and process units in
initial PUG and any added process units
Rationale for inclusion in initial PUG
identification of overlapping equipment
Bag leak detectors for fabric filters 63.2525(k)
Calculations used to determine primary
Date and time of bag leak detection alarms
product and any redetermination
Brief explanation of cause and corrective action
MON Workshop
Records Relating to Alternative
Standard of 63.2505
63.10(b)(2)(xiii), 63.10(c)(1)-(6), (9)(15), 63.10(e)(1), 63.10(e)(2)(i)
Emissions levels
CMS data and operational information
MON Workshop
MON Workshop
Contact Information
Rick Bidstrup
Cleary, Gottlieb, Steen & Hamilton
2000 Pennsylvania Avenue, NW
Washington, DC 20006
Phone: 202-974-1760
Fax: 202-974-1999
Email: [email protected]
MON Workshop
