§  75.57 General recordkeeping provisions.

Before April 1, 2000, the owner or operator shall meet the requirements of either this section or §  75.54. However, the provisions of this section which support a regulatory option provided in another section of this part must be followed if that regulatory option is used prior to April 1, 2000. On or after April 1, 2000, the owner or operator shall meet the requirements of this section.

(a) Recordkeeping requirements for affected sources. The owner or operator of any affected source subject to the requirements of this part shall maintain for each affected unit 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. Unless otherwise provided, throughout this subpart the phrase "for each affected unit" also applies to each group of affected or nonaffected units utilizing a common stack and common monitoring systems, pursuant to §§  75.16 through 75.18, or utilizing a common pipe header and common fuel flowmeter, pursuant to section 2.1.2 of appendix D to this part. The file shall contain the following information:

(1) The data and information required in paragraphs (b) through (h) of this section, beginning with the earlier of the date of provisional certification or the deadline in §  75.4(a), (b), or (c);

(2) The supporting data and information used to calculate values required in paragraphs (b) through (g) of this section, excluding the subhourly data points used to compute hourly averages under §  75.10(d), beginning with the earlier of the date of provisional certification or the deadline in §  75.4(a), (b), or (c);

(3) The data and information required in §  75.55 or §  75.58 for specific situations, as applicable, beginning with the earlier of the date of provisional certification or the deadline in §  75.4(a), (b), or (c);

(4) The certification test data and information required in §  75.56 or §  75.59 for tests required under §  75.20, beginning with the date of the first certification test performed, the quality assurance and quality control data and information required in §  75.56 or §  75.59 for tests, and the quality assurance/quality control plan required under §  75.21 and appendix B to this part, beginning with the date of provisional certification;

(5) The current monitoring plan as specified in §  75.53, beginning with the initial submission required by §  75.62; and

(6) The quality control plan as described in section 1 of appendix B to this part, beginning with the date of provisional certification.

(b) Operating parameter record provisions. The owner or operator shall record for each hour the following information on unit operating time, heat input rate, and load, separately for each affected unit and also for each group of units utilizing a common stack and a common monitoring system or utilizing a common pipe header and common fuel flowmeter:

(1) Date and hour;

(2) Unit operating time (rounded up to the nearest fraction of an hour (in equal increments that can range from one hundredth to one quarter of an hour, at the option of the owner or operator));

(3) Hourly gross unit load (rounded to nearest MWge) (or steam load in 1000 lb/hr at stated temperature and pressure, rounded to the nearest 1000 lb/hr, if elected in the monitoring plan);

(4) Operating load range corresponding to hourly gross load of 1 to 10, except for units using a common stack or common pipe header, which may use up to 20 load ranges for stack or fuel flow, as specified in the monitoring plan;

(5) Hourly heat input rate (mmBtu/hr, rounded to the nearest tenth);

(6) Identification code for formula used for heat input, as provided in §  75.53; and

(7) For CEMS units only, F-factor for heat input calculation and indication of whether the diluent cap was used for heat input calculations for the hour.

(c) SO2 emission record provisions. The owner or operator shall record for each hour the information required by this paragraph for each affected unit or group of units using a common stack and common monitoring systems, except as provided under §  75.11(e) or for a gas-fired or oil-fired unit for which the owner or operator is using the optional protocol in appendix D to this part or for a low mass emissions unit for which the owner or operator is using the optional low mass emissions methodology in §  75.19(c) for estimating SO2 mass emissions:

(1) For SO2 concentration during unit operation, as measured and reported from each certified primary monitor, certified back-up monitor, or other approved method of emissions determination:

(i) Component-system identification code, as provided in §  75.53;

(ii) Date and hour;

(iii) Hourly average SO2 concentration (ppm, rounded to the nearest tenth);

(iv) Hourly average SO2 concentration (ppm, rounded to the nearest tenth), adjusted for bias if bias adjustment factor is required, as provided in §  75.24(d);

(v) Percent monitor data availability (recorded to the nearest tenth of a percent), calculated pursuant to §  75.32; and

(vi) Method of determination for hourly average SO2 concentration using Codes 1-55 in Table 4a of this section.

(2) For flow rate during unit operation, as measured and reported from each certified primary monitor, certified back-up monitor, or other approved method of emissions determination:

(i) Component-system identification code, as provided in §  75.53;

(ii) Date and hour;

(iii) Hourly average volumetric flow rate (in scfh, rounded to the nearest thousand);

(iv) Hourly average volumetric flow rate (in scfh, rounded to the nearest thousand), adjusted for bias if bias adjustment factor required, as provided in §  75.24(d);

(v) Percent monitor data availability (recorded to the nearest tenth of a percent) for the flow monitor, calculated pursuant to §  75.32; and

(vi) Method of determination for hourly average flow rate using Codes 1-55 in Table 4a of this section.

(3) For flue gas moisture content during unit operation (where SO2 concentration is measured on a dry basis), as measured and reported from each certified primary monitor, certified back-up monitor, or other approved method of emissions determination:

(i) Component-system identification code, as provided in §  75.53;

(ii) Date and hour;

(iii) Hourly average moisture content of flue gas (percent, rounded to the nearest tenth). If the continuous moisture monitoring system consists of wet- and dry-basis oxygen analyzers, also record both the wet- and dry-basis oxygen hourly averages (in percent O2, rounded to the nearest tenth);

(iv) Percent monitor data availability (recorded to the nearest tenth of a percent) for the moisture monitoring system, calculated pursuant to §  75.32; and

(v) Method of determination for hourly average moisture percentage, using Codes 1-55 in Table 4a of this section.

(4) For SO2 mass emission rate during unit operation, as measured and reported from the certified primary monitoring system(s), certified redundant or non-redundant back-up monitoring system(s), or other approved method(s) of emissions determination:

(i) Date and hour;

(ii) Hourly SO2 mass emission rate (lb/hr, rounded to the nearest tenth);

(iii) Hourly SO2 mass emission rate (lb/hr, rounded to the nearest tenth), adjusted for bias if bias adjustment factor required, as provided in §  75.24(d); and

(iv) Identification code for emissions formula used to derive hourly SO2 mass emission rate from SO2 concentration and flow and (if applicable) moisture data in paragraphs (c)(1), (c)(2), and (c)(3) of this section, as provided in §  75.53.

     Table 4a--Codes for Method of Emissions and Flow Determination
------------------------------------------------------------------------
                                Hourly emissions/flow measurement or
           Code                          estimation method
------------------------------------------------------------------------
1........................  Certified primary emission/flow monitoring
                            system.
2........................  Certified backup emission/flow monitoring
                            system.
3........................  Approved alternative monitoring system.
4........................  Reference method:
                             SO<INF>2</INF>: Method 6C.
                             Flow: Method 2 or its allowable
                            alternatives under appendix A to part 60 of
                            this chapter.
                             NO<INF>X</INF>: Method 7E.
                             CO<INF>2</INF> or O<INF>2</INF>: Method 3A.
5........................  For units with add-on SO<INF>2</INF> and/or NO<INF>X</INF> emission
                            controls: SO<INF>2</INF> concentration or NO<INF>X</INF> emission
                            rate estimate from Agency preapproved
                            parametric monitoring method.
6........................  Average of the hourly SO<INF>2</INF> concentrations, CO<INF>2</INF>
                            concentrations, O<INF>2</INF> concentrations, NO<INF>X</INF>
                            concentrations, flow rates, moisture
                            percentages or NO<INF>X</INF> emission rates for the
                            hour before and the hour following a missing
                            data period.
7........................  Hourly average SO<INF>2</INF> concentration, CO<INF>2</INF>
                            concentration, O<INF>2</INF> concentration, NO<INF>X</INF>
                            concentration, moisture percentage, flow
                            rate, or NO<INF>X</INF> emission rate using initial
                            missing data procedures.
8........................  90th percentile hourly SO<INF>2</INF> concentration, CO<INF>2</INF>
                            concentration, NO<INF>X</INF> concentration, flow rate,
                            moisture percentage, or NO<INF>X</INF> emission rate or
                            10th percentile hourly O<INF>2</INF> concentration or
                            moisture percentage (moisture missing data
                            algorithm depends on which equations are
                            used for emissions and heat input).
9........................  95th percentile hourly SO<INF>2</INF> concentration, CO<INF>2</INF>
                            concentration, NO<INF>X</INF> concentration, flow rate,
                            moisture percentage, or NO<INF>X</INF> emission rate or
                            5th percentile hourly O<INF>2</INF> concentration or
                            moisture percentage (moisture missing data
                            algorithm depends on which equations are
                            used for emissions and heat input)
10.......................  Maximum hourly SO<INF>2</INF> concentration, CO<INF>2</INF>
                            concentration, NO<INF>X</INF> concentration, flow rate,
                            moisture percentage, or NO<INF>X</INF> emission rate or
                            minimum hourly O<INF>2</INF> concentration or moisture
                            percentage in the applicable lookback period
                            (moisture missing data algorithm depends on
                            which equations are used for emissions and
                            heat input).
11.......................  Average of hourly flow rates, NO<INF>X</INF>
                            concentrations or NO<INF>X</INF> emission rates in
                            corresponding load range, for the applicable
                            lookback period.
12.......................  Maximum potential concentration of SO<INF>2</INF>,
                            maximum potential concentration of CO<INF>2</INF>,
                            maximum potential concentration of NO<INF>X</INF>
                            maximum potential flow rate, maximum
                            potential NO<INF>X</INF> emission rate, maximum
                            potential moisture percentage, minimum
                            potential O<INF>2</INF> concentration or minimum
                            potential moisture percentage, as determined
                            using section 2.1 of appendix A to this part
                            (moisture missing data algorithm depends on
                            which equations are used for emissions and
                            heat input).
13.......................  Fuel analysis data from appendix G to this
                            part for CO<INF>2</INF> mass emissions. (This code is
                            optional through 12/31/99, and shall not be
                            used after 1/1/00.)
14.......................  Diluent cap value (if the cap is replacing a
                            CO<INF>2</INF> measurement, use 5.0 percent for boilers
                            and 1.0 percent for turbines; if it is
                            replacing an O<INF>2</INF> measurement, use 14.0
                            percent for boilers and 19.0 percent for
                            turbines).
15.......................  Fuel analysis data from appendix G to this
                            part for CO<INF>2</INF> mass emissions. (This code is
                            optional through 12/31/99, and shall not be
                            used after 1/1/00.)
16.......................  SO<INF>2</INF> concentration value of 2.0 ppm during
                            hours when only ``very low sulfur fuel'', as
                            defined in Sec. 72.2 of this chapter, is
                            combusted.
17.......................  Like-kind replacement non-redundant backup
                            monitoring analyzer.
19.......................  200 percent of the MPC; default high range
                            value.
20.......................  200 percent of the full-scale range setting
                            (full-scale exceedance of high range).
25.......................  Maximum potential NO<INF>X</INF> emission rate (MER).
                            (Use only when a NO<INF>X</INF> concentration full-
                            scale exceedance occurs and the diluent
                            monitor is unavailable.)
54.......................  Other quality assured methodologies approved
                            through petition. These hours are included
                            in missing data lookback and are treated as
                            unavailable hours for percent monitor
                            availability calculations.
55.......................  Other substitute data approved through
                            petition. These hours are not included in
                            missing data lookback and are treated as
                            unavailable hours for percent monitor
                            availability calculations.
------------------------------------------------------------------------

(d) NOX emission record provisions. The owner or operator shall record the applicable information required by this paragraph for each affected unit for each hour or partial hour during which the unit operates, except for a gas-fired peaking unit or oil-fired peaking unit for which the owner or operator is using the optional protocol in appendix E to this part or a low mass emissions unit for which the owner or operator is using the optional low mass emissions excepted methodology in §  75.19(c) for estimating NOX emission rate. For each NOX emission rate (in lb/mmBtu) measured by a NOX-diluent monitoring system, or, if applicable, for each NOX concentration (in ppm) measured by a NOX concentration monitoring system used to calculate NOX mass emissions under §  75.71(a)(2), record the following data as measured and reported from the certified primary monitor, certified back-up monitor, or other approved method of emissions determination:

(1) Component-system identification code, as provided in §  75.53 (including identification code for the moisture monitoring system, if applicable);

(2) Date and hour;

(3) Hourly average NOX concentration (ppm, rounded to the nearest tenth) and hourly average NOX concentration (ppm, rounded to the nearest tenth) adjusted for bias if bias adjustment factor required, as provided in §  75.24(d);

(4) Hourly average diluent gas concentration (for NOX-diluent monitoring systems, only, in units of percent O2 or percent CO2, rounded to the nearest tenth);

(5) If applicable, the hourly average moisture content of the stack gas (percent H2O, rounded to the nearest tenth). If the continuous moisture monitoring system consists of wet- and dry-basis oxygen analyzers, also record both the hourly wet- and dry-basis oxygen readings (in percent O2, rounded to the nearest tenth);

(6) Hourly average NOX emission rate (for NOX-diluent monitoring systems only, in units of lb/mmBtu, rounded either to the nearest hundredth or thousandth prior to April 1, 2000 and rounded to the nearest thousandth on and after April 1, 2000);

(7) Hourly average NOX emission rate (for NOX-diluent monitoring systems only, in units of lb/mmBtu, rounded either to the nearest hundredth or thousandth prior to April 1, 2000 and rounded to the nearest thousandth on and after April 1, 2000), adjusted for bias if bias adjustment factor is required, as provided in §  75.24(d). The requirement to report hourly NOX emission rates to the nearest thousandth shall not affect NOX compliance determinations under part 76 of this chapter; compliance with each applicable emission limit under part 76 shall be determined to the nearest hundredth pound per million Btu;

(8) Percent monitoring system data availability (recorded to the nearest tenth of a percent), for the NOX-diluent or NOX concentration monitoring system, and, if applicable, for the moisture monitoring system, calculated pursuant to §  75.32;

(9) Method of determination for hourly average NOX emission rate or NOX concentration and (if applicable) for the hourly average moisture percentage, using Codes 1-55 in Table 4a of this section; and

(10) Identification codes for emissions formulas used to derive hourly average NOX emission rate and total NOX mass emissions, as provided in §  75.53, and (if applicable) the F-factor used to convert NOX concentrations into emission rates.

(e) CO2 emission record provisions. Except for a low mass emissions unit for which the owner or operator is using the optional low mass emissions excepted methodology in §  75.19(c) for estimating CO2 mass emissions, the owner or operator shall record or calculate CO2 emissions for each affected unit using one of the following methods specified in this section:

(1) If the owner or operator chooses to use a CO2 CEMS (including an O2 monitor and flow monitor, as specified in appendix F to this part), then the owner or operator shall record for each hour or partial hour during which the unit operates the following information for CO2 mass emissions, as measured and reported from the certified primary monitor, certified back-up monitor, or other approved method of emissions determination:

(i) Component-system identification code, as provided in §  75.53 (including identification code for the moisture monitoring system, if applicable);

(ii) Date and hour;

(iii) Hourly average CO2 concentration (in percent, rounded to the nearest tenth);

(iv) Hourly average volumetric flow rate (scfh, rounded to the nearest thousand scfh);

(v) Hourly average moisture content of flue gas (percent, rounded to the nearest tenth), where CO2 concentration is measured on a dry basis. If the continuous moisture monitoring system consists of wet- and dry-basis oxygen analyzers, also record both the hourly wet- and dry-basis oxygen readings (in percent O2, rounded to the nearest tenth);

(vi) Hourly average CO2 mass emission rate (tons/hr, rounded to the nearest tenth);

(vii) Percent monitor data availability for both the CO2 monitoring system and, if applicable, the moisture monitoring system (recorded to the nearest tenth of a percent), calculated pursuant to §  75.32;

(viii) Method of determination for hourly average CO2 mass emission rate and hourly average CO2 concentration, and, if applicable, for the hourly average moisture percentage, using Codes 1-55 in Table 4a of this section;

(ix) Identification code for emissions formula used to derive hourly average CO2 mass emission rate, as provided in §  75.53; and

(x) Indication of whether the diluent cap was used for CO2 calculation for the hour.

(2) As an alternative to paragraph (e)(1) of this section, the owner or operator may use the procedures in §  75.13 and in appendix G to this part, and shall record daily the following information for CO2 mass emissions:

(i) Date;

(ii) Daily combustion-formed CO2 mass emissions (tons/day, rounded to the nearest tenth);

(iii) For coal-fired units, flag indicating whether optional procedure to adjust combustion-formed CO2 mass emissions for carbon retained in flyash has been used and, if so, the adjustment;

(iv) For a unit with a wet flue gas desulfurization system or other controls generating CO2, daily sorbent-related CO2 mass emissions (tons/day, rounded to the nearest tenth); and

(v) For a unit with a wet flue gas desulfurization system or other controls generating CO2, total daily CO2 mass emissions (tons/day, rounded to the nearest tenth) as the sum of combustion-formed emissions and sorbent-related emissions.

(f) Opacity records. The owner or operator shall record opacity data as specified by the State or local air pollution control agency. If the State or local air pollution control agency does not specify recordkeeping requirements for opacity, then record the information required by paragraphs (f) (1) through (5) of this section for each affected unit, except as provided in §§  75.14(b), (c), and (d). The owner or operator shall also keep records of all incidents of opacity monitor downtime during unit operation, including reason(s) for the monitor outage(s) and any corrective action(s) taken for opacity, as measured and reported by the continuous opacity monitoring system:

(1) Component/system identification code;

(2) Date, hour, and minute;

(3) Average opacity of emissions for each six minute averaging period (in percent opacity);

(4) If the average opacity of emissions exceeds the applicable standard, then a code indicating such an exceedance has occurred; and

(5) Percent monitor data availability (recorded to the nearest tenth of a percent), calculated according to the requirements of the procedure recommended for State Implementation Plans in appendix M to part 51 of this chapter.

(g) Diluent record provisions. The owner or operator of a unit using a flow monitor and an O2 diluent monitor to determine heat input, in accordance with Equation F-17 or F-18 of appendix F to this part, or a unit that accounts for heat input using a flow monitor and a CO2 diluent monitor (which is used only for heat input determination and is not used as a CO2 pollutant concentration monitor) shall keep the following records for the O2 or CO2 diluent monitor:

(1) Component-system identification code, as provided in §  75.53;

(2) Date and hour;

(3) Hourly average diluent gas (O2 or CO2) concentration (in percent, rounded to the nearest tenth);

(4) Percent monitor data availability for the diluent monitor (recorded to the nearest tenth of a percent), calculated pursuant to §  75.32; and

(5) Method of determination code for diluent gas (O2 or CO2) concentration data using Codes 1-55, in Table 4a of this section.

(h) Missing data records. The owner or operator shall record the causes of any missing data periods and the actions taken by the owner or operator to correct such causes.

[64 FR 28609, May 26, 1999; 64 FR 37582, July 12, 1999]