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ACC Guide A Guide to Annual Compliance Certification

​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​​Air Permit Required Reporting

The Kentucky Division for Air Quality requires air permit holders to periodically submit both an Annual Compliance Certification (ACC) and a Semi-Annual Monitoring Report (SAMR). The table below summarizes the difference between the two reports. Late or missing ACCs or SAMRs may result in a Notice of Violation (NOV) and other enforcement actions. ​More information can be found on the DAQ's ​"Permit Required Reporting" webpage​.

Answers to common questions about Semi-A​​​​​​​​nnual Monitoring Reports (SAMR) can be found in the DAQ's "FAQs for SAMR Submittals." More information on that report can be found on ECAP's "SAMR Guide" webpage.​

​
​​​​Permit-Required Report
 ACC​
 SAMR​
​Frequency​​
Once per year​​
Twice per year​​
​Due Date
January 30th​​January 30th and July 30th
​Official Form
​DEP 7007CC
​N/A
Purpose​​​​​​Yes/No legal statement of compliance
​Monitoring requirem​​ent summary
​Scope
​All permit conditions
​​Permit monito​ring requirements

​​​​​Annual Compliance Certification (ACC)

The ACC must be received by the regional office by January 30th of each year and covers the reporting period from January 1st through December 31st of the previous year.​ The following guide covers the purpose, submittal information, and requirements for the ACC.

Purpose of the ACC

After the 1990 Clean Air Act Amendments were enacted, major sources were required to commence submitting this certification to the US Environmental Protection Agency (EPA) and the KY DAQ to report their compliance status with all terms and conditions of their permit and all applicable State and Federal Requirements. Kentucky has extended this certification requirement to minor sources as well. The ACC serves as an annual verification that a facility is in compliance with applicable air quality regulations and permit conditions. It requires the facility to audit, confirm, and certify that operations have remained in compliance throughout the reporting period.

Format

Facilities will need to fill out DEP 7007CC (Compliance Certification). Alternate formats may be used only with prior DAQ approval to ensure all regulatory requirements are met. For information on how to fill out the form, please see DEP 7007CC Instructions​.​

Guidance for the ACC

Several sections of the following guidance reference specific sections of the DEP 7007CC form (linked above).​ You may find it helpful to have the form nearby while reviewing the following guide.

In addition to this guide, ECAP has also created videos that you may find helpful in filling out and submitting your ACC.

  • ​List each DAQ permit term or condition and all applicable requirements for each emission unit, applicable regulations, the permit limit or requirements, and actual emission values (if applicable).
  • You will also be required to provide the Method used for determining compliance (test methods, monitoring, recordkeeping, and reporting), and whether the Method provided continuous or intermittent data.
  • Clearly identify any non-compliance during the reporting period, including date(s), cause, and corrective actions.

Do not leave any section of the form blank. If a section is not applicable, state that clearly in the table to avoid questions of incomplete reporting.


ACC must be signed by a responsible official.
The Responsible Official must sign the “Signature Box" of the ACC form. This individual is defined under 401 KAR 52:001​(62)​ ​​​​and is typically the owner, partner, or principal executive officer.​

Facilities must certify compliance with any requirements even if they do not establish numerical limits. DAQ permits have sections on Operating Limitations, Testing Requirements, Monitoring Requirements, Recordkeeping Requirements, and Reporting Requirements as well as Emission Limitations. 


The ACC​​​ should list each of the conditions under each of these sections of their permit and certify whether they were compliant, or not, with whatever the permit condition requires.​​​​​

  • If your facility has multiple permits, submit a separate ACC for each.
  • If your permit was revised or renewed during the year, clearly designate the Permit ID# in Column A of the tables to address the different permit versions.
  • For new permits, begin certifying compliance from the permit issuance date.

List the emission units or label the row as “source-wide” and list the permit condition as a rolling total or rolling average. Then, for the actual emissions list, the month during which the rolling annual total was the highest during that year. You should also reference your Semi-Annual Monitoring Report for the year, which must include more detailed info on every month’s total(s). When referencing the SAMR, please specify what page or section you are referring to. The SAMR for the second half of the reporting year should be submitted at the same time as the ACC. If a rolling total exceeded a limit during any period in the year, then the source or emission unit(s) MUST be listed on the “emission units not in continuous compliance” section of the ACC form for that requirement.​​​

Facilities must still submit the ACC even if they did not operate during the reporting year. Indicate this status clearly in the form (Section CC.3 10a).


If some emission units were not in use:

  • List ALL emission units on the ACC form and then indicate as “not active" for the “Actual Emissions" column.
  • Include a statement clearly explaining that these emission units were not in operation during specified date ranges.
In tables 10c)(1) and 10c)(2), you will need to understand the difference between the terms “continuous” and “intermittent” to fill out the tables accurately (see Fig. 3 and Fig. 4).

Continuous compliance can still be demonstrated even when compliance data is collected intermittently.


Continuous methods of determining compliance include automated monitoring systems that collect data on emissions, operating parameters, or process variables whenever the emission unit is operating. Examples include:
  • Continuous Opacity Monitoring Systems (COMS) that have an optical sensor continuously reading opacity whenever the unit operates
  • Continuous Emissions Monitoring Systems (CEMS) that measure pollutant emissions in real time, often every minute

Intermittent methods of determining compliance are periodic, manual, or event-based checks that demonstrate compliance only at the time the check is performed. Examples include:

  • ​Weekly or daily reading of a baghouse pressure gauge
  • Weekly visual inspections of control devices (e.g., air filters in place)​​​

Continuous

A source can claim continuous compliance when there is no evidence or reason to believe they were not in compliance.

Example: Performing weekly checks of filters is an intermittent method of determining compliance for a paint booth emission unit. If a complete log of weekly checks is maintained for the entire year, the source may claim continuous compliance, as there is no reason to believe it was not in compliance while using this intermittent method.

​Intermittent

Evidence or reason exists to believe the source was not always in compliance with a given term or condition.

Example: If the source is required to perform weekly filter checks but one week is missing from the log, the source cannot claim continuous compliance for that reporting year. The paint booth emission point was in intermittent compliance for the reporting year due to a lack of monitoring/recordkeeping for a one-week period. The noncompliance must be documented in Tables 10c(1) and 10c(2), which is further explained in the following section.​​

Ensure accurate reporting under Section CC.1, Question 8 of the form if any emission units were out of compliance. If an emission unit or permit condition is listed on the ACC, per permit requirements, it may only be listed as either “in compliance” or “out of compliance.”
ACC_CC.1.8.png


If the emission unit or permit condition was in continuous compliance for a reporting year and also did not receive violations, the emission unit or permit condition may be listed in 10a) for units “In Compliance.”
ACC_CC.3.10a.png


If the emission unit or permit condition was not in compliance or if the facility received a violation, it must be listed in Section 10c)(1) for “Emission Units Not in Continuous Compliance.” This shows that the emission unit or permit condition was NOT compliant for the entire year.
ACC_CC.3.10c1.png


In addition, when an Emission Unit is out of compliance, Section 10c)(2) must be completed. State the non-compliance again, the reason, the date(s) of non-compliance, and the corrective action taken or planned to prevent non-compliance. If you complete Section 10c(1), you must also complete Section 10c(2), ensuring that each row corresponds between the two tables.​

​Examples where a facility must report that the emission units were not in continuous compliance can include, but are not limited to:

  • Failure to conduct or record required monitoring
  • Installing or modifying emission units without prior notification or permit revision
  • Missing or incomplete daily or monthly logs of material usage, emissions, or operating parameters
  • Exceeding emission limits for pollutants.
  • Failure to maintain rolling 12-month total emission calculations for pollutants
  • Late or missing Semi-Annual Monitoring Reports or Annual Compliance Certifications
  • Not performing required pressure drop or temperature readings for control equipment (e.g., baghouse, scrubber, oxidizer)


Failure to maintain continuous compliance must be reported on both the ACC and SAMR.​​​

Disclaimer​

Information on this page does not supersede any guidance given by the Kentucky Division for Air Quality (DAQ). Questions or requests for assistance should be directed to the DAQ Permit Review Branch​​ or the Environmental Compliance Assistance Program (ECAP) team.​

​​​Contact the ECAP team ​at envhelp@ky.gov​ or (502) 782-6189.​​​​

How to Submit

Online submittal through eEEC eForms (Form ID 34: DAQ Field Operations Branch Electronic Submittal) is preferred and recommended to avoid late reporting for both the ACC and SAMR.

For help with EEC eForms:

Reports may still be mailed to the regional office listed on the first page of your permit. However, the term “postmarked" is no longer applicable to air permit reporting. Mailed reports must be received by the regional office by the reporting deadline to avoid being considered late. Reports postmarked on January 30ᵗʰ (or June 30th for SAMR) will be regarded as late unless they are also received by the office on those dates.

Note: Documents submitted to EEC eForms are not sent to the EPA. If your facility is required to report directly to the EPA, use their online submittal tool, CEDRI, or mail a hard copy to: United States Environmental Protection Agency, Region 4 Air Enforcement Branch, Atlanta Federal Center, 61 Forsyth Street, SW Atlanta, GA 30303-8960.

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