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about the first steps needed to gain access to the electronic reporting process [PDF].
Contact information
For information on compliance certifications or monitoring reports, contact either:
Randy Matty
Air Management Program
920-662-5158
or
Ashley Gray
Air Management Program
715-355-9474
For information on stack tests, contact:
Andy Seeber
Air Management Program
608-267-0563

Helpful hints and FAQ: Air compliance submittal actions electronic reporting

The following are some helpful hints and frequently asked questions (FAQ) for situations that may arise when filing compliance documents electronically with the DNR Air Program. For questions not answered here, please contact the facility-assigned air compliance inspector.

Helpful hints - browsers

  • For issues related to accessing the system, check the Internet browser's security settings and ensure the computer is running the most up-to-date versions of the browser (e.g., Google Chrome, Safari, Firefox, Internet Explorer (IE) - anything below IE8 will not work).
  • Be sure the Popup Blocker is turned off.

Helpful hints - electronic files

  • Keep backups of all electronic files created and submitted. The facility or its representative is responsible for keeping backups and records onsite at the facility.
  • Documents submitted electronically should be created in (or converted to) a Portable Document Format (PDF).
    • If a scanned version of a document must be submitted, the document must be legible. A minimum resolution of 300 dots per inch (dpi) ensures legibility without creating excessive file size.
    • The DNR prefers documents that are searchable. If a scanned document must be submitted, use optical character recognition (OCR) to make the document searchable.
  • The submittal, including the sections and attachment/appendices in individual reports, should be assembled in the same order and format as the paper versions, meeting code requirements for the specified submittal type.
  • Electronic files must not be locked or password protected. This means the files cannot require a password to open or edit it. However, files can utilize a feature that makes them read only or "protected" to prevent inadvertent editing, as long as the feature can be turned off without a password.
  • Limit documents to 100 megabytes (MB) in size.
  • Confidential documents should not be uploaded. If any part of the document has been approved by the DNR to be considered confidential via the confidentiality request approval process [PDF], submit the confidential copy via hard copy in the mail and upload the public version to the system.

FAQ - general

Is electronic reporting required?

No. While electronic reporting is not required, it should be a quicker, less expensive and more a convenient method to submit reports.

Are the Compliance Certification (Form 4530-170) and Deviation (Form 4530-171) forms required?

The DNR forms are optional; an equivalent method is allowable so long as the required information is provided. To simplify the electronic submittal, there is a combined 4530-170&171 form, now called Form 4530-184. The forms can be found on Air permit and compliance forms.

Can a facility submit a Compliance Certification and Monitoring Summary Report in one submittal?

Compliance Certifications and Monitoring Summary Reports are required in separate permit conditions, therefore DNR expects separate submittals. If these have been combined in the past, separate them out prior to submittal or upload the document/file in both the Monitoring Report and Compliance Certification locations. The only exception to this is for facilities with Registration Operation Permits or General Operation Permits. These are the only facilities where the Compliance Certification and Monitoring Report are combined into one permit condition. The DNR has a combined checklist form available for ROP (Registration Operation Permit) or GOP (General Operating Permit) sources ROP permit holders can submit their combined form under their compliance certification reporting shell/placeholder.

Can multiple documents be uploaded?

No. All relevant information must be entered into one PDF upload submittal. Facilities may use Form 4530-184 to simplify the process. Searching the internet provides a variety of methods by which this can be done.

Why does the ink signature need to be sent via the mail when submitting a report electronically?

To complete the electronic documents submittal the original ink signature of the facility's Responsible Official is required by DNR. To meet this requirement, submit the one page with the ink signature on it, not the entire attachment. (NOTE: This only applies to the compliance certification and deviation forms and the monitoring summary report, not the stack test report submittal.)

Please mail the signature page(s) to the facility assigned Air Compliance Inspector as listed in the email receipt. The DNR understands this may be an inconvenience and we are working towards obtaining an EPA approved electronic signature system. However at this time a hard copy ink signature is still required to meet federal and state regulations. Be sure to include the FID or facility name and address on the ink signature document being submitted for easy identification.

Who is the ink signature mailed to?

The hard copy with ink signature should be mailed to the facility-assigned Air Compliance Inspector. The inspector and their associated mailing address will be listed in the email receipt received upon a successful document upload.

Who is the facility's Air Compliance Inspector?

The facility's Air Compliance Inspector and their associated mailing address will be listed in the email receipt received upon a successful document upload. It is also listed on DNR's Switchboard under View Facility Air Data or Facility Home page.

How can a facility submit documents larger than 100 MB?

Please contact the facility's compliance inspector for help. Searching the internet provides several ways to reduce PDF file size. Alternatively, the facility could submit a hard copy through the U.S. mail.

The wrong document was uploaded. Can the document be switched?

Please contact the facility's Air Compliance Inspector for an explanation of the process.

What should be done if the facilities Compliance Certification or Monitoring data fields online do not match the facilities permit condition or seems inaccurate?

Please contact the facility's Air Compliance Inspector.

The DNR assigns an ID to each facility report. Is there a way to determine which report the ID is for without opening the document?

For the identification of Compliance Certifications (e.g., SC-CC-15-109482), the first two characters indicate the DNR region the facility is located in, the next two characters indicate "compliance certification", the next two characters indicate the reporting year and the final six characters are randomly generated.

For the identification of Monitoring Reports (e.g., SE-MON-15-122962), the first two characters indicate the DNR region the facility is located in, the next three characters indicate "monitoring report", the next two characters indicate the reporting year and the final six characters are randomly generated.

For Stack Tests, hover over the Stack Test ID (e.g., SE-ST-15-122761), a gray box will indicate the stack and the pollutant tested for that specific test report. This will aid in the quick identification of the stack test ID to the stack test stack report. As seen below:

Example image of IDs in the electronic reporting system.
The DNR renamed the facility's document. What does this renaming indicate?

Compliance Certification documents are renamed to ensure a consistent naming convention, include the reporting period start and end dates, and add the facilities' FID into the file name, as shown below:

Compliance_Certification_Reporting Period(mmddyy)_Facility Identification Number
Compliance_Certification_010115_123115_555555550
010115_123115 is for Reporting Period Jan 1, 2015 to Dec 31, 2015.

Monitoring Report documents are renamed to ensure consistent naming convention, include the reporting period start and end dates, and the facilities' FID into the file name, as shown below:

Compliance_Monitoring_Reporting Period(mmddyy)_Facility Identification Number
Compliance_Monitoring_010115_123115_555555550
010115_123115 is equivalent to Reporting Period Jan 1, 2015 to Dec 31, 2015.

Stack Test documents are renamed to ensure consistent naming convention, include the reporting period start and end dates, and the facilities' FID into the file name, as shown below:

StackTest_Plan_ Test Date(mmddyy) _FID
StackTest_Report_ Test Date(mmddyy) _FID
StackTest_Plan_ 040515 _555555550
StackTest_Report_ 040515 _555555550
040515 is for Test Date April 5, 2015.

FAQ - continuous emission monitor systems (CEMS)

Where should continuous emission monitor (CEM) initial and subsequent relative accuracy test audit (RATA) plans and reports be uploaded?

Initial and subsequent RATAs should be uploaded on the Stack Test tab.

Where should quarterly CEM excess emission reports and audits (CGA, CEA, RRA, etc.) be uploaded?

Quarterly excess emission reports and audits should be uploaded as part of the CEM quarterly report on the "Other Plans, Reports, & Notifications" tab.

Where should CEM combination reports be uploaded?

Continuous emission monitoring (CEM) reports contain varying information per facility, dependent upon the number and type of CEMs they have and the rules (Part 60, Part 75, MACT, state) that apply. These reports may contain excess emission reports, cylinder gas audits, calibration records, linearity records, etc. These combination reports can be uploaded into CEM reports on the "Other Reports, Plans, & Notifications" tab. Facilities may also separate them into specific reports such as fuel sampling & analysis (FSA) reports.

FAQ - compliance emission testing/stack tests

The facility's stack test plan has more than one test and the facility has more than one stack test to report. How should these be submitted?

The air program strongly encourages having only one report corresponding to the test plan. If a facility encounters a situation with more than one report, it is recommended that the facility first try using Adobe Pro to allow attachments to a single report and attach multiple reports to one file before uploading. If that option is not feasible, create a new stack test ID for each of the relevant testing dates and insert the same test plan.

How should a facility handle a reference to an older, previously submitted test plan?

Previously submitted test plans can be addressed by utilizing a copy of an email or a letter as the new test plan, in which it references the previously approved test plan. Another option is to copy the previously approved test plan and upload under a new Stack Test ID.

Does a test plan need to be resubmitted if the test dates change?

No. Test plans should not be resubmitted due to a stack test date change. Stack test date changes should be emailed to the compliance engineer and the compliance engineer shall change the date in the system.

How should facilities submit stack test waiver requests?

Please submit stack test waiver requests to the facility's assigned compliance engineer by email or U.S. mail. The waiver request and waiver approval/denial will be uploaded by the assigned compliance engineer upon review.

How should facilities submit stack test extension requests?

Please submit stack test extension requests to the facility's assigned compliance engineer by email or U.S. mail. The extension request and extension approval/denial will be uploaded by the assigned compliance engineer upon receipt of the test plan.

FAQ - facility submits incorrect document or revision/update needed

What if a facility accidentally uploads an incorrect document?

If a facility accidentally uploads an incorrect document that needs to be deleted they are asked to contact their assigned compliance engineer and ask for the document to be deleted.

What if a facility needs to revise a stack test plan or stack test report?

The facility should use the "unsubmit" button and then upload the correct file.

What if a facility needs to revise an "other report, plan or notification?"

If a facility needs to revise an "other report, plan, or notification" they can simply upload the revised document to the system and it will be renamed.

What if a facility needs to revise a compliance certification report or monitoring report?

If a facility needs to revise a compliance certification or monitoring report, the facility should provide their assigned compliance engineer with the revised copy to be uploaded.

FAQ - facility closure

What reports are necessary if a facility closes?

When a facility closes, the facility is required to submit compliance monitoring and compliance certification reports until the Operation Permit is revoked or coverage withdrawn. When a permit is revoked or coverage withdrawn the air program system file manager is automatically notified. The system file manager will "turn off" shell generation and notifications related to these compliance documents.

Last revised: Thursday December 29 2016