For instruction on establishing and reviewing requirement citation information, click the following links or use the scroll bar to scan the page.
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Regulations and policies include sections or citations, called requirement citations, that describe what you must do to maintain compliance. For permitting programs, you can establish your own requirements to assure compliance. An example of a requirement from 40 CFR 60 Subpart O reads:
Samples of the sludge charged to the incinerator shall be collected in nonporous jars at the beginning of each run and at approximately 1-hour intervals thereafter until the test ends,...
You should manage requirements using the Requirements section on the Rules form. Because requirements can be modified over time, you must enter the date that the requirement became effective, which allows you to maintain a history of change. If you enter the actual text from a citation in the Requirements section, you can view it during an applicability analysis.
Note:
You must establish a requirement citation on the Requirement
Citations form before you can select it in the Requirements
section on the Rules form.
You can also use the Requirements section to document the frequency and pollutants that are specified in a requirement.
After you have selected and defined a requirement citation, assign compliance categories to the citation on the Requirement Citation Information form. You can assign regulations, policies, and permit requirements to compliance categories. For more information on how the software uses compliance categories to identify potentially applicable rules during an applicability analysis, refer to Understanding Rule Selection for a Compliance Scenario.
You should also establish measurable activities, called tasks, to define how you will accomplish a requirement. You can set up your tasks on the Requirement Citation Information form when it is accessed from the Navigation Tree. Refer to Establishing Tasks for a Requirement for additional information.
To define requirements for a
rule
Locate your rule on the Rules list, click the rule link to open the Rules form, and expand the Requirements section if necessary.
Click Assign Requirements and Compliance Categories to display the Requirement Citation Information form.
Select the Rule from the list if the appropriate one is not displayed.
Select a Citation,
Requirement Type, Frequency,
Potential Requirement Impact,
and Rule Version from the
list for each field.
If the appropriate value is not listed, click the Ellipsis
button next to the field and add it.
Type the Order Number of the citation requirement.
Enter the date the requirement citation became effective in the Effective Date field or click the Calendar button and select the date.
Type the pollutant(s) or pollutant group(s) in the Pollutant field.
Review the environmental entity aspects that have been associated with the requirement citation in the Entity Aspects section. Click the aspect link to open the Entity Aspect form.
Review the controls assigned to compliance applicability records related to the requirement citation in the Compliance Applicable Controls section. The applicability effective date links to the Compliance Applicability Bulk Creation form.
Expand the Requirement
Citation Text section when necessary and type the citation
text.
The information in this section is included with the records exported
on the Requirement Citation Information
list.
Expand the Details section when necessary and type a Description for the requirement citation and any Notes.
Expand the Compliance Categories section when necessary, and do the following:
Click Add Compliance Categories. The Compliance Category list opens.
Select the applicable Compliance Categories.
Scroll to the bottom of the list and click Add Selected Items.
Expand the Compliance Method section if necessary, select the compliance method from the list, type a Description, and enter any additional Details. If the appropriate method is not listed, click the Ellipsis button next to the Compliance Method field and add it.
Click the Save button.
Click New
and repeat steps 4 through 14 to add another requirement citation.
Otherwise, close the window.
Each citation added is displayed as a line item in the Requirements
section. Click the Delete
button adjacent to the line item to remove the requirement from the
rule. The requirement citation link opens the Requirement
Citation Information form.
Click the Save button on the Rules form.
You can use the Requirement Citations form to establish the requirement citations for a rule. For example, for Regulation 40 CFR 60 Subpart O, you could establish 60.154(b)(1), 60.154(b)(2), and 60.154(b)(3) as requirement citations. Capabilities for linking rules and requirement citations to an online full-text elucidation are also available. Refer to Citation Linking and Notification for additional information.
To establish
requirement citations
Tip: If you clicked the Ellipsis
button on the Requirement Citation Information
form to open the Requirement Citations
form, begin with step 3.
Click Data
Entry > Rule Information > Requirement Citations in the
Navigation Tree.
The Requirement Citations list
appears.
Click the New
button.
The Requirement Citations form
is displayed.
Select a Rule
from the list.
If a rule is not listed, click the Ellipsis
button and add it.
Enter the Requirement Citation.
Choose the Link
with Provider option and click Link
Rule, when applicable. Refer to Citation
Linking and Notification.
When the citation has been linked with a provider site, the View
Rule link can be used to see the most current version of the
citation.
Click Save.
Repeat steps 2 through 6 to establish other requirement citations.
Use the Requirement Citation Information form to:
Document a rule requirement citation
Manage changes to the citation
Assign a requirement to compliance categories
Establish tasks for a requirement citation
Specify a compliance method
Review the controls assigned to compliance applicability records related to the requirement citation
Review the environmental aspects associated with the requirement citation
Assigning rule requirements to compliance categories streamlines rule selection during an applicability analysis. For more information on how the software selects rules for an applicability analysis, refer to Understanding Rule Selection for a Compliance Scenario.
Rule requirement tasks define the activities you must complete to maintain compliance with the requirement.
For compliance applicability determination, controls document how the requirement citation is enforced. Each control assigned to a compliance applicability record that is related to the citation is displayed as a line item in the Compliance Applicability Controls section. The control and entity names, along with the compliance applicability priority, effective date, and review status are provided in each line item. Search capabilities are available to locate specific controls for review. Just the most recent compliance applicability record is represented. The applicability effective date links to the Compliance Applicability Bulk Creation form.
Tip: You can also click Assign
Requirements and Compliance Categories in the Requirements
section on the Rules form to open
the Requirement Citation Information
form.
To enter requirement
citation information
Click Data
Entry > Rule Information > Requirement Citation Information
in the Navigation Tree.
The Requirement Citation Information
list is displayed showing the most recent version of rules (by
promulgation date) and requirements (by effective date). Clear the
Only Display Most Effective
check box to include all versions in the list. Standard search capabilities
are available to locate specific rules/requirements.
Tip: Any information
entered in the Requirement Citation Text
section on the Requirement Citation Information
form is included with the records exported on the Requirement
Citation Information list.
Click the New
button.
The Requirement Citation Information
form is displayed.
Select a Rule
and Citation from the list
for each field.
If a value is not listed, click the Ellipsis
button next to the field and add it.
Select a Requirement
Type, Frequency, Potential Requirement Impact, and
Rule Version from the list
for each field.
If the appropriate value is not listed, click the Ellipsis
button next to the field and add it.
Type the Order Number of the citation requirement.
Enter the Effective Date of the requirement citation or use the Calendar button to select the date.
Type the pollutant(s) or pollutant group(s) in the Pollutant field.
Review the environmental entity aspects that have been associated with the requirement citation in the Entity Aspects section. Click the aspect link to open the Entity Aspect form.
Review the controls in the Compliance Applicability Controls section. Click the Applicability Effective Date link to access the compliance applicability record.
Expand the Requirement
Citation Text section when necessary and type the citation
text.
The information in this section is included with the records exported
using the Requirement Citation Information
list.
Expand the Details section when necessary, enter a Description for the requirement citation, and type any Notes.
Expand the Compliance Categories section when necessary, and do the following:
Click Add Compliance Categories. The Compliance Category list opens.
Select the applicable Compliance Categories.
Scroll to the bottom of the list and click Add Selected Items.
Expand the Compliance Method section if necessary, select the compliance method from the list, type a Description, and enter any additional Details. If the appropriate method is not listed, click the Ellipsis button next to the Compliance Method field and add it.
Click the Save button on the form.
The Tasks section is displayed to establish tasks that apply to the requirement. You can also create a task assignment for each task. Refer to Establishing Tasks for a Requirement.
The Number of related tasks is displayed next to the Rule Version field and represents the task assignments associated with the requirement citation in the Rules and Requirements section on the Task Setup and Results form. A link to the Task List is provided when the number is greater than zero.
Repeat steps 2 through 14 to add other requirement citation information.
In the Requirement Citation Text section on the Requirement Citation Information form, type the actual text of a requirement. When you perform an applicability analysis, view this information to help you determine whether a requirement applies.
An example of a requirement from 40 CFR 60 Subpart O, 60.154 (b)(5) includes:
Samples of the sludge charged to the incinerator shall be collected in nonporous jars at the beginning of each run and at approximately 1-hour intervals thereafter until the test ends,...
Viewing the text for a requirement can help you to determine whether a citation applies for an applicability analysis.
Review requirement text by expanding the Requirements section on the Compliance Scenario form and clicking the Edit button adjacent to the requirement line item. The Compliance Scenario Requirement Citation form is displayed. Click View Requirement Text to display the Requirement Citation Text form. Click Close to close the form.
Tip: The information in the Requirement
Citation Text section is included with the records exported on
the Requirement Citation Information
list.
In the Details section on the Requirement Citation Information form, type a description or comments about the requirement. For example, you could enter information that is specific to your facility or that will help you to evaluate the requirement with respect to your process units.
Compliance categories are logical groups that classify your process units and the requirement citations that might apply to them. You can use compliance categories to group requirements by equipment type, by process, or on some other basis. For example, you could assign an incinerator category to the requirement citation from 40 CFR 60 Subpart O, 60.154 (b)(5), which reads:
Samples of the sludge charged to the incinerator shall be collected in nonporous jars at the beginning of each run and at approximately 1-hour intervals thereafter until the test ends,...
Your regulatory experts should guide you to ensure that compliance categories are assigned consistently. For more information on how the software uses compliance categories to identify potentially applicable rules during an applicability analysis, refer to Understanding Rule Selection for a Compliance Scenario.
When you click Assign Requirements and Compliance Categories in the Requirements section on the Rules form, the Requirement Citation Information form opens. The Compliance Categories section can be used to establish new compliance categories and assign existing ones to requirement citations.
Use the Compliance Categories section on the Requirement Citation Information form to assign compliance categories to requirement citations. Compliance categories allow you to group your rules by equipment type, by process, or on some other basis. For example, you could assign an incinerator category to the requirement citation from 40 CFR 60 Subpart O, 60.154 (b)(5), which reads:
Samples of the sludge charged to the incinerator shall be collected in nonporous jars at the beginning of each run and at approximately 1-hour intervals thereafter until the test ends,...
The software automatically selects potentially applicable rules for an applicability analysis based on compliance category selection. For more information on how the software selects potentially applicable rules, refer to Understanding Rule Selection for a Compliance Scenario. Work with your regulatory experts to ensure that you assign compliance categories consistently.
To assign compliance categories
to a requirement
Tip: If you accessed the Requirement
Citation Information form by clicking Assign
Requirements and Compliance Categories in the Requirements
section on the Rules form, begin
with step 2.
Locate your requirement on the Requirement Citation Information list and click the requirement link to open the Requirement Citation Information form.
Expand the Compliance Categories section if necessary.
Click Add Compliance Categories. The Compliance Category list opens.
Select the applicable Compliance Categories.
Note:
The list of available Compliance Categories is limited to those
categories that are marked "Available to All Entities" and that
are available to the Entity on the Process Unit form. Use the Search tool
to quickly find the compliance categories you need.
Scroll to the bottom of the list and click Add Selected Items.
Click Save.
You can use the Tasks section on the Requirement Citation Information form to document the activities you must complete to maintain compliance with a rule requirement. Examples of tasks for 40 CFR 60 Subpart K citation 60.113(a) might include:
Obtain storage vessel data records.
File the data records for compliance recordkeeping.
The requirement tasks that you establish in this section are used elsewhere in the Compliance Manager module. For example, when you perform an applicability analysis you will determine if requirements apply; for requirements that apply, the software copies the tasks defined for the requirements to the compliance scenario.
To define tasks
for a requirement
Tip: If you accessed the Requirement
Citation Information Tasks form by clicking Define
Rule Requirement Tasks in the Tasks
section on the Rules form, select
a Citation from the list, and
begin with step 3.
Locate your requirement on the Requirement Citation Information list and click the requirement link to open the Requirement Citation Information form.
Expand the Tasks
section, when necessary, and click Add
a Task.
The Requirement Citation Information
Tasks form is displayed.
Enter the Task description.
Select a Task
Group and Task Frequency
from the list for each field.
If the appropriate value is not listed, click the Ellipsis
button next to the field and add it.
Type the sequence number of the task in the Task Number field.
Enter a Review Date or click the Calendar button and select one.
Enter the name or title of the reviewer in the Reviewed By field.
Enter any Comments
related to the task and click Save.
The task is displayed as a line item in the Tasks
section on the Requirement Citation
Information form. Change existing task information by clicking
the Edit button adjacent to
the line item.
Add another task by clicking Add a Task and repeating steps 3 through 8.
Click the Save
button on the Requirement Citation
Information form.
To create a task assignment for one or more tasks, select the appropriate
tasks and click Add to Task Assignment.
Refer to Defining
Tasks for Scenario Requirements for additional information.
In the Compliance Method section on the Requirement Citation Information form, specify a required monitoring method. For example, you may be required to perform a no detectable emissions check or a carbon compound detection on certain types of compressors. This method may be in addition to any visual inspection or actual monitoring requirements imposed. Fields are available to enter a description and any additional details.
To assign compliance
methods to requirements
Tip: If you accessed the Requirement
Citation Information form by clicking Assign
Requirements and Compliance Categories in the Requirements
section on the Rules form, begin
with step 2.
Locate your requirement on the Requirement Citation Information list and click the requirement link to open the Requirement Citation Information form.
Expand the Compliance
Method section if necessary and select the applicable Compliance Method from the list.
If the appropriate method is not listed, click the Ellipsis
button and add it.
Enter a Description and any additional information in the Compliance Method Details field.
Click the Save button on the form.
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