National Pollutant Discharge Elimination System (NPDES) Electronic Reporting Rule, 64063-64158 [2015-24954]
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Vol. 80
Thursday,
No. 204
October 22, 2015
Part II
Environmental Protection Agency
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40 CFR Parts 9, 122, 123, et al.
National Pollutant Discharge Elimination System (NPDES) Electronic
Reporting Rule; Final Rule
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Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations
ENVIRONMENTAL PROTECTION
AGENCY
40 CFR Parts 9, 122, 123, 124, 127, 403,
501, and 503
[EPA–HQ–OECA–2009–0274; FRL–9930–
70–OECA]
RIN 2020–AA47
National Pollutant Discharge
Elimination System (NPDES)
Electronic Reporting Rule
Environmental Protection
Agency (EPA).
ACTION: Final rule.
AGENCY:
The Environmental Protection
Agency (EPA) is publishing this final
regulation that requires the electronic
reporting and sharing of Clean Water
Act National Pollutant Discharge
Elimination System (NPDES) program
information instead of the current
paper-based reporting of this
information. This action will save time
and resources for permittees, states,
tribes, territories, and the U.S.
Government while increasing data
accuracy, improving compliance, and
supporting EPA’s goal of providing
better protection of the nation’s waters.
By modernizing this Clean Water Act
reporting program, permittees and
regulators will use existing, available
information technology to electronically
report information and data related to
the NPDES permit program. This
regulation will help provide greater
clarity on who is and who is not in
compliance and enhances transparency
by providing a timelier, complete, more
accurate, and nationally-consistent set
of data about the NPDES program. By
providing improved data in a more
accessible form, this final rulemaking
will improve the ability of EPA and
authorized NPDES programs to target
the most serious water quality and
compliance problems. Furthermore, by
reducing the time and resources devoted
to outdated data management activities,
the rule could allow authorized NPDES
programs to shift limited resources to
important water quality and public
health protection activities. The
transition from paper to electronic
reporting will require close coordination
and cooperation between EPA and
authorized NPDES programs. This
regulation provides important flexibility
while still implementing electronic
reporting in a timely and effective
fashion.
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SUMMARY:
The final rule is effective on
December 21, 2015. The incorporation
by reference of certain publications
listed in this rule was approved by the
DATES:
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Director of the Federal Register as of
February 7, 2000. In accordance with 40
CFR part 23, this regulation shall be
considered issued for purposes of
judicial review at 1 p.m. Eastern time on
November 5, 2015. The start dates for
electronic reporting are provided in 40
CFR 127.16.
ADDRESSES: EPA has established a
docket for this action under Docket ID
No. EPA–HQ–OECA–2009–0274. All
documents in the docket are listed on
the www.regulations.gov Web site.
Although listed in the index, some
information is not publicly available,
e.g., confidential business information
or other information whose disclosure is
restricted by statute. Certain other
material, such as copyrighted material,
is not placed on the Internet and will be
publicly available only in hard copy
form. Publicly available docket
materials are available either
electronically through
www.regulations.gov or in hard copy at
the EPA Docket Center, EPA West
Building, Room 3334, 1301 Constitution
Avenue NW., Washington, DC. The
Public Reading Room is open from 8:30
a.m. to 4:30 p.m., Monday through
Friday, excluding legal holidays. The
telephone number for the Public
Reading Room is (202) 566–1744. For
additional information about EPA’s
public docket, please visit the EPA
Docket Center homepage at https://
www.epa.gov/dockets.
FOR FURTHER INFORMATION CONTACT: For
additional information, please contact
Messrs. John Dombrowski (202–566–
0742) or Carey A. Johnston (202–566–
1014), Office of Compliance (mail code
2222A), Environmental Protection
Agency, 1200 Pennsylvania Avenue
NW., Washington, DC 20460; email
addresses: dombrowski.john@epa.gov or
johnston.carey@epa.gov.
SUPPLEMENTARY INFORMATION:
How is this document organized?
The outline of this document follows
the following format:
I. General Information
II. Legal Authority
III. Legislative and Regulatory Background
IV. Rulemaking History
V. Summary of Decisions in the Final Rule
VI. Economic Analysis
VII. Regulatory Implementation
VIII. Statutory and Executive Order Reviews
I. General Information
A. Executive Summary
1. Purpose of the Regulatory Action
The final rule substitutes electronic
reporting for paper-based reports and,
over the long term, saves time and
resources for permittees, states, tribes,
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territories, and EPA, while improving
compliance and better protecting the
Nation’s waters. The final rule requires
permittees and regulators to use
existing, available information
technology to electronically report
information and data related to the
NPDES permit program in lieu of filing
paper-based reports. Authorized NPDES
programs may adopt EPA data systems
or elect to use their own data systems
to collect NPDES program information
as the initial recipient. All authorized
programs are required to electronically
transmit the federally-required data
(identified in appendix A to 40 CFR part
127) to EPA.
The purpose and need for this rule
was highlighted in the development of
the Clean Water Act Enforcement
Action Plan (Plan). Announced by EPA
Administrator Lisa Jackson in October
2009, the Plan was a collaborative effort
by EPA and state environmental
agencies to explore opportunities to
improve water quality by emphasizing
and adopting new approaches that will
improve how the NPDES permitting and
enforcement program is administered.
The goals of the Plan include improving
transparency of the information on
compliance and enforcement activities
in each state, connecting this
information to local water quality, and
providing the public with real-time,
easy access to this information. The
final NPDES Electronic Reporting Rule
will make achievement of these goals
possible by requiring electronic
reporting of facility and operational
data, as well as discharge monitoring,
compliance, and enforcement data.
In addition to substituting electronic
reporting for paper-based reports, the
final rule requires authorized NPDES
programs to share the minimum set of
NPDES program data (appendix A to 40
CFR part 127) with EPA for all facilities
including nonmajor facilities.
Historically, EPA and authorized
NPDES programs have focused on major
facilities as a way of prioritizing
resources for permitting, enforcement
and data sharing. Over time, there has
been a growing recognition that these
nonmajor sources significantly impact
water quality as well. Storm water
discharges, concentrated animal feeding
operations, mines, and raw sanitary
sewage overflows could all be
significant contributors to water quality
impairment; however, they have not
been treated as NPDES major facilities.
The final rule is intended to improve
data quality collected from major and
nonmajor facilities, thereby providing
the states, tribes, territories, and EPA
with more complete and comparable
data on all NPDES permittees. These
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data will improve the ability of existing
state and federal programs to target the
most serious water quality and
compliance problems, thus supporting
EPA’s goal of protecting the nation’s
waters. A broader and more in-depth
discussion of the purpose and need for
this rulemaking is provided in Section
III of the proposed rule (30 July 2013;
78 FR 46013).
2. Summary of the Key Provisions
This final rule requires NPDES
regulated entities to electronically
submit NPDES compliance monitoring
reports and notices [e.g., Discharge
Monitoring Reports (DMRs), Notices of
Intent to discharge in compliance with
a general permit, other general permit
waivers, certifications, and notices of
termination of coverage, and program
reports] to their authorized NPDES
program or to EPA through the National
Environmental Information Exchange
Network. Importantly, while the final
rule changes the mode of transmission
of these data (i.e., electronic rather than
paper-based reporting), it does not
change the information required from
NPDES-permitted facilities under
existing regulations and practices.
States, tribes, and territories that are
authorized to implement the NPDES
program are the sources of certain key
information regarding the regulated
facilities. For example, states have
information from NPDES permit
applications, which includes
information concerning facility location,
outfalls, effluent limits, and permit
conditions, as well as information from
their compliance monitoring activities,
violation determinations, and
enforcement actions. Under this final
regulation, NPDES permitting
authorities are required to share
important components of this
information electronically with EPA.
The list of data elements that must be
electronically collected, managed, and
shared is provided in this final rule
(appendix A to 40 CFR part 127). By
‘‘NPDES program,’’ this rule refers not
only to the discharge permit program,
but also the pretreatment program and
the biosolids program, both of which are
implemented in some ways without
NPDES permits.
Separate from this rulemaking, EPA
intends to make this more complete set
of data available electronically to the
public, to promote transparency and
accountability by providing
communities and citizens with easily
accessible information on facility and
government performance. This can serve
to elevate the importance of compliance
information and environmental
performance within regulated entities,
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providing opportunity for them to
quickly address any noncompliance.
The ease of reviewing and assessing
electronically submitted data will help
provide greater clarity on who is and
who is not in compliance. Currently,
some noncompliance information is not
easily reviewable by the authorized
NPDES programs or accessible to EPA
and these noncompliance events are
sometimes not resolved in a timely
manner. The result of this uneven
response to noncompliance by
regulators means that some facilities in
noncompliance will not take immediate
action, which gives them a financial
edge over other facilities in states where
there is a timelier response to
noncompliance. This rule opens the
opportunity for two-way
communication between authorized
NPDES programs or EPA and regulated
facilities to immediately address data
quality issues and to provide
compliance assistance or take other
action when potential problems are
identified. Complete and accurate data
also will allow comparison of
performance across authorized NPDES
programs as well as EPA’s performance.
Key provisions of this final rule are
identified in the implementation
schedule in Section VII of the preamble.
This includes the schedule of
milestones for NPDES program data
submission from states, tribes, and
territories regarding their
implementation activities, programs and
permits as well as electronic NPDES
program data submissions from
regulated entities.
3. Costs and Benefits
To fully implement this final
regulation, there will be initial
investment costs associated with needed
changes to information technology and
infrastructure. For example, EPA has
developed a data system called the
[Integrated Compliance Information
System for the National Pollutant
Discharge Elimination System (ICIS–
NPDES) and two NPDES electronic
reporting systems to collect NPDES
program data (NetDMR and NPDES
eReporting Tool (NeT)]. While all
authorized NPDES programs are
welcome to use EPA’s data systems,
authorized NPDES programs also have
the flexibility to develop their own data
systems that meet the regulatory
requirements of 40 CFR part 3
(including, in all cases, subpart D), 40
CFR 122.22, and 40 CFR part 127. EPA
will continue to closely work with
authorized NPDES programs to make
EPA’s systems available and assist the
development of their data systems in a
cost-effective manner.
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The initial cost of implementing the
final rule is $77.9 million in
undiscounted dollars (see Table 4–11:
Total Initial Implementation Costs of the
Rule, DCN 0197). While most of these
costs are incurred within the first year
after the effective date of the rule, this
estimate includes certain recurring
activities that should cease once full
implementation is achieved. Five years
after rule promulgation, assuming all
regulated facilities have converted to
electronic reporting (other than 1
percent that are assumed to receive
waivers from electronic reporting), the
cost is estimated to be $20.3 million per
year in undiscounted dollars (see Table
4–10: Annual Cost of Data Entry and
Operations for the Updated System after
Implementation, DCN 0197). However,
one year after rule promulgation, annual
savings greatly outweigh annual costs,
by approximately $23.9 million per year
[calculated by subtracting the projected
costs in year one from the projected
savings; see Table 4–16: Schedule of
Savings and Costs (3% Discount Rate),
DCN 0197]. Cumulative savings over a
ten-year period (using a 3 percent
discount rate) are $406 million while
cumulative costs are $250 million. As a
result the overall economic effect of this
rule is a net cumulative savings of $156
million over the ten years of the
projection.
The final rule will save money for
states, tribes, and territories authorized
to administer the NPDES program as
well as EPA and most NPDES
permittees, while resulting in a more
complete, more accurate, and
nationally-consistent set of data about
the NPDES program. With full
implementation (expected to be five
years after the effective date of the final
rule), the anticipated annual net savings
are expected to be $22.6 million for
NPDES programs, $0.5 million for
regulated entities, and $1.2 million for
EPA, assuming a 3% discount rate
[calculated by subtracting the projected
costs in year five from the projected
savings in year five; see Table 4–16:
Schedule of Savings and Costs (3%
Discount Rate), DCN 0197]. The
economic analysis supporting this rule
provides a more detailed description of
the costs and savings (see DCN 0197).
The electronic submittal of data will
help support EPA’s goal of protecting
and restoring water quality and will
result in significant cost savings for the
authorized NPDES programs, as well as
savings for the permittees and EPA,
when the rule is fully implemented. The
final rule will also reduce the reporting
burden currently borne by the
authorized NPDES programs, improve
overall facility compliance, allow better
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allocation and use of limited program
resources, and enhance transparency
and public accountability by allowing
EPA to provide the public with timely
information on potential sources of
water pollution.
The final rule will also lighten the
reporting burden currently placed on
the authorized NPDES programs. Upon
successful implementation, the final
rule would provide authorized NPDES
programs with regulatory relief from
reporting associated with the noncompliance reporting [see 40 CFR
123.45—(a) Quarterly Non-Compliance
Report (QNCR), (b) Semi-Annual
Statistical Summary Report, and (c)
Annual Non-Compliance Report
(ANCR)] and the biosolids report
submitted to EPA annually by
authorized NPDES programs with the
Federal biosolids program (40 CFR
501.21).
4. Compliance Dates for Final Rule
The implementation schedule for the
final rule is divided in two phases. Prior
to the deadline for each phase, EPA will
work with authorized NPDES programs
to collect the necessary facility, permit,
inspection, and enforcement action
information that supports electronic
reporting. For example, EPA will work
with authorized NPDES programs which
opt to use EPA’s national NPDES data
system (i.e., ICIS–NPDES) to ensure that
the necessary facility and permit data
are entered no later than nine months
after the effective date of the final rule
to allow for the electronic reporting of
DMR data and Sewage Sludge/Biosolids
Annual Program Report data, which are
scheduled for the first phase. Likewise,
EPA will also work with authorized
NPDES programs to collect the
necessary data to support electronic
reporting for the second phase.
Regulated entities must report
electronically prior to this compliance
schedule if required to do so in their
permit or any other enforcement
instrument issued by the relevant
NPDES program. This rule reinforces
existing electronic reporting efforts by
authorized programs and regulated
entities. The rule also grandfathers any
existing requirements to report
electronically.
The key compliance dates are set out
below and set out in further details in
Section VII and in the final rule (see 40
CFR 127.16).
• Phase 1 Data: Authorized NPDES
programs must electronically transmit to
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EPA basic facility and permit
information (see list of data elements in
‘‘ICIS Addendum to the Appendix of the
1985 Permit Compliance System Policy
Statement,’’ 28 December 2007, DCN
0007, also known as Water Enforcement
National Database or ‘‘WENDB’’) for all
permits as well as other data necessary
for implementation of Phase 1 data
collection within nine months after the
effective date of the final rule. One year
after the effective date of the final rule,
authorized NPDES programs must start
electronically transmitting to EPA their
state performance data (subject to
applicable waivers), which includes
information generated from compliance
monitoring (e.g., inspections), violation
determinations, and enforcement
actions. Additionally, one year after the
effective date of the final rule, NPDES
regulated entities that are required to
submit DMRs (including majors and
nonmajors, individually permitted
facilities and facilities covered by
general permits) must do so
electronically. EPA and authorized
NPDES programs will begin
electronically receiving these DMRs
from all DMR filers and start sharing
these data with each other. One year
after the effective date of the final rule,
all NPDES regulated entities in states
where EPA is the authorized NPDES
biosolids program (currently 42 of 50
states and all other tribal lands and
territories) must electronically submit
their Sewage Sludge/Biosolids Annual
Program Report to EPA.
• Phase 2 Data: Authorized NPDES
programs have five years to begin
electronically collecting, managing, and
sharing the remaining set of information
in appendix A in 40 CFR part 127. This
information includes: General permit
reports [e.g. Notice of Intent to be
covered (NOI); Notice of Termination
(NOT); No Exposure Certification
(NOE); Low Erosivity Waiver and Other
Waivers from Stormwater Controls
(LEW)]; Sewage Sludge/Biosolids
Annual Program Report (where the state
is the authorized NPDES biosolids
program); and all other remaining
NPDES program reports (e.g., CAFO
Annual Report, Pretreatment Program
Annual Report). Authorized NPDES
programs will also share with EPA all
data necessary for implementation of
Phase 2 data collection three months
before the Phase 2 deadline as defined
in the data element analysis for the final
rule (see DCN 0200). Additionally, one
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year after the effective date of the final
rule, authorized NPDES programs will
submit an implementation plan (IP) for
meeting the Phase 2 data requirements
for EPA to review. EPA will inform the
state if its IP is inadequate.
• NPDES Noncompliance Report
(NNCR) and Other State Reporting: EPA
will replace a number of currently
required state reports (e.g., QNCR and
ANCR) with the new NNCR when EPA
has a timely, complete, more accurate,
and nationally-consistent set of data
about the NPDES program. Full
implementation of the NNCR and phase
out of certain state reports will only be
possible one full year after full
implementation of Phase 2 data
collection (i.e., six years after the
effective date of this rule). A complete
set of Phase 1 and 2 data are necessary
to develop and produce the NNCR.
As with any new regulation, some
authorized NPDES programs may need
to update their regulations or statutes to
make clear that electronic reporting is
required for the reports listed in Table
1 of appendix A and that these
electronic submissions must be
compliant with 40 CFR part 127
(including appendix A) and 40 CFR part
3 (including, in all cases, subpart D)
[Cross-Media Electronic Reporting
Regulation (CROMERR)—authentication
and encryption standards]. Existing EPA
regulations at 40 CFR 123.62(e) require
that any updates to the authorized
NPDES program take place within one
year of the effective date of the final rule
(if no state statute change is required)
and within two years of the effective
date of the final rule (if a state statute
change is required). Accordingly, all
authorized NPDES programs should
complete any necessary updates to their
state regulations within one year and
statutes within two years of the effective
date of the final rule.
B. Does this action apply to me?
Entities potentially affected by this
action include all NPDES-permitted
facilities, whether covered by an
individual permit or general permit,
industrial users located in cities without
approved local pretreatment programs,
and governmental entities that have
received NPDES program authorization
or are implementing portions of the
NPDES program in a cooperative
agreement with EPA. These entities
include:
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Category
Examples of regulated entities
NPDES-permitted facilities ..........................................
Publicly-owned treatment works (POTW) facilities, treatment works treating domestic
sewage (TWTDS), municipalities, counties, stormwater management districts, state-operated facilities, Federally-operated facilities, industrial facilities, construction sites, and
concentrated animal feeding operations (CAFOs).
Stormwater management districts, construction sites, CAFOs, POTWs, TWTDS, municipalities, counties, stormwater management districts, and state-operated facilities.
Industrial facilities discharging to POTWs and for which the designated pretreatment
Control Authority is EPA or the authorized state, tribe, or territory rather than an approved local pretreatment program.
States and territories that have received NPDES program authorization from EPA, that
are implementing portions of the NPDES program in a cooperative agreement with
EPA, or that operate NPDES-permitted facilities.
Tribes that have received NPDES program authorization from EPA, that are implementing portions of the NPDES program in a cooperative agreement with EPA, or that
operate NPDES-permitted facilities.
Federal facilities with a NPDES permit and EPA Regional Offices acting for those states,
tribes, and territories that do not have NPDES program authorization or that do not
have program authorization for a particular NPDES subprogram (e.g., biosolids or
pretreatment).
Facilities seeking coverage under NPDES general
permits.
Industrial users located in cities without approved
local pretreatment programs.
State and territorial government ..................................
Tribal government ........................................................
Federal government .....................................................
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This table is not intended to be an
exhaustive list, but rather provides some
examples of the types of entities
regulated by this action. Other types of
entities not listed in this table may also
be regulated.
II. Legal Authority
Pursuant to the Clean Water Act
(CWA), 33 U.S.C. 1251 et seq., the U.S.
Environmental Protection Agency (EPA)
is promulgating the National Pollutant
Discharge Elimination System (NPDES)
Electronic Reporting Rule, which adds a
new part to title 40 (40 CFR part 127)
as well as making changes to existing
regulations. The U.S. Environmental
Protection Agency is promulgating the
NPDES Electronic Reporting Rule under
authority of the CWA sections 101(f),
304(i), 308, 402, and 501. EPA notes that
the Congressional Declaration of Goals
and Policy of the CWA specifies in
section 101(f) that ‘‘It is the national
policy that to the maximum extent
possible the procedures utilized for
implementing this chapter shall
encourage the drastic minimization of
paperwork and interagency decision
procedures, and the best use of available
manpower and funds, so as to prevent
needless duplication and unnecessary
delays at all levels of government.’’
Harnessing information technology
that is now a common part of daily life
is an important step toward reaching the
goals of the CWA. EPA is promulgating
this rule under the authority of CWA
section 304(i) that authorizes EPA to
establish minimum procedural and
other elements of state programs under
section 402, including reporting
requirements and procedures to make
information available to the public. In
addition, EPA is promulgating this rule
under section 308 of the CWA. Section
308 of the CWA authorizes EPA to
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require access to information necessary
to carry out the objectives of the Act,
including sections 301, 305, 306, 307,
311, 402, 404, 405, and 504. Section 402
of the CWA establishes the NPDES
permit program for the control of the
discharge of pollutants into the nation’s
waters. EPA is promulgating this rule
under CWA sections 402(b) and (c),
which require each authorized state,
tribe, or territory to ensure that permits
meet certain substantive requirements,
and provide EPA information from
point sources, industrial users, and
authorized programs in order to ensure
proper oversight. Finally, EPA is
promulgating this rule under the
authority of section 501, which
authorizes EPA to prescribe such
regulations as are necessary to carry out
provisions of the Act.
Under section 509(b)(1) of the CWA,
judicial review of this regulation can be
had only by filing a petition for review
in the U.S. Court of Appeals within 120
days after the regulation is considered
issued for purposes of judicial review.
Under section 509(b)(2), the
requirements in this regulation may not
be challenged later in civil or criminal
proceedings brought by EPA to enforce
these requirements.
III. Legislative and Regulatory
Background
A. The Clean Water Act
The 1948 Federal Water Pollution
Control Act and subsequent
amendments are now commonly
referred to as the Clean Water Act
(CWA). The CWA establishes a
comprehensive program for protecting
and restoring our nation’s waters. The
CWA established the NPDES permit
program to authorize and control the
discharges of pollutants to waters of the
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United States [CWA section 402]. This
final rule, which is intended to reduce
resource burdens associated with the
paper-based system and increase the
timeliness, accuracy, completeness, and
usefulness of the information received
by EPA, the states, tribes, territories, and
the public, echoes the goals of CWA
section 101(f).
Implementation of information
technology that is now a common part
of daily life is an important step toward
reaching the goals of the CWA. EPA is
promulgating this rule under the
authority of CWA section 304(i) that
authorizes EPA to establish minimum
procedural and other elements of state
programs under section 402, including
reporting requirements and procedures
to make information available to the
public. In addition, EPA is promulgating
this rule under the authority of section
308 of the CWA. Section 308 of the
CWA authorizes EPA to require
information to carry out the objectives
of the Act, including sections 301, 305,
306, 307, 311, 402, 404, 405, and 504.
Section 402 of the CWA establishes the
NPDES permit program for the control
of the discharge of pollutants into the
nation’s waters. EPA is promulgating
this rule under CWA sections 402(b)
and (c), which require each authorized
state, tribe, or territory to ensure that
permits meet certain substantive
requirements, and provide EPA
information from point sources,
industrial users, and the authorized
program in order to ensure proper
oversight. Finally, EPA is promulgating
this rule under the authority of section
501 of the Act, authorizing EPA to
prescribe such regulations as are
necessary to carry out provisions of the
Act.
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B. National Pollutant Discharge
Elimination System
As authorized by the CWA, the
NPDES permit program protects the
nation’s waters by controlling the
discharge of pollutants into waters of
the United States. Such discharges are
illegal unless authorized by an NPDES
permit. The NPDES permit program
requires all point source discharges of
pollutants (other than dredged or fill
material regulated under Section 404 of
the CWA) to waters of the United States
to have a permit, the term of which may
not exceed five years. The term
‘‘NPDES-regulated facilities,’’ as used in
this rule, refers broadly to entities
regulated under the Clean Water Act,
including permittees under CWA
section 402 along with the biosolids
program, indirect dischargers, and nondischarging entities with permits.
NPDES permits may be issued by EPA
or by a state, tribe, or territory
authorized by EPA to implement the
NPDES program. As of May 1, 2015,
EPA has authorized 46 states and the
Virgin Islands to implement the base
NPDES program as well as the general
permits program; as of that same date,
no tribe was currently authorized to
implement the NPDES program. There
are several subprograms of the NPDES
program that states, tribes, and
territories may also receive
authorization from EPA to administer,
including the pretreatment and the
biosolids programs. As of May 1, 2015,
36 states are authorized to implement
the pretreatment program and eight
states are authorized to implement the
biosolids program as part of the NPDES
program.
Authorization to discharge may be
provided under an individual NPDES
permit, which is developed after a
process initiated by the facility’s
submission of a permit application (40
CFR 122.21), or under a general NPDES
permit (for example, most oil and gas
extraction facilities and most
construction sites operate under NPDES
general permits). See 40 CFR
122.28(a)(2). Authorization to discharge
under a general NPDES permit typically
occurs following the submission of an
NOI by the facility seeking authorization
to discharge under the permit [40 CFR
122.28(b)(2)] and approval of that NOI
by the permitting authority. Submission
of an NOI is not required for specified
types of discharges under certain
circumstances [40 CFR 122.28(b)(2)(v)].
Most NPDES-permitted sources are
regulated under general permits.
EPA has developed criteria to
determine which sources should be
considered ‘‘major’’ facilities (see DCN
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0195). The distinction was made
initially to assist EPA, states, tribes, and
territories in setting priorities for
permitting, compliance, and
enforcement activities. Historically, EPA
has placed greater priority on major
facilities and has required NPDESauthorized states, tribes, and territories
to provide more information about these
dischargers. EPA’s previous regulations
establish annual, semi-annual, and
quarterly reporting requirements, which
mostly focused on major facilities.
These previous reporting requirements
provided violation information and
facilitated EPA’s assessment of the
effectiveness of authorized programs
and EPA regional program activities
(e.g., permitting, compliance
monitoring, and enforcement). This
information has guided EPA in the
management and oversight of program
activities. More background information
regarding the NPDES program is in the
docket supporting this rulemaking (see
DCN 0005).
C. Evolution of the NPDES Program and
Data Sharing
In order to support development of
appropriate permit limits and
conditions, issuance of effective
permits, compliance monitoring, and
appropriate enforcement actions, EPA
has developed requirements along with
policies, guidance, and expectations to
track, measure, evaluate, and report on
these efforts on a nationwide basis. Over
the past 30 years, these efforts to
establish significant pollutant controls
focused primarily on major facilities
and resulted in important pollutant
discharge reductions from traditional
major sources.
Although major municipal and
industrial point sources continue to be
significant sources of pollution,
permitting experience with more diffuse
sources shows that these point sources
also contribute significant amounts of
pollutants to our nation’s waters. About
40,000 nonmajor facilities have
individual permits which have
requirements similar to the permits for
major facilities (e.g., requirements to
submit DMRs) (source: ICIS–NPDES). As
the understanding of water quality
issues has evolved, the universe of
regulated nonmajor sources has also
expanded. In order to efficiently manage
the growing universe of regulated
facilities, sources that are sufficiently
similar are often regulated under general
permits rather than individual permits.
In many cases, nonmajor facilities use
pollutant control measures based on
best management practices in
operational activities rather than on
implementation of pollutant control
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technologies, which are measured with
numeric effluent limits on pollutant
discharges and reported on DMRs.
Several hundred thousand nonmajor
facilities are covered by NPDES general
permits; therefore, the number of
nonmajor dischargers covered by
general permits is very large compared
to the number of major or nonmajor
dischargers covered by individual
permits. The universe of nonmajor
dischargers also includes some large
volume dischargers (e.g., MS4s) that had
not previously been regulated with the
same types of individual permits used
to regulate discharges from major
facilities.
The most recent state water quality
assessment reports submitted under
CWA section 305(b) and compiled by
EPA in the National Water Quality
Inventory Reports indicate the growing
significance and link between nonmajor
sources and impairments in water
quality of U.S. waters, particularly from
precipitation-induced or ‘‘wet weather’’
point sources of pollutants.1 These
sources include discharges of
stormwater associated with
construction, concentrated animal
feeding operations (CAFOs), overflows
from combined sewer systems (CSSs)
and sanitary sewer systems (SSSs), and
urban stormwater pollution from
Municipal Separate Storm Sewer
Systems (MS4s). Stormwater discharges
include a variety of pollutants, such as
sediment, oil and grease, chemicals,
nutrients, metals, and pathogens.
Discharges from CAFOs often include
bacteria, nutrients, organic matter,
pathogens, and trace metals. Overflows
from combined and separate sanitary
sewer systems pose a significant threat
to public health and the environment
due to high concentrations of bacteria
from fecal contamination, as well as
disease-causing pathogens. Common
pollutants discharged from MS4s
include oil and grease from roadways,
pesticides from lawns, sediment from
construction sites, and carelessly
discarded trash, such as cigarette butts,
paper wrappers, and plastic bottles. The
pollution controls for wet-weather
sources are often best management
practices (BMPs) rather than traditional
end-of-pipe controls. These wet-weather
1 The link provides access to the 2004 Water
Quality Report to Congress, which was the last
hard-copy version of this report. Since 2004 these
data are made available directly via the ATTAINS
database (link provided at above site). The
ATTAINS database provides state information
showing the water quality impairments and the
likely causes of impairments. In particular, ‘‘UrbanRelated Runoff/Stormwater’’ ranks high among the
list of impairment causes. See: https://
ofmpub.epa.gov/waters10/attains_nation_
cy.control.
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sources are high priorities for EPA and
authorized NPDES programs and have
been for almost over two decades.
In the past, states, tribes, and
territories generally did not consistently
share information with EPA on most
wet-weather sources. Therefore, EPA
and the public do not have complete
information on these pollution sources.
Electronic reporting from all NPDES
permittees will efficiently provide these
data and will assist EPA and authorized
NPDES programs in focusing their
limited resources on the most
significant water pollution sources and
violations, whether from major or
nonmajor facilities.
Transitioning to electronic reporting
and data sharing will bring the NPDES
program into the 21st century. Tracking
data electronically is less expensive,
more efficient, more accurate, and better
able to support program management
decisions than paper tracking (see July
30, 2013; 78 FR 46015–17, DCN 0015).
In particular, Congress and the public
expect environmental program
managers at every level of government—
local, state, tribal, territorial, and
federal—to design and implement
programs that deliver environmental
and public health results. To target the
most important pollution problems,
better ensure environmental protection
and public health, and enable more
integrated program assessment and
planning at the national level, the data
that are electronically collected,
managed, and shared between
authorized NPDES programs and EPA
should have the following
characteristics:
I. The data should be current. Recent
data are more likely to be representative
of current conditions. Although
historical data may be useful in
identifying trends and patterns,
outdated data are not as reliable for
drawing conclusions as to the current
level of discharge, the compliance status
at permitted facilities, or for making
plans for improvements.
II. The data should generally be
comparable in format, reporting units,
frequency, etc. In order to aggregate and
compare data across the states, tribes,
and territories for national program
planning and reporting purposes, it is
important that the data from the
individual states, tribes, and territories
be reported in a similar format (e.g.,
reporting units are the same and the
metrics being measured are defined
identically) and with the same
minimum frequency. For example, for
EPA to assess the volume of waste
discharged by POTWs nationally, those
providing the data would need to
consistently provide data to EPA, share
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the same definition of POTWs, the same
definition of volume (per day, per week,
per month) and express the measure in
the same units (gallons, million gallons,
cubic feet, liters, etc.). However,
authorized NPDES programs can
certainly institute more stringent
reporting requirements than EPA (if
shared data remain nationally
consistent).
III. The data should be accurate and
complete. Incomplete, inaccurate data
can lead to wrong conclusions. For
example, the significant noncompliance
rate for major facilities is a key indicator
of the effectiveness of the NPDES
compliance and enforcement program.
This rate is derived in large part from
effluent data self-reported in DMRs to
EPA, the states, tribes, and territories by
major facilities. These data are then
entered into or provided to ICIS–NPDES
by the states, tribes, territories, or EPA.
Incomplete compliance data in ICIS–
NPDES prevent EPA from adequately
assessing industry, state, and national
noncompliance rates and identifying
any potential corrective actions.
Consequently, program planning and
authorized program evaluation resulting
from such incomplete data can be
unreliable.
Similarly, incomplete data may result
in inaccurate conclusions as to
noncompliance rates for nonmajor
permittees. EPA found through the
Annual Noncompliance Report (ANCR)
(see DCN 0016) 2 for NPDES Nonmajor
Permittees that the reported
noncompliance rate for serious
violations is much higher for those
authorized NPDES programs with
detailed compliance data in EPA’s
national data systems than it is for
authorized NPDES programs that only
provide summary data. These findings
suggest that instances of noncompliance
may be higher than reported by states,
tribes, and territories that do not
routinely provide facility-specific
compliance data to EPA’s national data
systems. The final rule will ensure that
DMR information from facilities and
ANCR data from authorized NPDES
programs would be received
electronically, allowing the data system
to identify violations and thereby
reducing the burden on states, tribes,
territories, and EPA to independently
identify effluent violations.
IV. The data should be nationally
consistent. EPA needs nationally
consistent data to make program
evaluation and subsequent planning
transparent and replicable. The basis for
EPA’s planning and conclusions about
the status of program implementation
needs to be readily available to those
affected, including the regulated
community, the general public,
Congress, federal, state, tribal, and
territorial agencies. For example, the
data that EPA needs to evaluate the
performance of an authorized program
should be readily available to EPA (and
readily available from EPA to the state,
tribe, or territory) and the state, tribe, or
territory should be able to easily
duplicate EPA’s analysis.
These factors demonstrate the need
for a shared definition and central
management of the information
necessary to manage the NPDES
program, ready access to that
information by states, tribes, territories,
and EPA, and assurance that the data
across the authorized NPDES programs
are complete, more accurate, and timely
reported. The final rule provides
parameters for the shared data, ensures
the accessibility of that information, and
provides the basis for ensuring that the
data are nationally consistent, complete,
more accurate, and timely.
2 2008 ANCR, available at https://www.epaecho.gov/echo/ancr/us/docs/ancr_report_2008.pdf.
3 See https://www2.epa.gov/compliance/nextgeneration-compliance.
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D. EPA’s Next Generation Compliance
Strategy
EPA’s Next Generation Compliance is
an integrated strategy to improve
regulations and permits with new
monitoring and information technology
and expanded transparency.3 It is
designed to motivate the regulated
community to increase compliance,
inform the public about performance,
and help ensure the public has access to
information about their communities
that allows them to more fully engage in
environmental protection efforts.
In addition to converting reporting
from a paper to electronic format, the
electronic system guides the user
through the reporting process with
integrated compliance assistance and
data quality checks. From a compliance
perspective, electronic reporting will
allow regulated entities, governmental
agencies, and the public to more quickly
identify violations, and then more
quickly address them.
Electronic reporting is a key
component of the Next Generation
Compliance Strategy (see DCN 0192).
This strategy and rulemaking record
shows that the shift from paper
reporting toward electronic reporting is
easier, more efficient, and costs less for
the facility and for regulatory agencies.
Electronic systems are used in the
modern era for almost every kind of
transaction. For the user, these systems
offer speed, convenience, expanded
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information choices and filing
capabilities. For government, they offer
the ability to increase transparency and
an opportunity to improve the ability to
spot pollution and compliance issues
and respond quickly to emerging
problems. Under EPA policy, electronic
reporting is now the default assumption
for new regulations (see DCN 0193).
IV. Rulemaking History
A. Proposed Rule
Since 2002, EPA and the authorized
NPDES programs have worked together
to update the information and data that
states, tribes, territories, and EPA need
to successfully implement, manage, and
oversee the NPDES program. Various
iterations of critical data elements were
discussed by the state and EPA
members of the Permit Compliance
System (PCS) Steering Committee, the
PCS Modernization Executive Council,
and the Expanded PCS Steering
Committee, which added
representatives from the Environmental
Council of the States (ECOS) and the
Association of Clean Water
Administrators (ACWA).4 Those efforts
led to the April 2007 issuance by EPA
of a draft ICIS–NPDES Policy Statement
that included the list of NPDES data
elements that states, tribes, and
territories would report to EPA (see
DCN 0056).
After receiving numerous comments
on the draft ICIS–NPDES Policy
Statement from the states, EPA began to
develop a federal regulation that would
require electronic reporting of specific
NPDES information from the regulated
permittees, states, tribes, and territories
(see DCN 0215 and 0216). In 2010, EPA
initiated an effort to carefully review the
data needs and uses, identify the types
of information and specific data
elements that would allow EPA to meet
those needs and uses, and evaluate
whether some information should be
sought directly from NPDES-regulated
facilities or from states, tribes, and
territories. This was done with full
acknowledgement that for certain
activities (such as permit issuance,
inspections, compliance determinations,
and issuance of enforcement actions),
the states, tribes, and territories are the
unique source of the identified NPDES
information. During the summer of
2010, EPA conducted a series of
concurrent technical analyses of various
data types and facility types, which
examined the feasibility of electronic
reporting, various regulatory options,
the existing regulatory data and
reporting requirements, key
considerations, and preliminary
information regarding costs and benefits
(see DCN 0018, 0019, 0020, 0021, 0022).
After significant deliberations and
consultations with states, EPA
published the proposed rule on 30 July
2013 (78 FR 46006) and opened a 135
day public comment period.
EPA received 170 public comments
on the proposed rule from a variety of
stakeholder groups. The comments were
generally supportive of electronic
reporting as modern and efficient, but
raised issues regarding aspects of the
proposed implementation and operation
of the rule. Table 1 provides an
overview of the public comments EPA
received during the proposed rule
comment period. The largest number of
public comments (by pages) came from
state government agencies with
industrial stakeholders contributing
most of the remaining comments. Many
of the industrial comments came from
the agricultural sector.
TABLE 1—NUMBER OF PROPOSAL PUBLIC COMMENTS
Number of
submissions
Commenter type
Number of
comment
pages
Anonymous or Individual Person .............................................................................................................................
Environmental Advocacy Organization ....................................................................................................................
Government (Local) .................................................................................................................................................
Government (State) .................................................................................................................................................
Government (Federal) .............................................................................................................................................
Industry (Misc.) ........................................................................................................................................................
Industry (Agriculture) ...............................................................................................................................................
Industry (Software Vendors) ....................................................................................................................................
32
3
28
39
2
39
25
2
44
22
114
308
5
188
163
6
Total ..................................................................................................................................................................
170
850
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EPA considered all of these comment
submissions and identified the key
issues raised by commenters. EPA has
responded to these comments in the
comment response document
supporting this rulemaking (see DCN
0218).
B. Supplemental Notice of Proposed
Rulemaking (SNPR)
On 1 December 2014, EPA published
a supplemental notice to the 2013
proposed NPDES Electronic Reporting
Rule and opened a 60-day public
comment period (79 FR 71066). EPA
used this document to identify many of
the issues raised by commenters during
the public comment period for the
proposed rule, clarify
misunderstandings about the proposal,
and discuss possibilities for how EPA
might modify the rule to address issues
raised by stakeholders.
EPA received 58 public comments on
the supplemental notice to the proposed
rule from a variety of stakeholder
groups. The comments were again
generally supportive of electronic
reporting as modern and efficient and
provided meaningful comments on
alternative means for implementing the
final rule. Table 2 provides an overview
of the public comments EPA received
during the SNPR comment period. As
with the proposed rule, the largest
number of public comments (by pages)
came from state government agencies.
4 Formerly known for 50 years as the Association
of State and Interstate Water Pollution Control
Agencies (ASIWPCA).
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64071
TABLE 2—NUMBER OF SUPPLEMENTAL NOTICE OF PROPOSED RULEMAKING PUBLIC COMMENTS
Number of
submissions
Commenter type
Number of
comment
pages
Anonymous or Individual Person .............................................................................................................................
Environmental Advocacy Organization ....................................................................................................................
Government (Local) .................................................................................................................................................
Government (State) .................................................................................................................................................
Government (Federal) .............................................................................................................................................
Industry (Misc.) ........................................................................................................................................................
Industry (Agriculture) ...............................................................................................................................................
Industry (Software Vendors) ....................................................................................................................................
1
2
4
28
1
17
4
1
1
9
12
179
6
75
19
4
Total ..................................................................................................................................................................
58
305
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EPA considered all of these comment
submissions and has responded to these
comments in the comment response
document supporting this rulemaking
(see DCN 0218).
authorized NPDES programs during the
implementation of this final rule.
C. Outreach
Section VI of the proposed rule details
EPA’s extensive outreach efforts prior to
the proposed rule. EPA continued this
outreach during the public comment
period on the proposed rule (DCN
0111). In particular, EPA held over 30
webinars and meetings with over 1,200
people to discuss the proposed rule. In
addition to two public comment
periods, EPA has conducted additional
stakeholder meetings to further discuss
and refine particular aspects of the rule
prior to promulgation.
Many states expressed concerns with
the proposed rule. EPA held
teleconferences with authorized NPDES
programs to obtain their individual
views on various aspects of the
proposed rule. EPA met with over
twenty five states, ECOS, ACWA, and
New England Interstate Water Pollution
Control Commission to take into
account their individual comments and
concerns about the rule (see DCN 0128
to 0142, 0181, 0219 to 0229).
Additionally, EPA separately contacted
each authorized NPDES program to
individually assess its readiness for
these new electronic reporting
requirements. This extensive outreach
helped inform the implementation
process of the final rule and the
additional flexibilities that authorized
states, tribes, and territories need for a
measured and orderly conversion from
paper to electronic reporting. As noted
elsewhere in this preamble, EPA has
extended the time for full
implementation of this final rule from
two years to five years. EPA has also
provided authorized NPDES programs
with more flexibility in how they
administer electronic reporting waivers.
EPA will continue its outreach to
NPDES regulated entities and
This section identifies the regulatory
changes made by this final rule and the
significant decisions made by EPA in
response to public comments. EPA has
responded to all public comments in the
comment response document
supporting this rulemaking (see DCN
0218).
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V. Summary of Decisions in the Final
Rule
A. Overview of Existing Regulations
Modified by the Final Rule
EPA is amending the following
NPDES regulations to require electronic
reporting by NPDES-regulated facilities,
to require electronic reporting of NPDES
information by the states, tribes, and
territories to EPA, and to eliminate some
existing reporting requirements,
particularly those for states, tribes, and
territories. In addition to the creation of
a new 40 CFR part 127, the final rule
adds or modifies the following existing
regulations:
• 40 CFR 122.22. Signatories to
permit applications and reports;
• 40 CFR 122.26(b)(15), (c)(1)(ii), and
(g)(1)(iii). Stormwater discharges
(applicable to State NPDES programs,
see 40 CFR 123.25);
• 40 CFR 122.28(b)(2). General
Permits (applicable to State NPDES
programs, see 40 CFR 123.25);
• 40 CFR 122.34(g)(3). Reporting [as
related to small Municipal Separate
Storm Sewer Systems (MS4s)];
• 40 CFR 122.41(l)(4)(i). Monitoring
reports [Discharge Monitoring Reports];
• 40 CFR 122.41(l)(6). Twenty-four
hour reporting [Noncompliance which
may endanger health or the
environment];
• 40 CFR 122.41(l)(7). Other
noncompliance;
• 40 CFR 122.41(l)(9). Identification
of the Initial Recipient for the Electronic
Reporting of NPDES Program Data [a
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new standard condition added by this
final rule];
• 40 CFR 122.41(m)(3). Notice [as
related to Bypass sewer overflows];
• 40 CFR 122.42(c). Municipal
separate storm sewer systems [as related
to medium or large MS4s];
• 40 CFR 122.42(e)(4). Annual
reporting requirements for CAFOs;
• 40 CFR 122.43. Establishing permit
conditions (applicable to State NPDES
programs, see 40 CFR 123.25);
• 40 CFR 122.44(i). Monitoring
requirements;
• 40 CFR 122.48(c). Requirements for
recording and reporting of monitoring
results (applicable to State NPDES
programs, see 40 CFR 123.25);
• 40 CFR 122.63(f). Minor
modifications of permits [a new option
that explicitly states that NPDES
programs may use the minor
modification process to incorporate
electronic reporting into NPDES
permits];
• 40 CFR 122.64(c). Termination of
permits (applicable to State NPDES
programs, see 40 CFR 123.25);
• 40 CFR 123.22. Program
description;
• 40 CFR 123.24(b)(3). Memorandum
of Agreement with the Regional
Administrator;
• 40 CFR 123.25(a). Requirements for
permitting;
• 40 CFR 123.26. Requirements for
compliance evaluation programs;
• 40 CFR 123.41(a). Sharing of
information;
• 40 CFR 123.43(d). State data
transmission of information from states
to EPA;
• 40 CFR 123.45. Noncompliance and
program reporting by the Director; [this
replaces several state reports of
noncompliance with the NNCR];
• 40 CFR 403.10(f). State Pretreatment
Program requirements;
• 40 CFR 403.12(e). Periodic reports
on continued compliance [Pretreatment
program reports for Categorical
Industrial Users];
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• 40 CFR 403.12(h). Reporting
requirements for Industrial Users not
subject to categorical Pretreatment
Standards [Pretreatment program
reports for Significant Industrial Users
not subject to EPA categorical
pretreatment standards];
• 40 CFR 403.12(i). Annual POTW
reports [Pretreatment program report];
• 40 CFR 501.21. Program Reporting
to EPA (State Sludge Management
Program) [the final rule eliminates the
state annual biosolids report to EPA];
• 40 CFR 503.18. Reporting [Sewage
Sludge/Biosolids Annual Program
Report for land application];
• 40 CFR 503.28. Reporting [Sewage
Sludge/Biosolids Annual Program
Report for surface disposal]; and
• 40 CFR 503.48. Reporting [Sewage
Sludge/Biosolids Annual Program
Report for incineration].
EPA has grouped the existing NPDES
reporting requirements into ‘‘NPDES
Data Groups,’’ which are defined and
listed in 40 CFR 127.2(c) and in Table
1 to appendix A of 40 CFR part 127. As
defined in 40 CFR 127.2(c), the term
‘‘NPDES data group’’ means the group of
related data elements identified in Table
1 in appendix A to 40 CFR part 127.
These NPDES data groups have similar
regulatory reporting requirements and
have similar data sources. The final rule
uses the NPDES Data Groups to identify
the minimum set of data elements for
each type of NPDES reporting (e.g.,
DMRs, NOIs, program reports) and to
help permittees and regulated entities
identify the initial recipient, as defined
below in Section B.1, of electronic
NPDES data submissions.
B. Implementation
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1. Initial Recipient Status
Under the final rule, NPDES-regulated
entities are required to submit NPDES
program data to the designated initial
recipient, as defined in 40 CFR 127.2(b).
For this rule, the term ‘‘initial recipient’’
means the governmental entity, either
the state or EPA, who first receives the
NPDES program data listed in appendix
A to 40 CFR part 127. The initial
recipient designation is made separately
for each state and by each NPDES data
group, which is defined in 40 CFR
127.2(c). EPA is using the initial
recipient term to help NPDES regulated
entities properly identify the recipient
for their electronic NPDES program data
submissions. The initial recipient
provision will also help ensure that
authorized NPDES programs and EPA
are properly sharing these NPDES
program data with each other. EPA is
required by the rule to maintain the
initial recipient list for each state and by
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each NPDES data group and publish this
list on its Web site and in the Federal
Register. Identification of the initial
recipient for each NPDES data group is
included as a new NPDES permit
standard condition as is the URL to the
above Web site [see 40 CFR
122.41(l)(9)]. EPA will work with
authorized NPDES programs that would
like more flexibility with the initial
recipient designation (e.g., a state may
want to be designated for NOIs for
CAFOs but not MS4s).
As necessary, the initial recipient
designation can switch back and forth
between the authorized state, tribe, or
territory NPDES programs and EPA.
EPA’s goal is to help all authorized
NPDES programs be the initial recipient
for any data group (e.g., DMRs) for
which they would like to first receive
the data.
• As of the effective date of the final
rule, the Initial Recipient determination
is an ‘opt-out’ process for authorized
state, tribe, or territory NPDES
programs. Per § 127.27(a), an authorized
NPDES program must notify EPA within
120 days of the effective date of the final
rule if it wishes EPA to be the Initial
Recipient for a particular NPDES data
group. If EPA receives no such
notification, EPA will designate the
authorized state, tribe, or territorial
NPDES program as the Initial Recipient
for all NPDES data groups.
• An authorized NPDES program can
initially elect for EPA to be the initial
recipient and then, at a later date, seek
EPA approval to change the initial
recipient status for one or all of the
NPDES data groups from EPA to the
authorized state, tribe, or territory. To
make this switch, the authorized state,
tribe, or territory must send a request to
EPA. This request shall identify the
specific NPDES data groups for which
the state, tribe, or territory would like to
be the initial recipient of electronic
NPDES information, include a
description of how its data system will
be compliant with 40 CFR part 3
(including, in all cases, subpart D) and
40 CFR part 127, and the date or dates
when the state, tribe, or territory will be
ready to start receiving this information.
Section 127.27 outlines the process for
requesting the designation of initial
recipient. After EPA approval of the
request, EPA will update the initial
recipient list and will publish the
revised initial recipient listing on its
Web site and in the Federal Register.
• An authorized NPDES program can
initially elect to be the Initial Recipient
for one or all of the NPDES data groups
and then at a later date request that EPA
become the initial recipient for one or
all of the NPDES data groups. To make
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this switch the authorized state, tribe, or
territory will send a request to EPA.
After coordination with the state, EPA
will update the initial recipient list and
will publish the revised initial recipient
listing on its Web site and in the
Federal Register [see § 127.27(a)].
• There is also a process in
§ 127.27(d) for ensuring that authorized
NPDES programs share the minimum
set of NPDES program data with EPA
(see Appendix A to 40 CFR part 127).
This process will switch the initial
recipient status from the authorized
state, tribe, or territory to EPA if the
authorized NPDES program is not
sharing the minimum set of NPDES
program data with EPA. As noted in the
proposed § 127.27(d)(4), EPA will work
with the Director of the authorized
NPDES program to remediate all issues
identified by EPA that prevent the
authorized NPDES program from being
the initial recipient. When all issues
identified by EPA are determined by
EPA to be satisfactorily resolved, EPA is
required to update the initial recipient
listing in § 127.27(c) in order to list the
authorized state, tribe, or territory as the
initial recipient.
An authorized NPDES program will
continue to retain its responsibilities to
facilitate electronic reporting even if it
elects for EPA be the Initial Recipient
for a particular NPDES data group. For
example, an authorized NPDES program
will still be expected to continue to
provide support to NPDES regulated
entities to facilitate electronic reporting
(e.g., provide registration support,
electronic reporting system training and
user support) even when the authorized
NPDES programs elects for EPA to be
the initial recipient. EPA will assist
authorized NPDES programs by
providing training and support to
authorized NPDES programs so that
they can fully understand and use EPA’s
electronic reporting systems and thereby
provide effective support to NPDES
regulated entities.
It is important to note the interaction
between the CROMERR requirements
and the Initial Recipient requirements
in the final rule.5 For example, if the
initial recipient status for a particular
state for a particular data group switches
from the state to EPA, then the NPDESregulated entities in that data group in
5 EPA seeks to ensure that electronic reporting
has at least the same level of legal defensibility and
dependability as information that EPA would
obtain through hard-copy paper submission. The
Cross-Media Electronic Reporting Regulation
(CROMERR), promulgated October 13, 2005,
provides the legal framework for electronic
reporting requirements established under all EPA
environmental regulations (40 CFR part 3). See the
proposed rule for more background detail on
CROMERR (30 July 2013; 78 FR 46035).
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that state would need to ensure they
register with the appropriate
CROMERR-compliant system. In this
example, NPDES-regulated entities will
switch from using the state electronic
reporting systems to EPA’s electronic
reporting systems (e.g., NetDMR, NeT).
This means that these regulated entities
will need to register and obtain the
necessary signing credentials for EPA’s
electronic reporting systems. Similarly,
if the initial recipient status for a
particular state for a particular data
group switches from EPA to the state,
then those NPDES-regulated entities in
that data group in that state would
switch from using an EPA electronic
reporting system to a state electronic
reporting system. Under this scenario,
regulated entities will need to register
and obtain the necessary signing
credentials for the authorized NPDES
program’s electronic reporting systems.
However, if a state is using EPA’s
electronic reporting systems, the
regulated entities would not need to
register again.
2. Implementation Plan Schedule
EPA initially proposed two phases for
the implementation of electronic
reporting with the first phase starting
one year after the effective date of the
final rule and a second phase starting
two years after the effective date of the
final rule. EPA proposed full
implementation of electronic reporting
within two years after the effective date
of the final rule. Many authorized
NPDES programs indicated that they
would likely not be able to implement
electronic reporting for all data within
two years of the effective date of the
final rule. One commenter suggested
that EPA consider working with
authorized NPDES programs to develop
individual state plans with a schedule
for implementation based on state
readiness and resources to implement
electronic reporting. Other commenters
suggested extending the IP beyond two
years. After significant consultation
with authorized NPDES programs EPA
is adopting the implementation
schedule described in Section VII.A.
EPA is providing additional time (five
years from the effective date of the final
rule) for authorized NPDES programs to
switch their processing of Phase 2
NPDES program data (e.g., general
permit reports, program reports) from
paper to electronic format in this final
rule. This additional implementation
time for Phase 2 data collection,
management, and sharing will help
authorized NPDES programs build or
adopt electronic reporting systems for
Phase 2 data as well as register and train
NPDES regulated entities. EPA is
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keeping the proposed one-year schedule
for the DMR data flow to be switched
from paper to electronic format since
nearly all authorized NPDES programs
and many tens of thousands of NPDES
permittees are already using NetDMR
and other electronic Discharge
Monitoring Report (eDMR) systems. The
proposed rule also had the Federal
general permit reports (NOIs, NOTs,
LEWs, NOEs) included in Phase 1
implementation. These permits are now
included in Phase 2 of the final rule so
that the implementation is consistent for
all general permits. EPA will
incorporate the requirements of this
final rule into re-issued general permits
so that EPA can expedite electronic
reporting as soon as possible.
In accordance with the final rule [40
CFR 127.26(h)], authorized NPDES
programs will also need to submit an IP
to EPA for EPA’s review. The content of
these plans must provide enough detail
(e.g., key tasks and end dates) to ensure
successful implementation of electronic
reporting for Phase 2 data. These plans
must include key tasks and the related
end dates necessary for implementing
this final rule, such as: (1) Describing
key tasks for electronically collecting all
Phase 2 data from NPDES-regulated
facilities (e.g., developing and deploying
electronic reporting systems and
applications); (2) describing key tasks
for updating state NPDES data systems
to manage and share Phase 2 data with
EPA’s ICIS–NPDES (e.g., adding new
data elements to state NPDES data
systems, updating the state’s electronic
data transmission capabilities, which
includes incorporating new data
schemas and Environmental
Information Exchange Network node
plug-ins); (3) CROMERR compliance
status for electronic reporting systems
(e.g., approval dates or anticipated
approval end dates for each NPDES data
group); (4) schedule end dates for
updating state statutes, regulations, and
NPDES permits; (5) summary of
outreach and training necessary to alert
and educate NPDES regulated entities
on how to utilize electronic reporting
systems; (6) alternative options for
converting to electronic reporting (e.g.,
utilization of EPA services and systems
like NetDMR or NeT) if the state
continually misses its own scheduled
milestones end dates; and (7) temporary
and permanent waiver approval
processes. EPA will provide authorized
NPDES programs with additional
guidance on the content of these plans
after promulgation of the final rule. EPA
will inform the state if its
implementation plan is inadequate.
These plans should be sent to EPA
within one year of the effective date of
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64073
the final rule. EPA will review each IP
and work with the corresponding
authorized NPDES program to identify
potential weaknesses and suggest
potential revisions. EPA will finish its
review of all IPs and inform the
authorized NPDES program if its
implementation plan is inadequate no
later than six months after receipt. EPA
plans to post these IPs on its Web site
to provide the public with greater
transparency on the milestones and
tasks each state will be taking to move
towards electronic reporting.
3. Ensuring Compliance With the
Implementation Schedule
As noted in Section V.B.2, EPA is
phasing in the electronic reporting
requirements of this final rule over five
years. In accordance with the schedule,
and as a means to ‘‘fill in the gaps’’
where NPDES-regulated entities are not
yet reporting electronically, EPA will
use its authority, as appropriate, to issue
targeted individual notices requiring
NPDES-regulated entities to
electronically report their NPDES
program data (appendix A to 40 CFR
part 127). EPA initially proposed to
have these data come directly to EPA.
Authorized NPDES programs suggested
that instead EPA should require NPDES
regulated entities to use state, tribe, or
territorial electronic reporting systems
that are in compliance with the final
rule, as this would be more efficient. In
this final rule, EPA is adopting the
approach recommended by authorized
NPDES programs and will use its
existing authority under the CWA along
with current technology and an
Information Collection Request (ICR) to
require NPDES-regulated entities to
report electronically. EPA is using its
authority under CWA sections 101,
304(i), 308, 402(b), and 501 to require
NPDES-regulated entities to
electronically report NPDES program
data. Section 308 of the CWA authorizes
EPA to require access to information
necessary to carry out the objectives of
the Act, including Section 402, which
establishes the NPDES program. EPA
provided examples in the SNPR
regarding when it would use this
authority to send notices to NPDES
regulated entities to start electronic
reporting (1 December 2014; 79 FR
71070).
EPA also notes that authorized
NPDES programs can use their
enforcement discretion to refrain from
enforcing conditions in the permit or
other control mechanisms that explicitly
require paper reporting as long as the
regulated entity successfully reports its
data electronically using the appropriate
CROMERR-approved electronic
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reporting system. This would enable
EPA and authorized states, tribes, and
territories to realize the benefits of
electronic reporting without requiring
double reporting from regulated entities
and coordinating two separate
submissions. The following are the main
methods by which electronic reporting
requirements will most likely be
implemented by authorized NPDES
programs and NPDES regulated entities
under the final rule. As shown in Table
3, authorized programs have several
mechanisms to minimize the potential
for dual reporting (paper and electronic
submissions of the same data).
Method
Description
Electronic Reporting Allowable in Existing NPDES Permit ..........................................
Existing reporting requirements in some
NPDES permits may already allow for
permittees to switch to electronic reporting (e.g., no explicit requirement to
report DMRs on paper forms to the
state).
NPDES permit issuances are staggered.
This means that some NPDES permits
will be incorporating electronic reporting
requirements before the implementation
schedule deadlines.
Authorized NPDES programs can issue
an enforcement letter that allows
NPDES permittees to forgo filing paper
forms as long as they use the approved
electronic reporting systems.
With the consent of the permittee, the
NPDES permitting authority can incorporate electronic reporting requirements
through a minor modification. This is
usually done permit-by-permit but there
are no restrictions on a state that would
like to take one action to change multiple permits at once. These minor
modifications are very specific updates
and do not require public notice. The
NPDES regulated entity can use these
minor modifications to eliminate the potential for dual reporting (paper and
electronic).
The state can also require electronic reporting in addition to paper reporting,
which is required by existing permit language. The dual reporting would last
only until the permit expires and the
next permit is issued with electronic reporting requirements. This is EPA’s
least preferred option to phase in electronic reporting.
NPDES Permit Issuance ...............................................................................................
Enforcement Discretion .................................................................................................
Minor Modification .........................................................................................................
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Dual Reporting ..............................................................................................................
Under the implementation schedule
for this final rule, EPA will assess the
electronic reporting participation rate of
NPDES regulated entities in each state
and by each data group to determine
when it would be appropriate to send
individual notices. For example, EPA
may send individual notices to compel
electronic reporting when the
authorized state, tribe, or territory has
less than 90-percent participation rate
for one or more data groups (e.g., MS4
program reports), calculated after the
required time for electronic reporting of
the particular data group. EPA will
separately calculate the participation
rate for each state and for each data
group no later than six months after the
deadline for conversion from paper to
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electronic submissions (e.g., 18 months
after the effective date of the final rule
for DMRs). As appropriate, EPA will
then send notice to the NPDES regulated
entities that are not utilizing electronic
reporting (e.g., 21 months after the
effective date of the final rule for
DMRs). This notice will direct NPDES
regulated entities to use their authorized
NPDES program’s electronic reporting
system. Failure to comply with this
notice will result in noncompliance
with the CWA and may result in
penalties. EPA will repeat its review of
the participation rate for each state and
for each data group on an annual basis
as needed and send out notices as
appropriate. EPA will coordinate the
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Potential for
dual reporting
(paper and
electronic)
No.
No.
No.
No.
Yes.
distribution of these notices with the
authorized NPDES program.
EPA anticipates that it may use
individual notices to compel electronic
reporting will likely be minimal as
electronic reporting, over the long term,
reduces burden for the reporter. It is
also important to note that many
facilities have already made the switch
to electronic reporting (e.g., most DMR
filers in Ohio are using Ohio’s e-DMR
system).
EPA solicited comment on this 90percent participation rate metric.
Commenters noted difficulties in
outreach and training for the large
number of NPDES-regulated entities that
will need to switch from paper to
electronic reporting. As described
above, EPA is providing more time for
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authorized NPDES programs to switch
their processing of Phase 2 NPDES
program data (e.g., general permit
reports, program reports) from paper to
electronic. This additional three years
will help authorized NPDES programs
build or adopt electronic reporting
systems for Phase 2 data as well as
register and train NPDES regulated
entities. EPA is keeping the proposed
one-year schedule for the DMR data
flow since DMR electronic reporting
tools are already deployed in 42 states,
with an additional six states actively
developing similar systems. This
existing electronic reporting capacity
has allowed tens of thousands of NPDES
regulated entities to electronically
report their DMRs over a number of
years.6 EPA is also retaining the 90
percent participation rate as this single
simple measure will be an effective
system to track progress and prompt
NPDES regulated entities and
authorized NPDES programs to switch
from paper to electronic reporting
within a reasonable time period. While
the 90-percent figure is not codified in
the final regulation [see 40 CFR
127.26(i)], EPA is including the 90percent figure in this preamble to the
final rule and the accompanying ICR as
a goal to promote electronic reporting
and as a reasonable estimate of the
number of entities that EPA may
directly contact. EPA will work with
states if there is a significant delay in
the adoption of electronic reporting and
re-assess the 90-percent participant rate
goal as part of its ICR renewal (ICRs are
typically approved by OMB for three
years) or as appropriate.
Another state commenter also
suggested that EPA calculate for each
authorized NPDES program one DMR
electronic submission participant rate
for individually permitted facilities and
another DMR electronic submission
participant rate for facilities covered
under general permits. The commenter
suggested that there are important
differences between individually
permitted facilities, which tend to be
the larger facilities with a continuous
discharge like POTWs, and facilities
covered under general permits, which
tend to be more numerous. Some
authorized NPDES programs also use
different agencies to manage specific
industrial sectors (e.g., oil and gas
facilities, mines, CAFOs) and these
industrial sectors are often covered by
general permits. EPA agrees with the
commenters that there are important
differences between individually
permitted facilities and facilities
6 See: https://netdmr.zendesk.com/entries/
45318090-For-New-Users-Who-Can-Report-.
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covered by general permits. Having one
DMR electronic submission participant
rate for individually permitted facilities
and another DMR electronic submission
participant rate for facilities covered
under general permits will allow EPA to
more accurately target only those
facilities and sectors with the poorest
electronic reporting participation rates.
In this final rule, EPA is adopting the
approach recommended by some
authorized NPDES programs and will
use one DMR electronic submission
participant rate for individually
permitted facilities and another DMR
electronic submission participant rate
for facilities covered under general
permits.
EPA will also work with states to
evaluate how best to assess electronic
reporting participation for general
permit reports (e.g., NOIs) for different
sectors (e.g., oil and gas facilities, mines,
CAFOs). The authorized NPDES
program will document how to assess
electronic reporting participation rates
for general permit reports in their IP.
Another important consideration is
that NPDES-regulated entities with
temporary waivers are excluded from
the participation calculations. For
example, if state X has 1,020
individually permitted facilities that are
required to submit DMRs and 20 of
these facilities are granted temporary
waivers from electronic reporting, then
as a group at least 900 of the 1,000
individually-permitted facilities without
waivers [= 0.9 × (1,020 ¥ 20)] need to
electronically submit DMRs to state X in
order to meet the 90-percent
participation rate. Examples of how EPA
will use individual notices to ‘‘fill in the
gaps’’ where NPDES-regulated entities
are not yet fully electronically reporting
their NPDES program data are provided
in the supplemental notice to the
proposed rule (1 December 2014; 79 FR
71070) and more examples are in the
docket (see DCN 0106).
4. Hybrid Approach for Construction
Stormwater NOIs
As an alternative to use of a
CROMERR-compliant electronic
reporting system, one commenter
suggested that EPA allow the initial
recipient the option of using data
capture technology [e.g., two
dimensional barcodes such as Quick
Response (QR) codes, optical character
recognition] (see DCN 0178). In
particular, authorized NPDES programs
have noted their difficulty in getting
construction operators to apply for and
maintain electronic signatures for use
with CROMERR-compliant electronic
reporting systems for stormwater related
discharges. Authorized NPDES
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64075
programs suggested that EPA provide
some flexibility in the final rule that
would allow construction operators the
ability to electronically submit data
from construction stormwater general
permit reports [e.g., Notice of Intent
(NOI) to discharge; Notice of
Termination (NOT); and Low Erosivity
Waiver and Other Waivers from
Stormwater Controls (LEW)] but without
an electronic signature. EPA solicited
comment on this approach in the
supplemental notice to the proposed
rule (1 December 2014; 79 FR 71076).
Several comments expressed support for
EPA to include this option in the final
rule as a means to provide authorized
NPDES programs with more options in
implementing the final rule. In this final
rule, EPA is providing the option for the
initial recipient to use data capture
technology for construction stormwater
general permit reports (i.e., NOIs, NOTs,
NOEs, LEWs). The following discussion
provides more detail on this optional
method for authorized NPDES programs
to comply with this final rule for
construction stormwater general permit
reports.
The final rule provides the initial
recipient the option of allowing data
capture technologies for construction
stormwater general permit reports. This
is defined in the final rule as the
‘‘Hybrid Approach.’’ For example,
under the Hybrid Approach, the initial
recipient may allow construction
operators to complete an online
construction stormwater general permit
report, which simultaneously produces
a paper copy of the report and
electronically transmits a copy of the
data from the report to the initial
recipient. The construction operator
will sign and date the paper copy of the
construction stormwater general permit
report with a handwritten signature and
this paper document will be the ‘‘copy
of record.’’ The paper document will be
managed in accordance with 40 CFR
122.28. It is important to note that EPA
general permit regulations (40 CFR
122.28) do not require all general permit
covered facilities to submit NOIs for all
general permits as some general permits
provide for automatic coverage. The
final rule does not change EPA’s general
permit regulations with respect to the
discretion of the authorized NPDES
program in deciding when a notice of
intent requirement would be
inappropriate [see 40 CFR
122.28(b)(2)(v)]. Under the Hybrid
Approach, the paper copy of the
construction stormwater general permit
report with a handwritten signature
must be submitted to the authorized
NPDES program.
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the electronic submission from the
NPDES regulated entity. This could be
done through use of a unique code or
mark on the signed and dated paper
document that is also embedded in the
electronic submission. See Figure 1.
Under the Hybrid Approach, the
initial recipient can also use automated
data capture technology (e.g., Optical
Character Recognition) to allow a
NPDES-regulated entity to submit
NPDES program data on paper with a
handwritten signature and date in a
structured format that allows for easy
data importation into the authorized
program’s NPDES data system. It is
likely in this example that the initial
recipient will also be the authorized
state, tribe, or territory since the paper
form will be sent by the construction
operator to the authorized NPDES
program.
EPA notes that using the Hybrid
Approach will require the procurement
and management of the necessary data
capture technology, maintenance of the
signed and dated paper submission, and
the training of potential users; however,
some authorized NPDES programs have
suggested the Hybrid Approach may be
less burdensome than requiring all
construction operators to register and
submit using standard CROMERRcompliant identity-proofing and
electronic reporting services.
Finally, EPA notes that it is limiting
this approach to the construction sector
due to the large and transient number of
permittees that are reporting each year
for new locations (approximately
200,000 new construction sites each
year). Use of the Hybrid Approach
eliminates the need for construction
operators to obtain and maintain a
digital signature and the need for
authorized NPDES programs to oversee
and troubleshoot the process for these
construction operators to obtain these
digital signatures.
EPA encourages state, local, or
municipal government that make the
Hybrid Approach available to regulated
entities in the construction sector to also
make CROMERR-complaint, fullyelectronic reporting available as well,
reducing to the degree possible any
reliance on paper.
these temporary waivers to regulated
facilities in areas that lacked sufficient
broadband availability. Under the
proposal, temporary waivers would be
available for one year at a time.
Authorized NPDES programs would be
required to enter the hard-copy NPDES
program data submitted by facilities
with waivers into the state or federal
NPDES data system and share it with
EPA. EPA requested comment on the
need for such temporary waivers,
possible options for such waivers, and
on the possibility of permanent waivers
for religious reasons.
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C. Waivers
In the preamble to the proposed rule,
EPA introduced the concept of
temporary waivers from electronic
reporting of NPDES program data. EPA
proposed to limit the availability of
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1. Temporary Waivers
During the two public comment
periods, EPA received several comments
on temporary waivers. The majority of
the comments on this topic supported
the overall concept of temporary
waivers from NPDES electronic
reporting. Commenters expressed
support for waivers that would have a
longer duration than the one-year
renewable timeframe identified in the
proposed rule. Several commenters
suggested that waivers should also be
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Under the Hybrid Approach, the
initial recipient must have the ability to
definitively and uniquely link the
signed and dated paper document with
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made available for certain
circumstances beyond broadband
availability issues, such as undue
burden or cost to the authorized NPDES
program. For example, it may be more
efficient for the state to manually enter
data into an electronic system, than to
train a NPDES regulated entity when
there are numerically few of a certain
category of permittees or when the
sector is known to have limited
computer skills even if the entity
potentially has access to broadband
internet.
In the final rule, EPA is providing
authorized NPDES programs with more
flexibility in how they may grant
temporary waivers. Per § 127.15 of the
final rule, each authorized NPDES
program will describe in its IP how it
will implement the NPDES Electronic
Reporting Rule waiver provision.
Authorized NPDES programs will
review and update, as necessary, their
implementation of the NPDES
Electronic Reporting Rule waiver
provision once every five years and
submit any changes to EPA for review.
EPA will inform the state if its waiver
process description is inadequate. The
duration of a temporary waiver may not
exceed five years, which is the normal
period for an NPDES permit term. EPA
also notes that these waivers are not
transferrable.
Additionally, authorized NPDES
programs may issue episodic waivers to
address large-scale national disasters
(e.g., hurricanes) or prolonged electronic
reporting system outages (i.e., outages
longer than 96 hours). The authorized
NPDES program will describe in the IP
how it plans to issue episodic waivers
in these extreme situations as part of its
implementation of the NPDES
Electronic Reporting Rule waiver
provision.
2. Permanent Waivers
Commenters suggested that EPA
should make permanent waivers for
NPDES-regulated entities owned or
operated by members of religious
communities (e.g., Amish, Mennonite,
and Hutterite). EPA agrees that it would
be appropriate for the final rule to
accommodate the religious practices of
individuals that choose not to use
certain technologies (e.g., computers,
electricity) in accordance with their
religion. In the final rule, authorized
NPDES programs may issue permanent
waivers to facilities owned or operated
by members of religious communities
that choose not to use certain
technologies. Authorized NPDES
programs will document their
procedures for issuing permanent
waivers as part of their implementation
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of the NPDES Electronic Reporting Rule
waiver provision, which is described
above. EPA notes that a NPDES
regulated entity will need to re-apply for
a permanent waiver upon any change in
facility ownership and that these
waivers are not transferrable.
D. Summary of Changes to Appendix A
Appendix A to the final rule (40 CFR
part 127) is the minimum set of NPDES
program data that must be electronically
collected, managed, and shared between
NPDES-regulated facilities, authorized
NPDES programs, and EPA.7 Authorized
programs that are the ‘‘initial recipient’’
of these data must electronically transfer
these data to EPA on a regular schedule
(within 40 days of completed action).
EPA worked extensively with NPDES
program experts from across the Agency
and with authorized NPDES programs to
develop and refine Appendix A. The
purpose of Appendix A is to ensure that
there is consistent and complete
reporting nationwide, and to expedite
the collection and processing of the
data, thereby reducing burden and
making the data more timely, accurate,
complete, useful, and transparent for
everyone. EPA recognizes that there
may be certain instances where
appendix A data do not apply directly
to particular permitted activities as
written and will work with states to
accommodate any necessary differences.
For instance, there may not be a fixed
address for the application of pesticides,
so, in this instance, the NOI may not
include facility physical address,
latitude, and longitude information as
described in Appendix A, but would
likely contain equivalent information as
required by the permit.
When reviewing the list of Appendix
A data elements, it is important to note
the following concepts:
• Frequency: Reporting frequency
varies based on the type of data (e.g.,
permit issuance would likely be every
five years; DMR data may be monthly).
• Applicability: Many of the data
elements are only applicable to certain
NPDES sectors (e.g., CAFO data
elements do not apply to POTWs).
• Efficiency: Many of the data
elements use codes or unique
descriptions to facilitate easier data
entry.
These concepts highlight the fact that
there is a direct relationship between
the amount of data that will be reported,
collected, and managed and the overall
burden of the rulemaking. The amount
7 Authorized NPDES programs may grant
electronic reporting waivers to NPDES-regulated
facilities. In these cases, states perform the data
entry from the paper submissions.
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of data generated by each data element
is directly tied to how frequently the
data element is reported, the number of
regulated entities that are covered by the
data element (i.e., applicability), and the
ease of reporting (i.e., efficiency). The
amount of data generated by a data
element directly increases with more
frequent data reporting of the data
element, more entities subject to the
data element, and decreases with
simplified data reporting (e.g., using text
fields instead of use of codes or unique
descriptions, which facilitate easier data
entry). Consequently, it is important to
focus on the amount of data that will be
collected by this final rule and not the
number of data elements listed in
appendix A. EPA used the following
process to create the initial draft of
appendix A:
• Identify current candidate reports
and information from authorized
NPDES programs and NPDES regulated
entities that are practical to standardize
and electronically process and have
important value to the permitting and
compliance and enforcement programs
and the public.
• Identify the required data elements
for each candidate data flow and report
based on the CWA or existing EPA
regulations.
• Minimize the number of data
elements to create efficiencies without
losing the utility of the data.
During 2014 and 2015, EPA met with
state technical experts to discuss all the
data elements in appendix A. EPA
summarized these discussions for the
Docket (see DCN 0128 to 0142, 0181,
0219 to 0229).
In general, EPA simplified appendix
A to help make implementation of the
final rule easier for authorized NPDES
programs and NPDES regulated entities.
The data elements in appendix A
support the electronic collection,
management, and sharing of Phase 1
and Phase 2 data.
EPA also noted that authorized
NPDES programs can require NPDES
regulated entities to submit more data
than what is listed in appendix A. The
authorized NPDES program can require
NPDES regulated entities to submit
these ‘‘non-appendix A’’ data on paper,
electronically, or as attachments (e.g.,
PDF files, CSV files) to electronic
notices and reports filed in compliance
with this final rule. Some commenters
requested clarification on how EPA’s
electronic reporting tools will be
configured to separately handle
appendix A and non-appendix A data.
EPA’s electronic reporting tools allow
for non-Appendix A data to be collected
and shared with authorized NPDES
programs. EPA will continue to work
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with authorized NPDES programs to
configure these data systems such that
the non-appendix A data are collected
in the format needed by the authorized
NPDES program. These implementation
efforts will ensure that NPDES regulated
entities only need to make one
electronic submission with EPA’s
electronic reporting tools and that these
submissions may contain a mix of
appendix A and non-appendix A data.
EPA will work with authorized NPDES
programs that build their own electronic
reporting tools to ensure that their tools
have similar capabilities.
E. Unpermitted Facilities
Current EPA regulations and policy
set forth expectations for authorized
NPDES programs to provide compliance
monitoring data on all permitted
facilities, both major and nonmajor
facilities, and a limited group of
unpermitted facilities. See 40 CFR
123.41, DCN 0007, DCN 0037, and DCN
0188. Under the 2014 Clean Water Act
National Pollutant Discharge
Elimination System Compliance
Monitoring Strategy (‘‘2014 CMS’’),
authorized NPDES programs can
propose an alternative Compliance
Monitoring Strategy (CMS) plan, which
may include the state’s plan to conduct
‘‘focused inspections’’ or ‘‘off-site desk
audits’’ instead of ‘‘comprehensive
inspections’’ for certain facilities (see
DCN 0188). An alternative NPDES CMS
plan is a plan that includes one or more
compliance monitoring commitments
that deviate from the national goals and
flexibilities (see Part 2 of the 2014 CMS
for detailed description of the national
goals). As compared to the national
goals, an alternative plan could include
modified frequency of comprehensive
inspections, modified compliance
monitoring activities (e.g., offsite desk
audit), or a combination of the two. As
a condition for EPA approval of the
alternative CMS plan, the state must
commit to share with EPA’s ICIS-NPDES
compliance monitoring data on all
facilities (including unpermitted
facilities) subject to a ‘‘focused
inspection’’ or an ‘‘off-site desk audit’’
instead of ‘‘comprehensive inspection’’
(see Part 1 of the 2014 CMS).
Additionally, EPA regulations require
authorized NPDES programs to share
compliance monitoring data with EPA
on unpermitted facilities found to be in
violation of the Clean Water Act (e.g.,
discharging without an NPDES permit)
(see 40 CFR 123.41).
This final rule does not change the
existing requirements for NPDES
programs to report information on
certain unpermitted facilities to EPA.
See 40 CFR 123.41(a); 123.43(d). In
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order to provide clarity, the following
examples clarify when authorized
NPDES programs are required to share
NPDES program data on unpermitted
facilities with EPA by entering these
data in to EPA’s national NPDES data
system (i.e., ICIS-NPDES).
Example #1: As part of an approved
alternative CMS plan, an authorized
NPDES program evaluated ten
unpermitted facilities with a focused
inspection or an off-site desk audit. As
a condition of EPA’s approval of the
alternative CMS plan, the authorized
NPDES program is required to share
NPDES program data on these ten
unpermitted facilities with EPA by
entering these data in to EPA’s national
NPDES data system (i.e., ICIS-NPDES).
Example #2: The same authorized
NPDES program in Example #1
responds to a citizen complaint of an
unpermitted facility by conducting an
inspection of the unpermitted facility.
This inspection is not part of the
authorized NPDES program’s approved
alternative CMS plan. The authorized
NPDES program determines that this
unpermitted facility is discharging
pollutants to waters of the U.S. without
an NPDES permit in violation of the
CWA. In accordance with this rule, the
authorized NPDES program is required
to share NPDES program data on this
unpermitted facility with EPA by
entering these data in to EPA’s national
NPDES data system (i.e., ICIS-NPDES).
Example #3: The same authorized
NPDES program in Example #1
responds to a citizen complaint of
another unpermitted facility by
conducting an inspection of the
unpermitted facility. This inspection is
not part of the authorized NPDES
program’s approved alternative CMS
plan. The state determines that this
unpermitted facility is not in violation
of the CWA. The authorized NPDES
program is not required to share NPDES
program data on this unpermitted
facility with EPA’s national NPDES data
system (i.e., ICIS-NPDES).
Example #4: An authorized NPDES
program responds to a citizen complaint
of an unpermitted facility by conducting
an inspection of the unpermitted
facility. The inspection is not conducted
pursuant to the authorized NPDES
program’s approved CMS plan. The
authorized NPDES program determines
that this unpermitted facility is
discharging pollutants to waters of the
U.S. without an NPDES permit in
violation of the CWA. In accordance
with this rule, the authorized NPDES
program is required to share NPDES
program data on this unpermitted
facility with EPA by entering these data
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in to EPA’s national NPDES data system
(i.e., ICIS-NPDES).
Example #5: The same authorized
NPDES program in Example #4
responds to a citizen complaint of
another unpermitted facility. The
inspection is not conducted pursuant to
the authorized NPDES program’s
approved CMS plan. The state
determines that this unpermitted facility
is not in violation of the CWA. The
authorized NPDES program is not
required to share NPDES program data
on this unpermitted facility with EPA’s
national NPDES data system (i.e., ICISNPDES).
Example #6: An authorized NPDES
program inspects a facility with both an
NPDES permit and state groundwater
protection permit. During a compliance
monitoring activity the inspector does
not evaluate compliance with the
NPDES permit but does determine that
the facility is in violation of several state
groundwater permit requirements (i.e.,
these violations are not violations of the
CWA). The authorized NPDES program
is not required to share NPDES program
data from this compliance monitoring
activity on this facility with EPA’s
national NPDES data system (i.e., ICISNPDES) because it was not an NPDES
program inspection.
Example #7: An authorized NPDES
program performs a comprehensive
inspection of an unpermitted facility to
determine if it is discharging without an
NPDES permit. The inspection is
conducted pursuant to the authorized
NPDES program’s approved CMS plan.
During the comprehensive inspection
the authorized NPDES program
determines that the unpermitted facility
is violating two state permit
requirements; however, the authorized
NPDES program also determines that
the unpermitted facility is not violating
the CWA. The authorized NPDES
program is not required to share NPDES
program data on this unpermitted
facility with EPA’s national NPDES data
system (i.e., ICIS-NPDES).
In summary, the final rule does not
require authorized NPDES programs to
share NPDES program data on
unpermitted facilities with EPA’s
national NPDES data system (i.e., ICISNPDES) with the following exceptions:
a. The approved alternative CMS plan
includes compliance monitoring of
unpermitted facilities through use of a
‘‘focused inspection’’ or an ‘‘off-site
desk audit’’ instead of a
‘‘comprehensive inspection.’’
b. Unpermitted facilities were subject
to compliance monitoring and found to
be in violation of the CWA (e.g.,
discharging pollutants to waters of the
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U.S.) and thus required to have an
NPDES permit.
c. Unpermitted facilities were subject
to a formal enforcement action, an
administrative penalty order, or an
informal enforcement action (if such
informal action addressed significant
noncompliance).
d. Authorized NPDES programs must
share with EPA NPDES program data on
industrial users regulated by the Federal
pretreatment program (40 CFR part 403).
e. Authorized NPDES programs must
share with EPA NPDES program data on
entities regulated by the Federal
biosolids program (40 CFR part 503).
Basic facility data on these
unpermitted facilities and the related
compliance monitoring data must be
shared with EPA’s national NPDES data
system (i.e., ICIS-NPDES). For the first
three types of exceptions identified
above, EPA Regions, authorized states,
tribes, and territories would be required
to electronically provide the following
information to EPA’s national NPDES
data system: basic facility information;
compliance monitoring related
information; and, if applicable,
violations, and information regarding
enforcement actions.
Facilities included in the fourth group
would be operating under a control
mechanism, which may or may not be
a permit (see 40 CFR 403.8). In
accordance with the final rule, these
facilities will electronically submit their
bi-annual compliance reports [40 CFR
403.12(e) and (h)] to their Control
Authority (when the state or EPA is the
Control Authority). Additionally, the
Control Authority will summarize the
compliance and enforcement action data
for industrial users as part of the
Pretreatment Program Report [40 CFR
403.12(i)].
Facilities included in the fifth group
would be operating under EPA’s
Standards for the Use or Disposal of
Sewage Sludge (40 CFR part 503), which
are directly applicable to ‘‘any person
who prepares sewage sludge, applies
sewage sludge to the land or fires
sewage sludge in a sewage sludge
incinerator and to the owner/operator of
a surface disposal site’’ (see 40 CFR
503.1). This means that the annual
reporting requirements in 40 CFR
503.18, 503.28, and 503.48 are
applicable even in the absence of an
NPDES permit.
F. Nonmajor Facility Inspection Single
Event Violation (SEV) Data
Single Event Violations (SEVs)
include one-time events as well as
violations with longer durations. These
are violations that are generally not
automatically flagged by the data system
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64079
(e.g., inspection identified violations,
sewer overflow, spill of industrial
waste, discharges without an NPDES
permit). These violation determinations
are often manually generated by the
authorized NPDES program as opposed
to violations that can be system created
or generated (e.g., effluent exceedances
of permit limits are automatically
flagged by ICIS-NPDES).
SEV data are generated from
inspection reports and other compliance
monitoring activities by authorized
NPDES programs. Currently
approximately ten percent of facilities
designated as majors in ICIS-NPDES
have a SEV in any given year. These are
important violations that are not
automatically identified through selfmonitoring data like DMRs, and these
data are important for targeting,
transparency, and state oversight. The
availability of such compliance
determination information from states,
tribes, territories, and EPA is critical to
determining the compliance status of
NPDES regulated facilities. This
information is needed on a facilityspecific basis to better identify potential
problems; ensure that appropriate action
is taken to address noncompliance;
better quantify national or state
noncompliance rates; and to provide a
more complete and transparent picture
to permitting authorities, the public,
Congress, and other stakeholders of the
overall implementation and
effectiveness of the authorized NPDES
program. There are two to three data
elements associated with SEVs:
• Violation Code (this uniquely
identifies the type of violation)
• Date Data which includes: Single
Event Violation Date (used when
violation occurs on one date) or Single
Event Violation Start Date and Single
Event Violation End Date (used when
violation spans multiple dates)
Prior to this final rule, EPA only
required authorized NPDES programs to
share with EPA SEV data on facilities
designated as majors. In the proposed
rule, EPA discussed requiring
authorized NPDES programs to also
share with EPA SEV data on facilities
designated as nonmajors (see 30 July
2013; 78 FR 46041). EPA received
comments from authorized NPDES
programs suggesting that EPA rely on
the Performance Partnership
Agreements (PPA) and Performance
Partnership Grants (PPG) process to
manage SEV data sharing expectations.8
EPA has decided not to use the PPA and
PPG process to manage SEV data
sharing between authorized NPDES
programs and EPA for the following
reasons.
PPAs and PPGs are often voluntary
and all authorized NPDES programs use
these documents to govern data sharing
between authorized NPDES programs
and EPA. Several states with PPAs have
not updated them since the mid to late
1990s, and the degree of specificity of
PPA commitments such as data entry,
inspections, and enforcement actions
varies widely. This highly variable,
voluntary process is not sufficient to
encourage and evaluate national
consistency in meeting national
program expectations for NPDES data
entry and tracking, compliance
evaluations and determinations, and
timely and appropriate enforcement
response.
Additionally, an authorized NPDES
program is only required to share with
EPA SEV data from a construction
stormwater inspection when the
authorized NPDES program also issues
a formal enforcement action against the
inspected construction site. As noted in
the proposal, EPA made this distinction
based on the large number of facilities
in this segment of the NPDES universe
(approximately new 200,000
construction sites each year). This
distinction is made in appendix A to 40
CFR part 127.
Finally, EPA notes that data from
some SEVs will be self-reported by the
permitted facilities. For example, a
sewer overflow is an SEV but the
permittee will be collecting and
electronically sharing these data with
the permitting authority (i.e., it will be
the permittee that will electronically
report these SEV data to the authorized
NPDES program who will then
electronically share these data with
EPA). There are similar examples of
permitted facilities reporting on SEVs in
other program reports (e.g., CAFO
Annual Report, Biosolids Annual
Report). EPA has included in the
Economic Analysis and Information
Collection Request supporting the final
rule the cost and burden of expanding
the requirement on authorized NPDES
programs to share with EPA SEV data
on nonmajors (see DCN 0197).
8 Individual PPAs can range from general
statement about how the state and EPA will work
together as partners (perhaps identifying joint
priorities that will be addressed) to comprehensive,
multi-program documents that detail each party’s
roles and responsibilities. Some PPAs meet relevant
statutory and regulatory requirements and also
serve as the work plans for Performance Partnership
Grants (PPGs) or other EPA grants. In a few cases,
the PPA contains a more general discussion of the
working relationship between EPA and the state
rather than a discussion of priorities and programs.
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VI. Economic Analysis
A. Regulatory Requirements Addressed
by the Economic Analysis
Executive Order 12866 directs federal
agencies to perform an economic
analysis (EA) to give decision makers
information to determine that there is a
need for the rule and that benefits of the
rule justify the costs of the rule. Further,
Executive Order 12866 requires that the
rule maximize the net benefits to
society, be cost effective and be based
on the best reasonably obtainable
information.9 E.O. 12866 defines the
threshold for economically significant
rules as one that is expected to create
impacts to the economy of $100 million
or more or otherwise adversely affect
the economy, a sector of the economy,
productivity, competition, jobs, the
environment, public health or safety, or
State, local, or tribal governments or
communities in a material way.10 The
EA also addresses the requirements of
the Unfunded Mandates Reform Act
(UMRA) and the Regulatory Flexibility
Act (RFA).
The Regulatory Flexibility Act (RFA)
of 1980 (5 U.S.C. 601 et seq.) requires
Federal agencies to review their
proposed rules and regulations to
determine if they will have ‘‘a
significant economic impact on a
substantial number’’ of small entities.
But the RFA does not define ‘‘significant
economic impact’’ or ‘‘substantial
number.’’ In its regulatory flexibility
analysis EPA adopted the Small
Business Administration’s (SBA)
definition of small entities, and used a
threshold of 1% of revenue to determine
economic significance. Using the SBA
definition, EPA estimated that 108,000
small entities would incur costs under
the final rule.11
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9 Economic Analysis of Federal Regulations
Under Executive Order 12866, Office of
Management and Budget, January 11, 1996, DCN
0064.
10 Id.
11 Note that fewer facilities are considered in the
small entity analysis (164,093 unique facilities,
reflecting the number of facilities in ICIS-NPDES at
the time of this analysis) than were estimated in
Chapter Two of the EA (393,359 unique facilities)
due to data limitations. As a result, the estimated
number of small entities incurring costs under the
rule is likely underestimated. However, the
assumption is made that facilities affected by the
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EPA estimates initial implementation
costs for the regulated facilities to be no
more than $314 per facility, with an
additional intermittently recurring cost
of approximately $6 for some
permittees. EPA also estimates that a
limited number of small entities might
be required to report both electronically
and on paper to their permitting
authority during the first five years after
the effective date of the rule, each
incurring as much as $86 in additional
annual costs. Only one entity is
expected to incur a cost impact of 1%
or greater associated with the
annualized compliance costs resulting
from the final rule. While impacts of
greater than 1% are estimated to be
incurred by one entity due to the rule,
impacts of greater than 1% are incurred
by far fewer than 100 small entities and
considerably less than 20% of all small
entities for all sectors and for each
sector individually. Therefore, following
EPA guidance on assessment of the
rule’s direct adverse impact on any
small entities, the rule is not expected
to significantly impact a substantial
number of small entities.
B. Economic Significance of This Rule
According to the threshold set out in
E.O. 12866, this final rule is not
economically significant. The threshold
for a finding of economic significance is
an annual effect, either costs or savings,
of $100 million annually. EPA estimates
the largest annual economic impacts to
be $74.4 million in net costs during the
first year after the effective date of the
rule [Year 0 in Table 4–16: Schedule of
Savings and Costs (3% Discount Rate)
and Table 4–17: Schedule of Savings
and Costs (7% Discount Rate), see DCN
097]. EPA also estimates $24.3 million
in net savings five years after the
effective date of the rule [Year 5 in
Table 4–16: Schedule of Savings and
Costs (3% Discount Rate), see DCN
0197].
Although this rule does not meet the
economic significance threshold, this
economic analysis includes most of the
rule but not currently in ICIS-NPDES will
experience small entity impacts similar to the
facilities currently in ICIS-NPDES. See the
Economic Analysis for the Final Rule for more
details.
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elements that would be required if the
threshold were met—a statement of the
need for the rule, an examination of
alternatives, and the costs and benefits.
The statement of need is located in
Section II, and a description of the
alternative approaches that were
considered is located at Section IV. The
non-monetary benefits were discussed
in the first portion of Section VI. The
balance of this section summarizes the
estimated savings and costs of the
selected approach.
C. Description of Key Factors Used in
the Economic Analysis
The final rule would reduce the data
entry burden on the states, tribes, and
territories while increasing the
percentage of the NPDES universe for
which data are available electronically.
Compared to the current reporting
guidance, known as WENDB, the rule
would reduce the data entry burden on
states, tribes, and territories, increase
the number of NPDES-regulated
facilities for which NPDES data is
available to EPA, and expand the scope
of the available data for all NPDESregulated facilities covered by this rule.
The main elements of this EA are the
reporting universe, reporting
frequencies, required data, changes in
who reports the data, systems and
infrastructure changes to make the
reporting possible, and the schedule for
implementation.
(a) Estimated Universe of Potentially
Affected Permittees
This rule would change the universe
of permit types for which EPA will
receive data. As described in Section II,
the current reporting guidance instructs
the states to provide EPA with data on
the major dischargers (6,800 permittees)
and nonmajor dischargers with
individual permits (approximately
40,000 permittees). Some states provide
data on a larger section of the permittee
universe.
Under the final rule, EPA would
receive data on the entire permittee
universe (approximately 400,000
permittees including pesticides
applicators and vessels), as represented
in Table 4.
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64081
TABLE 4—UNIVERSE OF NPDES PERMITS
Number of NPDES permits
NPDES Subprogram
Individual
majors
Individual
nonmajors
General
nonmajors
Non-POTWs (Industrial, Agriculture, and Stormwater)
Standard Industrial Dischargers (may also file CWA section 316(b) data) ............................................
1,683
18,993
a 118,073
1,171
554
200
0
0
0
0
0
0
0
0
0
29,060
2,487
1,266
0
0
5,291
132
1
563
638
92,282
243,227
249
0
0
204
9
5,093
462
3,533
779
244
9,197
7,510
68
1,281
655
4,209
1,462
4,774
694
114
16,950
0
0
2,003
CWA section 316(b) Filers
Permits with Cooling Water Intake Data .................................................................................................
Permits with Thermal Variance Data .......................................................................................................
Industrial Facilities Submitting CWA section 316(b) Annual Reports .....................................................
Significant Industrial Users (SIUs) b
SIUs in Municipalities with Pretreatment Program ..................................................................................
SIUs in Municipalities without Pretreatment Program .............................................................................
Concentrated Animal Feeding Operations ..............................................................................................
Industrial and Construction Stormwater
Industrial ..................................................................................................................................................
Construction .............................................................................................................................................
Municipal Stormwater c
Phase I municipal separate storm sewer systems (MS4s) .....................................................................
Phase II MS4s .........................................................................................................................................
POTWs and TWTDSs (may have a CSS or a SSS, may also file more than one report)
POTWs with Combined Sewer Systems (CSSs) d ..................................................................................
POTWs with Sanitary Sewer Systems (SSSs) only d .............................................................................
TWTDSs ..................................................................................................................................................
POTW NPDES Report Filers
Biosolids/Sewage Sludge Report Filers ..................................................................................................
Pretreatment Program Report Filers .......................................................................................................
Sewer Overflow Event Report Filers d .....................................................................................................
a Includes
9,125 pesticide applicators and 63,000 vessels that are already filing electronically.
industrial facilities discharge to POTWs and are regulated by the NPDES program through EPA’s General Pretreatment Regulations
(40 CFR part 403) and Categorical Pretreatment Standards (40 CFR parts 405 through 471). They do not have NPDES permits, but those in municipalities without pretreatment programs would report electronically under the rule.
c Nearly all Phase I MS4s are individually permitted facilities. For purposes of cost estimating, the analysis treats all individually permitted
Phase I MS4s as majors and all Phase II MS4s as nonmajors.
d The analysis divides the total universe of POTWs into CSSs and SSSs and treats those that are only partially composed of CSSs as CSSs.
b These
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Table 4 shows the types and
estimated numbers of permits in each of
the applicable categories. Note,
however, that some facilities have
reporting requirements under more than
one subprogram, in which case they are
counted in each applicable group
because that is the basis for regulation
and reporting. Specifically, CWA
section 316(b) filers are a subset of
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standard industrial dischargers and
POTW NPDES report filers are a subset
of the group of POTWs and TWTDSs.
Also note that SIUs do not have a
NPDES permit but are included in the
EA.
Changes in the reportable universe
affect virtually every aspect of the EA,
including data entry costs, training
costs, the need for electronic signatures
and system registration, savings in
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paper and postage, and the potential
impact of dual reporting. The majority
of the savings due to the final rule result
from electronic reporting of DMRs.
Note, however, that not all of the
regulated entities enumerated in Table 4
submit DMRs. To clarify this point,
Table 5 shows the number of filers
under each subprogram for each type of
report, including DMRs.
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Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations
TABLE 5—NUMBER OF FILERS BY NPDES SUBPROGRAM AND REPORT TYPE
Subprogram
NOI
filers
Permit type
DMR
filers
Program
report filers
Non-POTWs (Industrial, Agriculture, and Stormwater)
Standard Industrial Dischargers ....................................
Individual Major ................................
Individual Nonmajor .........................
General Nonmajor ...........................
0
0
45,948
1,683
18,993
41,353
0
0
0
CWA section 316(b) Filers a ........................................................................................................
0
0
200
Significant Industrial Users (SIUs) In Municipalities without Pretreatment Program b ................
0
0
2,487
0
5,291
0
0
1,266
5,291
0
0
92,282
0
0
c 83,871
132
563
92,282
0
6
2,432
0
0
0
0
0
0
0
9
0
5,093
249
9
0
0
249
9
204
5,093
0
0
68
0
0
1,935
462
244
68
4,312
16,706
1,935
f 462
0
0
0
0
0
0
1,462
114
Concentrated Animal Feeding Operations ....................
Individual Nonmajor .........................
General Nonmajor ...........................
Industrial & Construction Stormwater
Industrial ........................................................................
Construction ..................................................................
Individual Major ................................
Individual Nonmajor .........................
General Nonmajor ...........................
Individual Major ................................
Individual Nonmajor .........................
General Nonmajor ...........................
Municipal Stormwater d
Phase I MS4s ................................................................
Phase II MS4s ...............................................................
Individual Major ................................
General Nonmajor ...........................
Individual Nonmajor .........................
General Nonmajor ...........................
POTWs and TWTDSs (may have a CSS or a SSS, may also file more than one report)
POTWs with CSSs e ......................................................
POTWs with SSSs only and TWTDSs e .......................
Individual Major ................................
Individual Nonmajor .........................
General Nonmajor ...........................
Individual Major ................................
Individual Nonmajor .........................
General Nonmajor ...........................
f 244
f 68
f 4,312
f 16,706
f 1,935
POTW NPDES Report Filers
Biosolids/Sewage Sludge Report Filers a ......................
Pretreatment Program Report Filers .............................
Individual
Individual
Individual
Individual
Major ................................
Nonmajor .........................
Major ................................
Nonmajor .........................
4,209
694
1,462
114
a DMR
filings by these facilities are captured by CSS POTWs, SSS POTWs, TWTDSs, or standard industrial dischargers.
industrial facilities discharge to POTWs and are regulated by the NPDES program through EPA’s General Pretreatment Regulations
(40 CFR part 403) and Categorical Pretreatment Standards (40 CFR parts 405 through 471). They do not have NPDES permits, but those in municipalities without pretreatment programs would report electronically under the rule.
c Assumes 2.9 construction stormwater general permits per firm.
d Nearly all Phase I MS4s are individually permitted facilities. For purposes of cost estimating, the analysis treats all individually permitted
Phase I MS4s as majors and all Phase II MS4s and nonmajors.
e The analysis divides the total universe of POTWs into CSSs and SSSs and treats those that are only partially composed of CSSs as CSSs.
f Accounts for the submission of sewer overflow and bypass event reports.
b These
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(b) Data Elements and Data Systems
Section V describes how and why the
inventory of reportable data is changed
by this rule. For the EA, the biggest
impacts of the change in reportable data
are the costs of enhancing the database
structures to store the additional data
and the costs of data entry. Estimating
the cost of modifying the databases
involves several factors, chiefly the
number of additional data elements, the
number of NPDES data groups those
data elements fall into (e.g., DMR, CAFO
Annual Report), the number of data
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19:04 Oct 21, 2015
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entry screens that will be needed, and
the completeness of various state, tribe,
territory, and EPA data systems prior to
the final rule.
Based on the number of data elements
and their planned structure, EPA
developed a detailed estimate of its own
costs to modify ICIS to accommodate
the additional data elements. Because
EPA does not have independent
estimates of the comparable system
costs for each state, tribe, and territory,
EPA’s estimate of system costs for those
NPDES-authorized programs is based on
EPA’s costs to modify ICIS.
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Data entry costs are one of the major
aspects of the EA, and involve several
additional factors, such as who
generates the data, changes in the need
for the states, tribes, and territories to
enter permittee-created data into an
information system, the number of
permittees to which each data element
applies, the frequency with which each
type of data element is reported, the
time required to enter each type of data
element, and the labor costs associated
with data entry.
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Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations
(c) Responsibility for Creating Data
‘‘Responsibility for creating data’’
refers to the act of initially determining
the value of any particular required data
element and writing it on paper or
entering it into an electronic storage
system. Each data element required by
this rule has exactly one creator,
although the identity of the creator can
be affected by the nature of the permit.
For example, DMR data is always
created by a permittee, and enforcement
data is always created by the permitting
authority, but basic facility data might
be created by either the permitting
authority or the permittee, depending
on the type of permit that will be used.
The EA uses a detailed understanding of
responsibility for data creation to
estimate and assign data entry costs and
savings for permittees, states, tribes, and
territories.
mstockstill on DSK4VPTVN1PROD with RULES2
(d) Changes in the Need for State,
Tribes, and Territories To Enter
Permittee-Created Data
Under the current system of
operations, states, tribes, and territories
are responsible for collecting data from
their permittees and providing the
WENDB data to EPA. Paper submissions
are the primary means by which
permittees submit data to the states,
tribes, and territories. This means the
states, tribes, and territories are required
to enter large amounts of data created by
permittees into the permitting
authority’s information systems, or into
ICIS-NPDES. Several types of reports are
affected by this rule, but DMRs
comprise a substantial majority of the
permittee-created data that the states,
tribes, and territories enter into data
systems. As a result, a significant
portion of the data collected is
essentially being entered twice. The first
is when permittees commit it to a paper
form. The second is when the states
enter the permittee-created data into an
information system.
One of the chief benefits of this rule
is that it virtually eliminates the need
for such double entry of data in this
sense: When DMRs and other reports are
submitted electronically by permittees,
these reports can be received
electronically by the states, tribes, and
territories, transmitted directly to the
applicable information systems, and
shared with EPA through the National
Environmental Information Exchange
Network.
There is generally no difference
between the time required for a
permittee to fill out a paper form and
the time required for them to enter the
same data on an electronic form.
Therefore, permittee data creation costs
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19:04 Oct 21, 2015
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and savings are not affected by the move
to electronic reporting. The permittees
are required to supply the same data,
regardless of the media in which is it
reported. However, during the transition
period, some permittees might be
required to submit data both
electronically and on paper. The costs of
such dual reporting are estimated to
range from zero to $86 per entity.
The impact on the states, tribes, and
territories is very different. Every data
element a state, tribe, or territory does
not have to enter into a data system is
a savings compared to the current mode
of operation. This does not mean,
however, that every state, tribe, and
territory will experience the same
savings from the rule. Some permitting
authorities have already begun shifting
to electronic reporting. Forty-eight states
have either implemented EPA’s
NetDMR or their own eDMR system or
are in the process of doing so. Some
permitting authorities have also begun
moving to electronic reporting in other
areas, such as NOI. However,
participation in most of the state, tribe,
or territory electronic reporting systems
is voluntary, so participation rates are
highly variable. Ohio is one of a few
states that has a mandatory eDMR
system and has achieved participation
of over 99%. Other states have much
lower participation rates, which mean
they are bearing the costs of operating
both paper-based and electronic
reporting systems.
(e) Permittees Reporting Various Data
Elements
As described in Section II, the current
reporting guidelines require states,
tribes, and territories to provide EPA
with data for only a portion of the
permittee universe. This rule expands
the universe of permittees for which
required reporting must be shared with
EPA, primarily by requiring data on the
so-called NPDES subprograms.
Subprogram data elements are specific
to the permittees in each of the
subprogram universes. For example, the
data elements applicable to CAFOs
apply only to CAFO permittees,
biosolids data elements apply only to
biosolids permittees and so on.
(f) Frequency of Data Element Reporting
Another factor that affects the overall
volume of data being submitted, and
therefore the data entry costs and
savings, is the variation in reporting
frequencies. Reporting frequencies are
dictated by the types of reports
containing the data elements and the
compliance monitoring strategy. DMR
data elements are submitted on DMR
forms, which are generally submitted
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64083
monthly. Furthermore, many permittees
submit multiple DMR forms per month,
which explains (1) why DMR data
elements comprise the largest portion of
total data volume, and (2) why
eliminating the need for the states,
tribes, and territories to enter DMR data
produces most of the savings from the
rule.
Facility data are submitted on initial
permit applications or on NOIs, and
might be reviewed and updated every
five years when the permit is reviewed
for reissuance. A large part of the
facility data is never changed. Portions
that are subject to change are generally
addressed during the permit’s reviews.
Permit data, such as limits and limit
sets, are established when the permit is
issued, and reviewed and possibly
revised on a five-year cycle. Permit
conditions are seldom modified except
during the regular five-year reviews, or
as a result of enforcement actions.
Enforcement and compliance data are
created on an as-needed basis. For
example, inspection data are created at
the time a facility is inspected. It is
possible that some permittees will never
have any violations or enforcement
actions against them, and therefore very
little enforcement data associated with
them beyond routine compliance
monitoring.
Subprogram data elements can be
found on any of the major submissions,
but are primarily contained in the
applicable annual reports. Each of the
data types and possible submissions and
their frequencies has been evaluated for
proper mapping into the EA.
(g) Time Required To Enter Data
Elements
Understanding how long it takes to
enter data elements is a critical
component of the EA. Nine states were
surveyed to develop this information.
Each respondent was asked to estimate
the time it took them to enter various
types of data elements. Respondents
were grouped according to whether they
were in a direct entry, batch entry or
hybrid state, and average data entry
times were computed for each data
element within each group of states. The
EA uses the data entry times from the
survey to estimate how much time
states, tribes, and territories will spend
entering different types of data
elements.
(h) Labor Costs of Data Entry
Labor rates for the rulemaking are
taken from the Bureau of Labor
Statistics. Several hourly rates are used,
depending on the type of work and
whether the worker is a government or
private sector worker.
E:\FR\FM\22OCR2.SGM
22OCR2
mstockstill on DSK4VPTVN1PROD with RULES2
64084
Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations
(i) System Development Costs
As described in Section II, EPA
intends to develop electronic reporting
systems for each of the reports covered
by this rule—DMRs, NOIs, and program
reports. Those EPA-developed systems
will be offered to all of the states, tribes,
territories, and permittees for their use.
The cost of developing those reporting
systems by EPA and the infrastructure
to accommodate them were calculated
and documented in a series of technical
reports, and comprise the majority of
the EPA HQ implementation costs as
reported by the EA. EPA intends to
encourage third-party development of
electronic reporting systems. Ultimately
each authorized state, tribe, and
territory will decide whether to use, and
allow their permittees to use, the EPAprovided electronic reporting systems or
other systems. Each state, tribe, and
territory has the option of adopting one
or more of the EPA systems and
rejecting the others. Although EPA is
building, and making available, a
comprehensive set of systems, the EA
includes certain state, tribe, and
territory costs to modify and expand
their electronic reporting systems.
The costs of modifying ICIS and the
state, tribe, and territory NPDES data
systems are somewhat different. Each of
the authorized states, tribes, or
territories either has its own data
system, or uses ICIS–NPDES. All of
these data systems are thought to need
some degree of modification to accept
the additional data elements, and in the
case of state, tribe, and territory data
systems, to share that data with EPA.
EPA developed an estimate of its costs
to modify ICIS. The EA includes those
EPA costs, and uses those costs to
estimate the cost of database changes in
the states, tribes, and territories. The EA
uses this approach because EPA does
not have detailed information about the
data structures in the states, tribes, and
territories. The EA does take the
available information about state, tribe,
and territory data systems into
consideration.
All of these system development
expenditures are included in the
implementation costs of the rule, most
of which are expended by EPA prior to
rule promulgation and by the states,
tribes, and territories within the first
year after the effective date of the rule
under the implementation schedule
described in Section VII.
The EA also estimates marginal
operation and maintenance (O&M)
costs, over and above current annual
costs, for EPA to support the systems
required by the rule. It assumes there
are no incremental O&M costs for states,
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19:04 Oct 21, 2015
Jkt 238001
tribes, and territories specifically to
maintain the upgraded electronic
systems (although it does include other
ongoing costs, such as data entry). EPA
estimates that most of the state
compliance costs will take place in the
first few years after the final rule.
(j) Additional Implementation Activities
In addition to system development
costs, the EA includes the costs to EPA
and the states, tribes, and territories of
the following activities associated with
the implementation of the rule:
• Authorized NPDES programs
making decisions regarding their initial
recipient status;
• Authorized NPDES programs
demonstrating their attorneys general
accept electronic signatures in lieu of
physical signature, thereby certifying
compliance with CROMERR;
• Authorized NPDES programs
preparing IPs and EPA review of those
plans;
• Authorized NPDES programs
updating their Memoranda of
Agreement with their Regional
Administrator;
• Authorized NPDES program and
EPA developing criteria for temporary
and permanent waivers from electronic
reporting;
• Authorized NPDES program and
EPA coordination via training webinars;
• EPA assessing participation rates
and, where appropriate, conducting
oversight using its CWA authority and
ICR to compel NPDES-regulated entities
to utilize their NPDES program’s
electronic reporting system; and,
• Authorized NPDES programs and
EPA modifying permits to require
electronic submissions.
The EA does not attempt to estimate
the costs the states, tribes, and
territories will incur to revise their
statutes or regulations to implement the
changes required by this rule.
(k) Consolidating Summary Reports
When the rule is fully implemented,
EPA would essentially have complete
data on almost the entire NPDES
universe of permittees. As a result, EPA
HQ will have all of the data necessary
to prepare the Annual Notice of NonCompliance, the Quarterly NonCompliance Report, and the SemiAnnual Statistical Summary Report, all
currently required from NPDESauthorized states, tribes, and territories
by 40 CFR 123.45.
For that reason, the rule replaces all
of those reports with a single report
generated by EPA HQ using the data in
the data systems after implementation of
the rule. The EA estimates the reduced
burden on the states, tribes, and
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Fmt 4701
Sfmt 4700
territories as a result of this reporting
change.
(l) Paper and Postage Savings
As described in Section II, the
majority of permittee submittals are
being sent to the states, tribes, and
territories on paper. Each of those
submittals therefore requires paper, an
envelope, and postage.
Converting to electronic reporting
under this rule will eliminate paper
submittals of the covered reports for the
vast majority of permittees. The EA
estimates the percentage of permittees
that will be required to use electronic
reporting, the number and mix of
reports they submit annually, as well as
the number of pages in each report, and
the required postage.
(m) Registration, Electronic Signatures
Agreements and Training
Instituting electronic reporting will
entail some effort from the permittees.
The EA assumes that every permittee
will have to take certain steps in order
to begin reporting electronically,
whether they report directly to EPA or
to their respective state, tribe, or
territory. The EA incorporates available
data about the extent to which regulated
entities are using electronic reporting
systems to submit DMRs and assumes
these entities will not bear additional
registration and training costs.
There are some differences in the
costs to different permittees, based on
the activities they are engaged in, and
these differences have been included in
the EA. To use the electronic reporting
system for NetDMR and NeT, individual
regulated entities will need to register
for accounts, either on EPA’s Central
Data Exchange (CDX) or a similar data
portal provided by their authorized
NPDES program. Most regulated entities
(excluding construction operators in
states that allow a Hybrid Approach, as
discussed in Section V) will also need
to mail their authorized NPDES program
an electronic signature agreement (ESA)
stating that their electronic personal
identification number (PIN) is the legal
equivalent of their written signature.
NetDMR or authorized NPDES
program eDMR systems are sufficiently
complex that many regulated entities
will need training to effectively use
them. The EA assumes this training will
be conducted online. Experience with
currently operating systems has shown
that training is not necessary for
submitting NOIs or program reports
electronically, as these systems are less
complicated. General permit facilities
would also use these less complicated
systems to submit DMRs and, therefore,
not require training.
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Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations
The EA also assumes that some
permittees would bear additional minor
implementation costs associated with
electronic reporting registration to
satisfy EPA’s CROMERR requirements.
Specifically, some entities would need
to acquire a new business email address
and entities that report less frequently
than every 90 days would need to reset
their password when they report.
Including registration, ESA, training,
and these minor costs, the EA estimates
total initial implementation costs for
individual permittees of $314 or less,
with an additional recurring cost for
some permittees of approximately $6
when the permittee must reset their
password. The EA also assumes that
EPA would take over initial recipient
status under 40 CFR 127.27(d) in two
states during the ten year period
covered by the analysis. Permittees in
these states would need to re-register at
an additional cost of $277 or less as
most electronic signing credentials are
not transferrable from one electronic
reporting system to another.
(n) Reporting During the Transition
Period
As discussed in Section V, during the
initial implementation period, certain
regulated entities might be required to
submit data to their authorized state
program both electronically and on
paper. This dual reporting during the
transition would involve copying
information from paper forms into the
appropriate state electronic reporting
system and would occur only under
certain conditions (e.g., the regulated
entity’s permit conditions explicitly
require paper reporting, the authorized
state does not use its enforcement
discretion, and the permittee does not
consent to a minor modification of its
permit). The EA incorporates the cost of
such dual reporting for a portion of the
affected universe. It assumes the actual
number of regulated entities affected
and the resulting cost will decrease over
the course of the transition period, as
permits are modified to require
electronic, instead of paper reporting,
either on the normal permit cycle or as
a result of state implementation
activities. Therefore, the EA assumes
dual reporting will cease once the rule
is fully implemented, five years after the
effective date of the rule. The EA
estimates the additional cost to
permittees of such dual reporting at $86
or less per affected entity per year.
D. Summary of Costs and Savings
The EA for this final rule estimates
savings and costs over a ten-year period,
beginning on the date that the rule
would become final. Applying a 3%
discount rate, and using 2014 dollars,
the largest annual savings are $44.0
million during the first year of
electronic reporting (Year 1 in Table 6
and Table 7). During the ten-year
period, the highest annual costs are
$74.4 million during the first year after
the effective date of the rule (Year 0 in
Table 6 and Table 7). Annual costs are
significantly less in all other years.
Cumulative savings for the ten-year
period are $406.4 million while
cumulative costs are $250.4 million. As
a result the overall economic effect of
this rule is a net cumulative savings of
$156.0 million over the ten years of the
projection.
The following tables summarize the
EA cost and savings using the 3% (Table
6) and 7% (Table 7) discount rates as
required by EPA’s EA guidance in 2014
dollars. Each table shows the annual
costs and savings. The ‘‘breakeven
point’’ is the date after the final rule
when the cumulative savings exceed
cumulative costs.
There are both qualitative and
quantitative benefits associated with
this final rule. EPA has estimated some
of the benefits of this rule by performing
calculations based on: the reporting
64085
universe; reporting frequencies and
required data; changes in who reports
the data; systems and infrastructure
changes to make the reporting possible;
and the schedule for implementation.
Using a 3% discount rate, and 2014
dollars, the annual total net benefits at
full implementation (five years after the
effective date of the rule) associated
with reduced paperwork and
management of information are
approximately $26 million, with 93% of
those savings going to the states, tribes,
and territories.
Additional benefits associated with
the rule include the potential for
improved compliance and allow for
better government and public decision
making; however, EPA was unable to
monetize these benefits. EPA was able
to develop a rough monetary estimate of
the benefits associated with reductions
in errors in the reported data resulting
from the rule that benefit both regulated
entities and permitting authorities.
Using information on the number of
errors typically associated with DMR
submissions, EPA developed a rough
estimate of the potential time and cost
savings that permitted authorities might
experience annually from no longer
having to correct errors in DMR data.
Specifically, EPA estimates total time
and cost saving of 130 full-time
equivalents (FTEs) and $9.3 million in
wages.
The cost of implementing the final
rule during the first year after the
effective date is approximately $74.4
million. The cost is estimated to drop to
a $20.1 million or less per year in
subsequent years, once electronic
reporting begins (assuming a 3%
discount rate). During the first year of
electronic reporting (Year 1 in Table 6
and Table 7), annual savings greatly
outweigh annual costs, resulting in net
savings of approximately $23.9 million
per year, with similar net savings in
subsequent years.
TABLE 6—TEN-YEAR PROJECTED COSTS AND SAVINGS—3% DISCOUNT RATE
EPA
headquarters
Year
EPA regions
States
Regulated
entities
mstockstill on DSK4VPTVN1PROD with RULES2
Costs
0 ...............................................................................................
1 ...............................................................................................
2 ...............................................................................................
3 ...............................................................................................
4 ...............................................................................................
5 ...............................................................................................
6 ...............................................................................................
7 ...............................................................................................
8 ...............................................................................................
9 ...............................................................................................
10 .............................................................................................
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19:04 Oct 21, 2015
Jkt 238001
PO 00000
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$9,720,000
1,040,000
1,230,000
940,000
850,000
830,000
1,330,000
880,000
760,000
730,000
710,000
Fmt 4701
Sfmt 4700
$400,000
30,000
30,000
30,000
30,000
30,000
30,000
30,000
30,000
30,000
30,000
E:\FR\FM\22OCR2.SGM
$43,100,000
18,060,000
17,530,000
17,020,000
16,520,000
16,000,000
15,440,000
14,990,000
14,550,000
14,130,000
13,800,000
22OCR2
$21,160,000
1,010,000
930,000
1,240,000
800,000
740,000
710,000
690,000
1,000,000
650,000
630,000
64086
Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations
TABLE 6—TEN-YEAR PROJECTED COSTS AND SAVINGS—3% DISCOUNT RATE—Continued
EPA
headquarters
Year
EPA regions
States
Regulated
entities
Cost Savings
0 ...............................................................................................
1 ...............................................................................................
2 ...............................................................................................
3 ...............................................................................................
4 ...............................................................................................
5 ...............................................................................................
6 ...............................................................................................
7 ...............................................................................................
8 ...............................................................................................
9 ...............................................................................................
10 .............................................................................................
..............................
..............................
..............................
..............................
..............................
..............................
..............................
..............................
..............................
..............................
..............................
$—
(2,280,000)
(2,210,000)
(2,150,000)
(2,090,000)
(2,040,000)
(2,060,000)
(2,000,000)
(1,940,000)
(1,890,000)
(1,830,000)
$—
(40,530,000)
(39,350,000)
(38,200,000)
(37,090,000)
(38,610,000)
(38,210,000)
(37,100,000)
(36,020,000)
(34,970,000)
(33,950,000)
$—
(1,210,000)
(1,210,000)
(1,210,000)
(1,210,000)
(1,250,000)
(1,220,000)
(1,180,000)
(1,150,000)
(1,110,000)
(1,080,000)
TABLE 7—TEN-YEAR PROJECTED COSTS AND SAVINGS—7% DISCOUNT RATE
EPA
headquarters
Year
EPA regions
States
Regulated
entities
Costs
0 ...............................................................................................
1 ...............................................................................................
2 ...............................................................................................
3 ...............................................................................................
4 ...............................................................................................
5 ...............................................................................................
6 ...............................................................................................
7 ...............................................................................................
8 ...............................................................................................
9 ...............................................................................................
10 .............................................................................................
$9,720,000
1,000,000
1,140,000
840,000
730,000
680,000
1,050,000
680,000
560,000
520,000
490,000
$400,000
30,000
30,000
20,000
20,000
20,000
20,000
20,000
20,000
20,000
20,000
$43,100,000
17,380,000
16,240,000
15,180,000
14,190,000
13,220,000
12,280,000
11,480,000
10,730,000
10,030,000
9,430,000
$21,160,000
970,000
870,000
1,100,000
690,000
610,000
570,000
530,000
730,000
460,000
430,000
$—
(2,200,000)
(2,050,000)
(1,920,000)
(1,790,000)
(1,690,000)
(1,640,000)
(1,530,000)
(1,430,000)
(1,340,000)
(1,250,000)
$—
(39,010,000)
(36,460,000)
(34,070,000)
(31,850,000)
(31,910,000)
(30,410,000)
(28,420,000)
(26,560,000)
(24,820,000)
(23,200,000)
$—
(1,170,000)
(1,120,000)
(1,080,000)
(1,040,000)
(1,040,000)
(970,000)
(910,000)
(850,000)
(790,000)
(740,000)
Cost Savings
0 ...............................................................................................
1 ...............................................................................................
2 ...............................................................................................
3 ...............................................................................................
4 ...............................................................................................
5 ...............................................................................................
6 ...............................................................................................
7 ...............................................................................................
8 ...............................................................................................
9 ...............................................................................................
10 .............................................................................................
VII. Regulatory Implementation
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A. Overview of Regulatory
Implementation Schedule
EPA developed the implementation
schedule for this final rule after careful
analysis and extensive consultation
with authorized NPDES programs and
many other stakeholders. This
implementation schedule balances the
goals and benefits of electronic
reporting with the practical challenges
facing authorized NPDES programs and
regulated entities. For example, some
authorized NPDES programs noted that
they compete against other agencies for
the time and resources of a central
shared information technology staff. For
these authorized NPDES programs the
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$—
$—
$—
$—
$—
$—
$—
$—
$—
$—
$—
IP may need to be tailored to account for
their unique circumstances. The
transition from paper to electronic
reporting will require close coordination
and cooperation between EPA and
authorized NPDES programs. These IPs
will provide an effective means for
documenting all necessary tasks for a
timely and orderly transition to
electronic reporting.
As previously noted, the benefits of
this final rule include accelerated
resource savings that states, tribes, and
territories will realize through reduced
data entry burden and reduced effort in
responding to public requests for data,
consistent requirements for electronic
reporting across all states, tribes, and
territories, increased data quality, and
PO 00000
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Fmt 4701
Sfmt 4700
more timely access to NPDES program
data in an electronic format for EPA,
states, tribes, and territories, regulated
entities, and the public. These benefits
and savings will be realized sooner the
more quickly a state can implement the
final rule. Under the final rule, a
complete set of information for the
regulated universe will be required no
later than five years after the effective
date of the final rule. In this final rule,
EPA is adopting the timeline
recommended by authorized NPDES
programs and if participation goals are
not met, EPA will issue individual
notices to require NPDES-regulated
entities to use the authorized NPDES
program’s electronic reporting system.
The combination of the deadlines in this
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final rule, current technology, and
EPA’s plan to issue individual notices
will help maintain a steady and
measurable pace towards electronic
reporting in a reasonable time period.
Given the different types of NPDES
program data, EPA is phasing in the
electronic collection, management, and
transfer of NPDES program data
(appendix A to 40 CFR part 127) on the
following schedule. A chronological
listing of implementation activities are
provided in Table 8.
• Phase 1 Data: Authorized NPDES
programs are required to transmit to
EPA basic facility and permit
information (see list of data elements in
DCN 0007) for all permits as well as
other data necessary for implementation
of Phase 1 data collection within nine
months after the effective date of the
final rule. One year after the effective
date of the final rule authorized NPDES
programs will also start electronically
transmitting to EPA their state
performance data, which includes
information generated from compliance
monitoring (e.g., inspections), violation
determinations, and enforcement
actions. Additionally, one year after the
effective date of the final rule, NPDES
regulated entities that are required to
submit DMRs (majors and nonmajors,
individually permitted facilities and
facilities covered by general permits)
must do so electronically. EPA and
authorized NPDES programs will begin
electronically receiving these DMRs
from all DMR filers and start sharing
these data with each other. One year
after the effective date of the final rule,
all NPDES regulated entities in states
where EPA is the authorized NPDES
biosolids program (currently 42 of 50
states and all other tribal lands and
territories) must electronically submit
their Sewage Sludge/Biosolids Annual
Program Report to EPA.
• Phase 2 Data: Authorized NPDES
programs have five years to begin
electronically collecting, managing, and
sharing the remaining set of information
in appendix A in 40 CFR part 127. This
information includes: (1) General permit
reports [Notice of Intent to be covered
(NOI); Notice of Termination (NOT); No
Exposure Certification (NOE); Low
Erosivity Waiver and Other Waivers
from Stormwater Controls (LEW)];
Sewage Sludge/Biosolids Annual
64087
Program Report (where the state is the
authorized NPDES biosolids program);
and all other remaining NPDES program
reports (e.g., CAFO Annual Report,
Pretreatment Program Annual Report).
Authorized NPDES programs will also
share with EPA all data necessary for
implementation of Phase 2 data
collection three months before the Phase
2 deadline (e.g., general permit
parameters). Additionally, one year after
the effective date of the final rule,
authorized NPDES programs are
required to submit an IP for meeting the
Phase 2 data requirements to EPA for
EPA to review.
• NNCR and Other State Reporting:
EPA will replace a number of currently
required state reports (e.g., QNCR and
ANCR) with the new NNCR when EPA
has more a timely, complete, more
accurate, and nationally-consistent set
of data about the NPDES program. Full
implementation of the NNCR and phase
out of certain state reports will only be
possible one full year after full
implementation of Phase 2 data
collection. A complete set of Phase 1
and 2 data are necessary to develop and
produce the NNCR.
TABLE 8—CHRONOLOGICAL LISTING OF IMPLEMENTATION ACTIVITIES
Date
Final NPDES Electronic Reporting Rule—Effective Date .................................................................................
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Key milestones
Sixty days after publication in the
Federal Register.
Effective Date of Final Rule.
Authorized NPDES programs will start incorporating the new electronic reporting requirements into new or
re-issued NPDES permits upon the effective date of this final rule. Authorized NPDES programs can incorporate electronic reporting requirements into NPDES permits through use of a minor modification
process [see 40 CFR 122.63(f)].
A state, tribe, or territory that seeks authorization to implement an NPDES program must describe if it is
requesting to be the initial recipient of electronic NPDES information from NPDES-regulated facilities for
specific NPDES data groups. See 40 CFR 123.22(g) and appendix A to 40 CFR part 127.
Authorized NPDES programs will decide the NPDES data groups for which they wish to be the initial recipient of electronic NPDES information from NPDES-regulated entities. The final rule uses an ‘opt-out’
approach so these authorized programs will need to provide notice to EPA if they wish for EPA to be the
initial recipient for one or more of their NPDES data groups. These notices should be sent to EPA within
120 days of the effective date of the final rule.
EPA will publish on its Website and in the Federal Register a listing of the initial recipients for electronic
NPDES information from NPDES-regulated entities by state, tribe, or territory and by NPDES data group.
This listing will provide NPDES-regulated entities the initial recipient of their NPDES electronic data submissions and the due date for these NPDES electronic data submissions.
Authorized NPDES programs will electronically transmit to EPA basic facility and permit information (see
list of data elements in DCN 0007) for all permits as well as other data necessary for implementation of
Phase 1 data collection within nine months after the effective date of the final rule. Authorized NPDES
programs often collect these data from paper individual NPDES permit applications and forms submitted
by NPDES regulated entities; however, some states collect these data from NPDES regulated entities
through electronic reporting systems.
One year after the effective date of the final rule, authorized NPDES programs will start sharing with EPA
their state performance data, which includes information generated from compliance monitoring (e.g., inspections), violation determinations, and enforcement actions.
EPA and authorized NPDES programs will begin electronically receiving DMRs from all DMR filers [40
CFR 122.41(l)(4)] and start sharing these data with the designated EPA and state NPDES data systems.
All NPDES regulated entities in states where EPA is the authorized NPDES biosolids program (currently
42 of 50 states and all other tribal lands and territories) must electronically submit their Sewage Sludge/
Biosolids Annual Program Reports [40 CFR part 503] to EPA.
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90 days after the Effective Date of
Final Rule.
120 days after the Effective Date of
Final Rule.
210 days after the promulgation
date for the Final Rule.
Within nine months of the Effective
Date of Final Rule.
Starting one year after the Effective
Date of Final Rule.
Starting one year after the Effective
Date of Final Rule.
Starting one year after the Effective
Date of Final Rule.
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TABLE 8—CHRONOLOGICAL LISTING OF IMPLEMENTATION ACTIVITIES—Continued
Key milestones
Date
Authorized NPDES programs will submit an IP to EPA for EPA’s review to ensure that authorized NPDES
programs will meet the Phase 2 electronic reporting deadline. The content of these plans must provide
enough detail (e.g., tasks, milestones, roles and responsibilities, necessary resources) to ensure that
EPA and authorized NPDES programs can work together to successfully implement electronic reporting.
The IP will also document the process for evaluating and approving temporary and permanent electronic
reporting waivers from NPDES regulated entities.
EPA will separately calculate the electronic reporting participation rate for each authorized NPDES program and for DMRs and the Sewage Sludge/Biosolids Annual Program Reports. EPA will assess the
electronic reporting participation rate for individually permitted facilities separate from the electronic reporting participation rate for general permit covered facilities for DMRs.
Per existing NPDES regulations [see 40 CFR 123.62(e)], authorized states, tribes, and territories will finish
any necessary regulatory or statutory changes to their NPDES programs.
Authorized NPDES programs will electronically transmit to EPA the data necessary for implementation of
Phase 2 data collection (three months prior to Phase 2 deadline).
One year after the Effective Date of
Final Rule.
NPDES regulated entities will start electronically submitting their Phase 2 data. This information includes:
• General Permit Reports [Notices of Intent to discharge (NOIs); Notices of Termination (NOTs); No
Exposure Certifications (NOEs); Low Erosivity Waivers or Other Waivers from Stormwater Controls
(LEWs)] [40 CFR 122.26(b)(15), 122.28 and 124.5];
• Sewage Sludge/Biosolids Annual Program Reports [40 CFR part 503]—where the state is the authorized NPDES program;
• Concentrated Animal Feeding Operation (CAFO) Annual Program Reports [40 CFR 122.42(e)(4)];
• Municipal Separate Storm Sewer System (MS4) Program Reports [40 CFR 122.34(g)(3) and
122.42(c)];
• Pretreatment Program Reports [40 CFR 403.12(i)];
• Significant Industrial User Compliance Reports in Municipalities Without Approved Pretreatment Programs [40 CFR 403.12(e) and (h)];
• Sewer Overflow/Bypass Event Reports [40 CFR 122.41(l)(4), (l)(6) and (7), (m)(3)]; and
• CWA section 316(b) Annual Reports [40 CFR part 125, subpart J]
Authorized NPDES programs will also need to re-submit their waiver process descriptions to EPA for review on a five year cycle. EPA will inform the state if its waiver process description is inadequate. This
will allow EPA and authorized NPDES programs to assess the effectiveness of the waiver process
against advances in information technology.
EPA will separately calculate the electronic reporting participation rate for each authorized NPDES program and for each NPDES data group.
Upon successful implementation of Phase 1 and 2, authorized NPDES programs will stop generating the
Quarterly Non-Compliance Report (QNCR), the Annual Non-Compliance Report (ANCR), the Semi-Annual Statistical Summary Report, and the part 501 annual biosolids report.
EPA will starting publishing the NPDES Noncompliance Report (NNCR) ........................................................
B. Roles and Responsibilities
mstockstill on DSK4VPTVN1PROD with RULES2
1. Authorized NPDES Programs
This rule does not change the
governing responsibilities of authorized
NPDES programs or EPA. Authorized
NPDES programs will start
incorporating the new electronic
reporting requirements into new or reissued NPDES permits upon the
effective date of this final rule. For
example, changes to 40 CFR 122.41
must be incorporated into any NPDES
permit that is issued on or after the
effective date of this final rule.
Authorized NPDES programs will
decide the NPDES data groups for
which they wish to be the initial
recipient of electronic NPDES
information from NPDES-regulated
entities. The final rule uses an ‘opt-out’
approach so these authorized programs
will need to provide notice to EPA if
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they wish for EPA to be the initial
recipient for one or more of their NPDES
data groups. These notices should be
sent to EPA within 120 days of the
effective date of the final rule.
Authorized NPDES programs will
electronically transmit to EPA basic
facility and permit information (see list
of data elements in DCN 0007) for all
permits as well as other data necessary
for implementation of Phase 1 data
collection within nine months after the
effective date of the final rule.
Authorized NPDES programs often
collect these data from paper individual
NPDES permit applications and forms
submitted by NPDES regulated entities;
however, some states collect these data
from NPDES regulated entities through
electronic reporting systems.
One year after the effective date of the
final rule, authorized NPDES programs
will start sharing with EPA their state
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Eighteen months after the Effective
Date of Final Rule and annually
thereafter.
Two years after the Effective Date
of Final Rule.
Within four years and nine months
of the Effective Date of Final
Rule.
Starting five years after the Effective Date of Final Rule.
Starting five years after the Effective Date of Final Rule.
Five years and six months after the
Effective Date of Final Rule and
annually thereafter.
Starting six years after the Effective
Date of Final Rule.
Starting six years after the Effective
Date of Final Rule with annual
and quarterly updates thereafter.
performance data, which includes
information generated from compliance
monitoring (e.g., inspections), violation
determinations, and enforcement
actions. Additionally, no later than one
year after the effective date of the final
rule, EPA and authorized NPDES
programs will begin electronically
receiving DMRs from all DMR filers and
start sharing these data with the
designated EPA and state NPDES data
systems. To support the electronic
collection, management, and sharing of
DMR data, authorized NPDES programs
will need to update their technology
and infrastructure. For example,
authorized NPDES programs may elect
to use EPA’s NPDES data system (ICIS–
NPDES) and electronic reporting system
(NetDMR) to collect, manage, and share
DMR data or authorized NPDES
programs may choose devote their
resources to develop their own such
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Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations
data systems while meeting the
regulatory requirements of 40 CFR part
3 (including, in all cases, subpart D), 40
CFR 122.22, and 40 CFR part 127. EPA
will continue to closely work with
authorized NPDES programs to help
them develop their NPDES data systems
in a cost-effective manner.
Authorized NPDES programs will also
likely need to provide training materials
and resources to NPDES regulated
entities (e.g., staff time to answer
questions from NPDES regulated
entities). These training materials and
resources will help provide NPDES
regulated entities with the necessary
guidance and knowledge to utilize the
appropriate electronic reporting system.
In particular, NPDES regulated entities
will need to learn how to obtain an
electronic signature as well as how to
register and maintain their login
information for the appropriate
electronic reporting system.
Similarly, no later than five years after
the effective date of the final rule EPA
and authorized NPDES programs will
start electronically receiving Phase 2
data from all NPDES regulated entities
and start sharing these data with the
designated EPA and state NPDES data
systems. Authorized NPDES programs
will submit an IP to EPA for EPA’s
review to ensure that authorized NPDES
programs will meet this Phase 2
deadline. The content of these plans
must provide enough detail (e.g., tasks,
milestones, roles and responsibilities,
necessary resources) to ensure that EPA
and authorized NPDES programs can
work together to successfully implement
electronic reporting. See Section V.B.2.
These IPs need to be submitted to EPA
for review within one year of the
effective date of the final rule. EPA will
inform the state if its implementation
plan is inadequate. EPA will post the
IPs on its Web site to provide the public
with greater transparency on the
milestones and tasks each state will be
taking to move towards electronic
reporting. Authorized NPDES program
will also share with EPA all data
necessary for implementation of Phase 2
data collection three months before the
applicable Phase 2 deadline. EPA will
work with each authorized NPDES
program to identify the appropriate
deadline for the Phase 2 implementation
data. Authorized NPDES programs will
also need to update their state NPDES
data system to support electronic
reporting as well as develop training
materials and resources for NPDES
regulated entities.12
12 EPA notes that some authorized NPDES
programs have adopted EPA’s national NPDES data
system (ICIS–NPDES).
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Finally, authorized NPDES programs
will also need to document and submit
to EPA for approval their process for
evaluating and approving temporary
and permanent electronic reporting
waivers from NPDES regulated entities.
This discussion will be contained in the
IP. Authorized NPDES programs will
also need to re-submit their waiver
process descriptions to EPA for review
on a five year cycle. EPA will inform the
state if its waiver process description is
inadequate. This will allow EPA and
authorized NPDES programs to assess
the effectiveness of the waiver process
against advances in information
technology. To facilitate an orderly
transition to electronic reporting,
authorized NPDES programs may issue
temporary waivers to DMR filers prior to
EPA’s review of the program’s IP or
waiver process description submission
to EPA. These waivers may not have a
duration longer than five years.
EPA estimates that some authorized
NPDES programs may need to update
their regulations or statutes to make
clear that electronic reporting is
required for the reports listed in Table
1 of appendix A and that these
electronic submissions must be
compliant with 40 CFR part 127
(including appendix A) and 40 CFR part
3 (including, in all cases, subpart D)
(CROMERR—authentication and
encryption standards). Existing EPA
regulations at 40 CFR 123.62(e) require
that any updates to the authorized
NPDES program take place within oneyear of the effective date of the final rule
(if only a regulatory change is required)
and within two years of the effective
date of the final rule (if a state statute
change is required). Accordingly, all
authorized NPDES programs should
complete any necessary updates to their
state regulations and statutes within two
years of the effective date of the final
rule.
Finally, the final rule will also lighten
the reporting burden currently placed
on the authorized NPDES programs.
Upon successful implementation of
Phase 1 and 2, the final rule will
provide authorized NPDES programs
with regulatory relief from reporting
associated with the Quarterly NonCompliance Report (QNCR), the Annual
Non-Compliance Report (ANCR), the
Semi-Annual Statistical Summary
Report, and the biosolids information
required to be submitted to EPA
annually by authorized NPDES
programs. EPA will coordinate the
switch over from the existing set of state
reporting requirements to the new EPA
generated NNCR.
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64089
2. NPDES Regulated Entities
NPDES permitted entities should
expect to see new electronic reporting
requirements in NPDES permits that are
issued on or after the effective date of
this final rule. In particular, NPDES
permitted entities will be required to
identify the initial recipient for their
NPDES data submissions (in compliance
with 40 CFR 122.41). In particular,
NPDES permittees will consult EPA’s
Web site to identify the initial recipient
for their NPDES data submissions. EPA
will update and maintain the listing of
initial recipients.
NPDES permitted entities should
expect to electronically submit their
DMRs no later than one year after the
effective date of the final rule. NPDES
permittees will need to be familiar on
how to electronically report their DMRs
using the approved electronic reporting
system. Their permitting authority will
provide training materials and resources
to help NPDES regulated entities with
the necessary guidance and knowledge
to utilize the appropriate electronic
reporting system. In particular, NPDES
regulated entities will need to learn how
to register and maintain an electronic
signature as well as how to register and
maintain their login information for the
appropriate electronic reporting system.
Similarly, five years after the effective
date of the final rule, NPDES regulated
entities will start electronically
submitting their Phase 2 data. NPDES
permitted entities will identify the
initial recipient for their Phase 2 data
submissions (in compliance with 40
CFR 122.41) by consulting with EPA’s
Web site. EPA’s Web site will also
provide notice of the deadline for these
Phase 2 electronic data submissions and
information on the approved electronic
reporting systems. NPDES regulated
entities should also note that they may
be required to use more than one
electronic reporting system for their
Phase 1 and 2 data submissions. For
example, a POTW may be required to
use a state e-DMR system to
electronically report its DMRs (as the
state is the authorized NPDES program
for NPDES permits) and EPA’s NeT to
report their Sewage Sludge/Biosolids
Annual Program Report (as EPA is the
NPDES program for the Federal
biosolids program). For NPDESregulated entities that will use EPA’s
electronic reporting systems, EPA will
work closely with states, tribes,
territories, and NPDES-regulated entities
to provide sufficient training and
registration support prior to the start of
each implementation phase.
Finally, as previously noted, the
purpose of appendix A is to ensure that
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mstockstill on DSK4VPTVN1PROD with RULES2
there is consistent and complete
reporting nationwide, and to expedite
the collection and processing of the
data, thereby reducing burden and
making the data more timely, accurate,
complete, useful, and transparent for
everyone. This final rule changes the
mode of transmission of NPDES data but
does not increase the amount of NPDES
information required to be reported
under existing regulations. The
evolution of appendix A reflects over
ten years of EPA working closely with
the states to identify the critical data
elements that permitting authorities
need to implement the NPDES program.
3. EPA
EPA Regions that issue NPDES
permits will continue to incorporate
electronic reporting requirements into
new or re-issued NPDES permits and
will be required to do so upon the
effective date of this final rule. EPA will
also incorporate the final rule
requirements into the few nationwide
permits that it issues in accordance with
the rule’s implementation schedule.
This will help communicate and
confirm the electronic reporting
responsibilities of NPDES regulated
entities.
EPA Headquarters will hold regular
teleconferences and webinars with
authorized NPDES programs during the
transition period from paper reporting
to electronic reporting to assist with
data collection, management, and
sharing activities. EPA will use these
teleconferences and webinars to address
general issues associated with electronic
reporting as well as specific state needs
and questions.
EPA will also coordinate with
authorized NPDES programs and update
the data sharing process to include all
the required set of NPDES program data
(appendix A to 40 CFR part 127)
between EPA and the authorized NPDES
programs (see DCN 0191 for an
overview of the current data sharing
process). EPA will also update its data
systems (e.g., ICIS–NPDES, NetDMR,
NeT) to incorporate all the required set
of NPDES program data. EPA will
prioritize its actions to first support the
collection, management, and sharing of
Phase 1 data. EPA will continue to
closely work with authorized NPDES
programs to help them develop their
NPDES data systems in a cost-effective
manner. This includes providing
training materials and resources to
states that adopt EPA’s data systems
[e.g., Central Data Exchange (CDX),
CROMERR shared services, ICIS–
NPDES, NetDMR, NeT].
EPA will maintain the initial recipient
list for each state and by each NPDES
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19:04 Oct 21, 2015
Jkt 238001
data group and will publish this list on
its Web site and in the Federal Register
as changes occur. EPA will first publish
this listing within 180 days of the
effective date of the final rule. This
listing will provide NPDES-regulated
entities the initial recipient of their
NPDES electronic data submissions and
the due date for these NPDES electronic
data submissions.
One year after the effective date of the
final rule, EPA will receive state
performance data, which includes
information generated from compliance
monitoring (e.g., inspections), violation
determinations, and enforcement
actions, in its national NPDES data
system (i.e., ICIS–NPDES). EPA will do
the same for the data that it generates
from its own inspections, violation
determinations, and enforcement
actions. Additionally, one year after the
effective date of the final rule, EPA and
authorized NPDES programs will begin
electronically receiving DMRs from all
DMR filers and start sharing these data
with each other. Additionally, one year
after the effective date of the final rule
EPA will electronically collect and
manage data from Sewage Sludge/
Biosolids Annual Program Reports that
are submitted by NPDES regulated
entities in states where EPA is the
authorized NPDES biosolids program
(currently 42 of 50 states and all other
tribal lands and territories).
Under the implementation schedule
for this final rule, the Agency will assess
the electronic reporting participation
rate of NPDES regulated entities in each
state and by each data group to
determine when it would be appropriate
to use its individual notices to compel
electronic reporting. For example, EPA
would likely use individual notices
when the authorized state, tribe, or
territory has less than 90-percent
participation rate for one or more data
groups (e.g., MS4 program reports). EPA
will separately calculate the
participation rate for each state and for
each data group no later than six
months after the deadline for conversion
from paper to electronic submissions
(e.g., 18 months after the effective date
of the final rule for DMRs). As
appropriate, EPA will then send notice
to the NPDES regulated entities that are
not utilizing electronic reporting (e.g.,
21 months after the effective date of the
final rule for DMRs). This notice will
direct NPDES regulated entities to use
their authorized NPDES program’s
electronic reporting system. Failure to
comply with this notice will result in
noncompliance with the CWA and may
result in penalties. EPA will repeat its
review of the participation rate for each
state and for each data group on an
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annual basis, as needed, and send out
notices as appropriate.
Similar to Phase 1 implementation, no
later than five years after the effective
date of the final rule EPA and
authorized NPDES programs will begin
electronically receiving Phase 2 data
from all NPDES regulated entities and
start sharing these data with each other.
EPA will review the Phase 2 data IPs
from authorized NPDES programs. This
IP will also include a description of the
program’s waiver approval processes.
EPA will finish its review of these IPs
and waiver process descriptions no later
than six months after receipt. EPA will
inform the state if its implementation
plan or waiver process description is
inadequate. EPA will post these IPs and
waiver process description notices on
its Web site to provide the public with
greater transparency on the milestones
and tasks each state will be taking to
move towards electronic reporting.
Finally, EPA will work with
authorized NPDES programs to develop
the NNCR. Upon successful
implementation of Phase 1 and 2, EPA
will work with authorized NPDES
programs to coordinate the switch over
from the existing set of state reporting
requirements (i.e., QNCR, ANCR, the
Semi-Annual Statistical Summary
Report, and the biosolids information
required to be submitted to EPA
annually by states) to the new EPA
generated NNCR. EPA will publish the
NNCR on its Web site on a quarterly
basis.
C. Other Aspects of Regulatory
Implementation
1. Copy of Record
EPA is clarifying that the final rule
does not change EPA’s authentication
and encryption standards for electronic
reporting. Below is a discussion of the
copy of record as it pertains to the
implementation of electronic reporting.
An important element of EPA’s
authentication and encryption standards
for electronic reporting is the ‘‘copy of
record.’’ See 40 CFR 3.3. A copy of
record must:
• Be a true and correct copy of the
electronic document that was received,
and it must be legally demonstrable that
it is in fact a true and correct copy;
• include all the electronic signatures
that have been executed to sign the
document or components of the
document;
• include the date and time of receipt
to help establish its relation to
submission deadlines; and,
• be viewable in a human-readable
format that clearly indicates what the
submitter and, where applicable, the
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signatory intended that each of the data
elements or other information items in
the document means.
For such CROMERR-compliant
submissions, the copy of record is
intended to serve as the electronic
surrogate for what is commonly referred
to as the paper submission with a ‘‘wetink’’ signature. The copy of record is
meant to provide an authoritative
answer to the question of what was
actually submitted and, as applicable,
what was signed and certified in the
particular case.
It is important to note that the use of
an electronic reporting system may
dictate where the electronic copy of
record is retained. EPA retains the copy
of record for electronic submission
made through its electronic reporting
tools (e.g., NetDMR and NeT). Likewise,
state electronic reporting systems will
contain the electronic copy of record for
submissions made with these state
systems.
Under the ‘‘Dual Reporting’’ scenario,
as described in Table 3, the authorized
NPDES program may elect to designate
EPA as the initial recipient and EPA
would electronically collect NPDES
program data directly from NPDESregulated entities. Under this scenario
these entities would also make a paper
submission of the same report with a
‘‘wet-ink’’ signature to the state (as
required by their NPDES permit). In
these cases, the paper submission to the
state with a ‘‘wet-ink’’ signature is the
copy of record.
2. Cross-Media Electronic Reporting
Regulation (CROMERR)
EPA’s final rule requires that all
electronic reporting systems that are
used for implementing NPDES
electronic reporting, whether already
existing or to be developed by EPA and
authorized NPDES programs, be
compliant with subpart D of EPA’s
CROMERR (see 40 CFR part 3).
CROMERR sets performance-based,
technology-neutral standards for
systems that states, tribes, and local
governments use to receive electronic
reports from facilities they regulate
under EPA-authorized programs.
CROMERR also addresses electronic
reporting directly to EPA.
EPA notes that state or EPA systems
that use the Hybrid Approach, which is
discussed in Section V, uses the paper
document with a ‘‘wet-ink’’ signature as
the copy of record. The related
electronic data transfer from the Hybrid
Approach is not a submission within
the meaning of CROMERR.
Additionally, the Hybrid Approach
option still requires compliance with
the regulatory requirements of 40 CFR
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122.22 and 40 CFR part 127 and any
additional permit requirements.
Under this rule, NPDES-regulated
entities (e.g., POTWs) are not required
to submit a CROMERR application to
electronically report NPDES program
data. However, it is the responsibility of
the authorized NPDES programs
receiving these electronically reported
NPDES program data to obtain approval
from EPA for their electronic reporting
systems and processes in accordance
with EPA’s CROMERR requirements.
Under the final rule, NPDES-regulated
entities that electronically report their
NPDES program data will use
CROMERR-approved electronic
reporting systems and processes.
Authorized NPDES programs are
responsible for submitting CROMERR
applications for their electronic
reporting system and NPDES-regulated
entities are only required to complete
the necessary signature requirements for
that system.
EPA also notes that CROMERR
requires state, tribal or local government
agencies that receive, or wish to begin
receiving electronic reports under their
EPA-authorized programs (e.g., CWA
pretreatment program) to apply to EPA
for a revision or modification of those
programs and obtain EPA approval.
However, an important consideration is
that the final rule does not require
approved pretreatment programs to
electronically collect NPDES program
data from significant and categorical
industrial users. Approved pretreatment
programs may continue to collect
NPDES program data from significant
and categorical industrial users on
paper.
3. Electronic Reporting for the
Pesticides General Permit and Vessels
General Permit
Several commenters had questions
regarding the application of the
proposed rule to regulated entities
subject to EPA’s Pesticides General
Permit and Vessels General Permit. EPA
provides NPDES permit coverage for
pesticide applicators in states where
EPA is the permitting authority and
vessel operators nationwide. EPA is not
exempting these two permits from the
NPDES Electronic Reporting Rule.
Specifically, EPA’s General Permit
regulations (40 CFR 122.28) apply to all
general permits and EPA’s proposed
revisions to this regulatory language that
implement electronic reporting do not
exclude pesticide applicators or vessel
operators (or any other sector or general
permit). However, vessel incidental
discharges and discharges from the
application of pesticides are atypical
from more traditional permitted
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discharges and as such, some of the data
elements in Appendix A may not be
appropriate as written. For example,
there may not be a fixed address of
where pesticide applications occur (i.e.,
the activity permitted) and the actual
location of such pesticide application
activities may not be known until the
time when those pesticides are actually
applied (i.e., at some point in time after
that operator obtains NPDES permit
coverage). Similarly, vessel operators
often do not know into which waters
they will discharge at the time of
obtaining permit coverage and many of
these vessels are operated by foreign
companies based out of foreign ports
(with non-US mailing addresses and
phone numbers). In these instances,
EPA will gather electronic information
consistent with the nature of these
discharges.
4. Due Dates for State Data Entry
To include all NPDES subprograms
(e.g., pretreatment, biosolids, sewer
overflows, MS4 program reports,
construction stormwater, industrial
stormwater, cooling water intake
structures), the required data set as
defined by this final rule is more
comprehensive than what authorized
NPDES programs were previously
reporting under previously existing EPA
policy (see list of data elements in DCN
0007 as compared to appendix A to 40
CFR part 127). EPA will work closely
with states, tribes, and territories to
ensure that all authorized NPDES
programs electronically transmit to EPA
basic facility and permit information
(see list of data elements in DCN 0007)
for all permits as well as other data
necessary for implementation of Phase 1
data collection within nine months after
the effective date of the final rule.
Collection of these data will enable
NPDES regulated entities to begin
electronic reporting as facility and
permit data must first be entered into
ICIS–NPDES for the system to accept
compliance monitoring data (e.g.,
DMRs, Sewage Sludge/Biosolids Annual
Program Reports). Additionally,
collection of these data will allow
authorized NPDES programs to provide
their compliance inspection and
enforcement data to ICIS–NPDES. EPA
will also work closely with authorized
NPDES programs to ensure that all of
the remaining facility and permit data
required by the final rule for Phase 2
(see NPDES Data Group 1 in Tables 1
and 2 of appendix A to 40 CFR part 127)
are entered into ICIS–NPDES within five
years after the effective date of the final
rule.
Additionally, under the final rule,
authorized NPDES programs must start
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submitting any new compliance
monitoring and enforcement action data
(see Appendix A to 40 CFR part 127)
one year after the effective date of the
final rule. These new data elements add
to the existing data that states report
(see DCN 0007) from their compliance
monitoring activities and reflect the
increased focus on the NPDES
subprograms. The final rule only
requires authorized NPDES programs to
start entering these new compliance
monitoring and enforcement action data
elements into ICIS–NPDES one year
after the effective date of the final rule.
5. Concentrated Animal Feeding
Operations (CAFO) Sector
EPA received many comments from
the animal agricultural sector in
response to the proposed rule. Although
this rule only changes the mode of
transmission of NPDES information
from paper-based reports to electronic
reporting and does not address EPA’s
practices for managing and sharing that
information, EPA received comments
regarding privacy, security, management
of confidential business information,
and EPA’s current practice of posting
inspection information on unpermitted
CAFOs and Animal Feeding Operations
(AFOs) on its public Web site
[Enforcement and Compliance History
Online (ECHO)—https://echo.epa.gov].
EPA used the supplemental notice to
the proposed rule to clarify the effects
of the proposed rule on CAFOs in
response to these comments (see 1
December 2014; 79 FR 71073).
This final rule would only require
CAFOs with NPDES permits to submit
information that the Clean Water Act
and existing regulations already requires
them to provide to permitting
authorities. See 33 U.S.C. 1342. The
final rule simply modernizes the format
through which permitted CAFOs would
submit certain types of information by
requiring electronic submission as
opposed to paper-based reporting. This
modernized format will increase
efficiencies for permitted CAFOs as well
as regulators. Additionally, under this
final rule a permitted CAFO can also
request a temporary waiver from
electronic reporting consistent with
authorized NPDES program’s
implementation plan.
EPA also solicited comments in the
supplemental notice to the proposed
rule on whether it should change its
current practice and begin masking
facility information for unpermitted
CAFOs and AFOs that EPA or state
inspectors found were not discharging
and do not require an NPDES permit.
EPA published the following example
(See Table 9) in the supplemental notice
to the proposed rule showing how EPA
could mask these data and solicited
comments on this approach.
TABLE 9—PROPOSED HYPOTHETICAL EXAMPLE OF MASKING UNPERMITTED CAFOS AND AFOS THAT STATE INSPECTORS
FOUND WERE NOT DISCHARGING AND DO NOT REQUIRE AN NPDES PERMIT
Facility #2
Show-Me State Animal Farm; Location: 11300 Ozark Lane, Perryville,
Missouri 63775; County: Perry; Lat.: 37.836084, Long: -89.738644;
Inspection(s): 3/14/2010 (no violation identified); 6/22/2014 (discharging without an NPDES permit).
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Facility #1
Unpermitted CAFO/AFO–0000001; Location: Missouri; County: Redacted from Website; Lat./Lon.: Redacted from Website; Inspection(s): 2/17/2009 (no violation identified); 5/25/2013 (no violation
identified)
In this hypothetical example, the
unpermitted CAFO shown in the
column labeled ‘‘Facility #1’’ would not
have its facility and contact information
displayed on EPA’s public Web site
until the weekly refresh of ECHO data
from ICIS–NPDES after 22 June 2014,
which is the date the state or EPA
Region identified that the facility had a
Clean Water Act violation (i.e.,
discharging without an NPDES permit)
and entered these data into ICIS–
NPDES. If an unpermitted CAFO does
not have a Clean Water Act violation as
determined by the authorized NPDES
program or EPA, then the facility and
contact information would not be
displayed on EPA’s ECHO Web site (see
the column labeled ‘‘Facility #2’’ in the
above table).
EPA also solicited input on potential
changes to its national NPDES data
system (ICIS–NPDES), which are
necessary to provide authorized NPDES
programs and Regions with the
capability to identify these nonpermitted CAFO/AFOs that do not
require an NPDES permit (1 December
2014; 79 FR 71080).
Comments from the animal
agricultural sector were in favor of this
proposed approach while other
commenters (e.g., environmental
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advocacy groups) were not. Some
authorized NPDES programs also
support this as a reasonable approach in
balancing the competing interests of
privacy and public access to these data.
Separate from this rulemaking, in light
of concerns raised regarding the privacy
interests of an unpermitted CAFO or
AFO that an authorized NPDES program
or EPA has assessed and found to have
not violated the Clean Water Act, EPA
will change its current practice and
mask on the ECHO public Web site the
related facility-specific facility
information (see Table 9).
EPA will implement this data
masking in an iterative, two-step
process. EPA is using a two-step process
because unpermitted facilities in EPA’s
national NPDES data system (ICIS–
NPDES) cannot currently be identified
by CAFO permit component data. As a
first step, EPA will use other currently
available data in ICIS–NPDES to
identify unpermitted CAFOs or AFOs
that an authorized NPDES program or
EPA have assessed and not found any
Clean Water Act violations (see DCN
0207). EPA plans to implement this
interim approach by the effective date of
this final rule.
EPA plans to supersede the first
approach with a second data masking
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approach outlined in the supplemental
notice to the proposed rule (1 December
2014; 79 FR 71080). The second data
masking approach will only use CAFO
permit component data to identify
unpermitted CAFOs and AFOs (see DCN
0207). This second approach will take
more time to implement as upgrades to
ICIS–NPDES and coordination with
authorized NPDES programs are
necessary to identify the exact set of
unpermitted CAFOs and AFOs that an
authorized NPDES program or EPA has
assessed and found to have not violated
the Clean Water Act. EPA anticipates it
will need a year after the final rule to
adopt this second data masking
approach.
VIII. Statutory and Executive Order
Reviews
A. Executive Order 12866: Regulatory
Planning and Review and Executive
Order 13563: Improving Regulation and
Regulatory Review
This action is a ‘‘significant regulatory
action’’ that was submitted to the Office
of Management and Budget (OMB) for
review. Any changes made in response
to OMB’s recommendations are
documented in the docket. In addition,
EPA prepared a detailed analysis of the
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potential costs, savings, and benefits of
this action. That analysis, the
‘‘Economic Analysis of the NPDES
Electronic Reporting Rule (Final),’’ can
be found in the EPA docket (see DCN
0197), and is summarized in Section VI.
B. Paperwork Reduction Act
The Office of Management and Budget
(OMB) has approved the information
collection activities contained in this
rule under the PRA and has assigned
OMB control number 2020–0035. The
ICR may be found in the docket for this
rule (see DCN 0237), and it is briefly
summarized here.
EPA is promulgating this final
regulation to allow better allocation and
use of limited program resources and
enhance transparency by providing a
timelier, complete, more accurate, and
nationally-consistent set of data about
the NPDES program.
The projected burden and cost of the
final regulation are summarized in
Table 10. Note that, consistent with the
Information Collection Request (ICR),
these estimates reflect the net burden
and cost to regulated facilities and
states, tribes, and territories over the
first three years following promulgation
of the rule (as ICRs are limited to three
years; however, they can be renewed).
TABLE 10—PROJECTED BURDEN AND COST OVER THE FIRST THREE YEARS OF THE FINAL RULE
Affected entity
Unit of Analysis
Regulated entities
Average
Average
Average
Average
Average
Average
Average
Average
Annual
Annual
Annual
Annual
Annual
Annual
Annual
Annual
Number of Respondents a .................................................................................................
Number of Responses ......................................................................................................
Incremental Burden (hours) ..............................................................................................
Incremental Cost ...............................................................................................................
Incremental Burden per Respondent (hours) ...................................................................
Incremental Burden per Response (hours) ......................................................................
Incremental Cost per Respondent ....................................................................................
Incremental Cost per Response .......................................................................................
213,349
78,477
118,577
$6,867,716
0.56
1.51
$32.19
$87.51
States
47
1,135,376
¥315,814
¥$1,072,586
¥6,719
¥0.28
¥$22,821
¥$0.94
a The number of respondents includes regulated entities that both submit information (a response) and experience a cost or cost savings while
the number of responses is limited to a count of information submissions. Thus, there are more affected respondents than responses.
1538, and does not significantly or
uniquely affect small governments. EPA
conducted an economic analysis
examining various options including the
potential burden to state, tribal, and
territorial governments. EPA estimates
that the rule would not only cost states,
tribes, territories, and local governments
well below the threshold of $100
million, it will actually result in cost
savings over time.
C. Regulatory Flexibility Act
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An agency may not conduct or
sponsor, and a person is not required to
respond to, a collection of information
unless it displays a currently valid OMB
control number. The OMB control
numbers for the EPA’s regulations in 40
CFR are listed in 40 CFR part 9. In
addition, the EPA is amending the table
in 40 CFR part 9 to list the regulatory
citations for the information collection
activities contained in this final rule.
E. Executive Order 13132: Federalism
I certify that this action will not have
a significant economic impact on a
substantial number of small entities
under the RFA. The small entities
subject to the requirements of this
action are small businesses (e.g.,
industrial sectors, electricity generating
facilities, and agricultural sectors) and
small governmental jurisdictions (e.g.,
POTWs operated by municipalities).
The Agency has determined that
108,035 of 108,036 (99.99%) small
entities considered in this analysis will
experience an impact of less than 1%
percent of revenues. Details of this
analysis are presented in Chapter 5 of
the following document in the
rulemaking docket, ‘‘Economic Analysis
of the NPDES Electronic Reporting Rule
(Final),’’ (see DCN 0197).
This action may have federalism
implications, because it imposes
substantial direct compliance costs on
state or local governments, and the
federal government will not provide the
funds necessary to pay those costs.
Specifically, EPA estimates costs to state
governments of greater than $25 million
during the first year of rule
implementation.
The EPA provides the following
federalism summary impact statement.
The EPA consulted with state and local
officials early in the process of
developing the rule to permit them to
have meaningful and timely input into
its development. In developing the
regulatory options described in this
final action, EPA held a series of 49
outreach activities with state and local
governments, on various aspects of the
rule, including a Federalism
consultation process that began in 2010,
well before this action was proposed.
The Environmental Council of the
States, the National League of Cities, the
D. Unfunded Mandates Reform Act
(UMRA)
This final rule does not contain an
unfunded mandate of $100 million as
described in UMRA, 2 U.S.C. 1531–
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U.S. Conference of Mayors, the National
Conference of State Legislators, the
Council of State Governments, the
National Governors Association, and the
National Association of Clean Water
Agencies were among the
intergovernmental groups participating
in this process, along with numerous
state and local government principals
from across the nation.
After publication of the proposed
rule, EPA also held teleconferences with
authorized NPDES programs to obtain
their individual views on various
aspects of the proposed rule. EPA met
with over twenty five states, ECOS,
ACWA, and New England Interstate
Water Pollution Control Commission to
take into account their individual
comments and concerns about the rule
(see DCN 0128 to 0142, 0181, 0219 to
0229). Additionally, EPA separately
contacted each authorized NPDES
program to individually assess its
readiness for these new electronic
reporting requirements. This extensive
outreach helped inform the
implementation process of the final rule
and the additional flexibilities that
authorized states, tribes, and territories
need for a measured and orderly
conversion from paper to electronic
reporting.
EPA specifically solicited comment
on the proposed action from State and
local officials. EPA received comments
from over one hundred (100) entities
representing State and local
governments. Of these comments, many
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were supportive of the rule and its
goals. Commentators expressed support
for the rule for a number of reasons,
including its ability to modernize and
streamline the reporting process, its
efficiency and cost-effectiveness, and its
ability to offer quicker access to
standardized data. Several
commentators expressed hope that
electronic reporting could reduce errors
in ICIS–NPDES, make errors more quick
and easy to correct, and expedite permit
applications.
While most commenters were
supportive of the proposed rule, there
were several concerns that were raised
by the responding state and local
governments. One of the most
frequently commented subjects was the
implementation schedule. Many
commenters noted that the proposed
two phase (one year per phase)
implementation schedule was ‘‘too
aggressive.’’ EPA addressed this
comment by modifying the compliance
schedule in the final rule to allow five
years for the second phase of
implementation.
The other main comment from state
and local governments was for EPA to
provide authorized NPDES programs
with additional flexibility in the
implementation of the final rule. As
noted in this preamble and in EPA’s
response to comments document for this
rulemaking, EPA has provided
authorized NPDES programs with
additional flexibility for implementing
this final rule. In particular, EPA has
given authorized NPDES programs more
flexibility in how they administer
waivers from electronic reporting. In the
proposed rule, EPA solicited comment
on limiting waivers from electronic
reporting to one year and only to areas
with limited access to broadband
internet. After consultation with
authorized NPDES programs, EPA has
eliminated the condition of limited
access to broadband internet as an
eligibility factor for an electronic
reporting waiver. Instead, EPA has
provided authorized NPDES programs
with the ability to grant waivers to
facilities for up to five years and for any
factors that they deem appropriate.
Additionally, authorized NPDES
programs asked for more flexibility in
how they implement electronic
reporting for the construction
stormwater sector. In particular, states
requested an option to allow
construction operators to electronically
submit data without CROMERR
authentication. After consultation with
authorized NPDES programs, EPA has
included an option, which first
suggested by an authorized NPDES
program, to allow construction
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operators to simultaneously submit
NPDES program data electronically
without CROMERR authentication as
long as they also submit these data on
paper with a handwritten signature.
This ‘‘Hybrid Approach’’ is discussed in
the preamble to this final rule. This
additional flexibility will allow states to
electronically collect and manage data
on construction sites and will also allow
construction operators to submit their
NOIs without having to first obtain
CROMERR authentication.
Finally, as a means to ‘‘fill in the
gaps’’ where NPDES-regulated entities
are not yet reporting electronically, EPA
will use its authority, as appropriate, to
issue targeted individual notices
requiring NPDES-regulated entities to
electronically report their NPDES
program data (appendix A to 40 CFR
part 127). EPA initially proposed to
have these data come directly to EPA.
Authorized NPDES programs suggested
that instead EPA should require NPDES
regulated entities to use state, tribe, or
territorial electronic reporting systems
that are in compliance with the final
rule, as this would be more efficient. In
this final rule, EPA is adopting the
approach recommended by authorized
NPDES programs.
A complete list of the comments from
State and local governments has been
provided to the Office of Management
and Budget and has been placed in the
docket for this rulemaking. In addition,
the detailed response to comments from
these entities is contained in EPA’s
response to comments document for this
rulemaking (see DCN 0218).
F. Executive Order 13175: Consultation
and Coordination With Indian Tribal
Governments
This action has tribal implications.
However, it will neither impose
substantial direct compliance costs on
federally recognized tribal governments,
nor preempt tribal law. Although no
tribes have yet received approval from
EPA to implement an authorized NPDES
program, this final rule will impose
electronic reporting requirements on
tribal facilities and on facilities
operating on tribal lands.
EPA consulted with tribal
representatives in developing this rule
via conference calls and webinars with
the National Tribal Caucus and National
Tribal Water Counsel in November 2010
(DCN 0232). No concerns were raised
during those consultations.
In addition, EPA mailed information
to 563 tribes regarding an opportunity to
participate in two additional tribal
outreach efforts in December 2010.
As required by section 7(a), the EPA’s
Tribal Consultation Official has certified
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that the requirements of the executive
order have been met in a meaningful
and timely manner. A copy of the
certification is included in the docket
for this action.
G. Executive Order 13045: Protection of
Children From Environmental Health
Risks and Safety Risks
EPA interprets Executive Order 13045
as applying only to those regulatory
actions that concern health or safety
risks that the EPA has reason to believe
may disproportionately affect children,
per the definition of ‘‘covered regulatory
action’’ in section 2–202 of the
Executive Order. This action is not
subject to Executive Order 13045
because it does not concern an
environmental health risk or safety risk.
H. Executive Order 13211: Actions
Concerning Regulations That
Significantly Affect Energy Supply,
Distribution, or Use
This action is not a ‘‘significant
energy action’’ because it is not likely to
have a significant adverse effect on the
supply, distribution, or use of energy.
I. National Technology Transfer and
Advancement Act
This rulemaking involves
environmental monitoring or
measurement. Consistent with the
Agency’s Performance Based
Measurement System (‘‘PBMS’’), EPA
has decided to allow the use of any
method that meets the prescribed
performance criteria. The PBMS
approach is intended to be more flexible
and cost-effective for the regulated
community; it is also intended to
encourage innovation in analytical
technology and improved data quality.
EPA is not precluding the use of any
method, whether it constitutes a
voluntary consensus standard or not, as
long as it meets the performance criteria
specified.
EPA has decided to use the following
data standards, which were developed
by the Exchange Network Leadership
Council (ENLC). This entity governs the
National Environmental Information
Exchange Network (NEIEN). The ENLC
identifies, prioritizes, and pursues the
creation of data standards for those
areas where information exchange
standards will provide the most value in
achieving environmental results. The
ENLC involves tribes and tribal nations,
state, and federal agencies in the
development of the standards. More
information about ENLC is available at
www.exchangenetwork.net.
• Enforcement and Compliance Data
Standard, Standard No.: EX000026.2,
July 30, 2008. This data standard
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identifies and defines the major areas of
enforcement and compliance
information that could be used for the
exchange of data among environmental
agencies and other entities. The purpose
of the standard is to provide a common
lexicon, so that information about
functionally similar activities and/or
instruments can be stored and to
provide and receive data in a clearly
defined and uniform way.
• Permitting Information Data
Standard, Standard No.: EX000021.2,
January 6, 2006. This data standard
should be used in this regulation
because it specifies the key data
groupings necessary for the consistent
identification of information pertaining
to permits of interest to environmental
information exchange partners. This
data standard provides a minimum set
of data, which need to be reported for
permitting information such as permit
name, number, type, organization or
facility name, and affiliation type.
• Facility Site Identification Data
Standard, Standard No.: EX000020.2,
January 6, 2006. The purpose of this
data standard is to identify a facility of
environmental interest. This data
standard should be used in this
regulation because it provides for the
unique identification of facilities
regulated or monitored by EPA, states,
tribes, and territories. Each facility is
assigned a unique facility identification
number, which identifies information
for the facility specified. This standard
provides and describes data groupings
that are used to exchange facility site
identification data and information.
This standard helps EPA, states, tribes,
and territories integrate and share
facility information across multiple
information systems, programs, and
governments.
• Contact Information Data Standard,
Standard No.: EX000019.2, January 6,
2006. This data standard should be used
in this regulation because it provides
information regarding the source of
contact. This standard offers data
groupings that are used to describe a
point of contact, address, and
communication information. For
example, the data grouping ‘‘Point of
Contact’’ subdivides to lower levels
such as individual, affiliation, and
organization. These intermediate data
groupings are further defined at the
elemental levels with Name, Title, Code,
and Prefix.
• Representation of Date and Time
Data Standard, Standard No.:
EX000013.1, January 6, 2006. This data
standard should be used in this
regulation because it provides and
describes data groupings that are used
for exchange of Date and Time data and
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information. The standard provides
information on the high level,
intermediate, and elemental
representation of date and time data
groupings.
• Latitude/Longitude Data Standard,
Standard No.: EX000017.2, January 6,
2006. This data standard should be used
in this regulation because it establishes
the requirements for documenting
latitude and longitude coordinates and
related method, accuracy, and
description data for all places used in
the data exchange transaction. Places
include facilities, sites, monitoring
stations, observations points, and other
regulated or tracked features. This
standard describes data and data
groupings that are used to exchange
latitude and longitude data and
information. The purpose of the
standard is to provide a common set of
data to use for recording horizontal and
vertical coordinates and associated
metadata that define a point on the
earth.
• SIC/NAICS Data Standard,
Standard No.: EX000022.2, January 6,
2006. This data standard should be used
in this regulation because it provides a
common set of data groupings to specify
a way to classify business activities,
including industry classifications,
product classifications, and product
codes. This data standard provides
information on business activity
according to the Standard Industrial
Classification (SIC) and North American
Industrial Classification System
(NAICS).
J. Executive Order 12898: Federal
Actions To Address Environmental
Justice in Minority Populations and
Low-Income Populations
EPA has determined that this final
rule will not have disproportionately
high and adverse human health or
environmental effects on minority or
low-income populations because it does
not affect the level of protection
provided to human health or the
environment. This final rule offers
substantial environmental justice
benefits. As described in the context of
non-monetary benefits, discussed in
Section VI and described below, the
final rule would significantly increase
transparency and access to crucial
information that is relevant to the
protection of the health and
environment of minority, low income,
and tribal populations.
K. Congressional Review Act (CRA)
This action is subject to the CRA, and
the EPA will submit a rule report to
each House of the Congress and to the
Comptroller General of the United
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64095
States. This action is not a ‘‘major rule’’
as defined by 5 U.S.C. 804(2).
List of Subjects
40 CFR Part 9
Environmental protection, Reporting
and recordkeeping requirements.
40 CFR Part 122
Environmental protection,
Administrative practice and procedure,
Confidential business information,
Hazardous substances, Incorporation by
reference, Reporting and recordkeeping
requirements, Water pollution control.
40 CFR Part 123
Environmental protection,
Administrative practice and procedure,
Confidential business information,
Hazardous substances, Indians-lands,
Intergovernmental relations, Penalties,
Reporting and recordkeeping
requirements, Water pollution control.
40 CFR Part 124
Environmental protection,
Administrative practice and procedure,
Air pollution control, Hazardous waste,
Indians-lands, Reporting and
recordkeeping requirements, Water
pollution control, Water supply.
40 CFR Part 127
Environmental protection,
Administrative practice and procedure,
Automatic data processing, Electronic
data processing, Hazardous substances,
Intergovernmental relations, Reporting
and recordkeeping requirements,
Sewage disposal, Waste treatment and
disposal, Water pollution control.
40 CFR Part 403
Environmental protection,
Confidential business information,
Reporting and recordkeeping
requirements, Waste treatment and
disposal, Water pollution control.
40 CFR Part 501
Environmental protection,
Administrative practice and procedure,
Indians-lands, Intergovernmental
relations, Penalties, Reporting and
recordkeeping requirements, Sewage
disposal.
40 CFR Part 503
Environmental protection, Reporting
and recordkeeping requirements,
Sewage disposal.
Dated: September 24, 2015.
Gina McCarthy,
Administrator.
For the reasons cited in the preamble,
title 40, chapter I is amended as follows:
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PART 9—OMB APPROVALS UNDER
THE PAPERWORK REDUCTION ACT
1. The authority citation for part 122
continues to read as follows:
■
Authority: 7 U.S.C. 135 et seq., 136–136y;
15 U.S.C. 2001, 2003, 2005, 2006, 2601–2671;
21 U.S.C. 331j, 346a, 31 U.S.C. 9701; 33
U.S.C. 1251 et seq., 1311, 1313d, 1314, 1318,
1321, 1326, 1330, 1342, 1344, 1345 (d) and
(e), 1361; E.O. 11735, 38 FR 21243, 3 CFR,
1971–1975 Comp. p. 973; 42 U.S.C. 241,
242b, 243, 246, 300f, 300g, 300g–1, 300g–2,
300g–3, 300g–4, 300g–5, 300g–6, 300j–1,
300j–2, 300j–3, 300j–4, 300j–9, 1857 et seq.,
6901–6992k, 7401–7671q, 7542, 9601–9657,
11023, 11048.
2. In § 9.1, the table is amended by
adding the following section in
numerical order under a new heading
titled ‘‘NPDES Electronic Reporting’’ to
read as follows:
■
§ 9.1 OMB approvals under the Paperwork
Reduction Act.
*
*
*
*
*
40 CFR citation
*
OMB control No.
*
*
*
*
NPDES Electronic Reporting
127.26
2020–0035.
*
*
*
*
*
*
*
*
*
*
PART 122—EPA ADMINISTERED
PERMIT PROGRAMS: THE NATIONAL
POLLUTANT DISCHARGE
ELIMINATION SYSTEM
3. The authority citation for part 122
continues to read as follows:
■
Authority: The Clean Water Act, 33 U.S.C.
1251 et seq.
4. Amend § 122.22 by adding
paragraph (e) to read as follows:
■
§ 122.22 Signatories to permit applications
and reports (applicable to State programs,
see § 123.25).
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*
*
*
*
*
(e) Electronic reporting. If documents
described in paragraph (a) or (b) of this
section are submitted electronically by
or on behalf of the NPDES-regulated
facility, any person providing the
electronic signature for such documents
shall meet all relevant requirements of
this section, and shall ensure that all of
the relevant requirements of 40 CFR part
3 (including, in all cases, subpart D to
part 3) (Cross-Media Electronic
Reporting) and 40 CFR part 127 (NPDES
Electronic Reporting Requirements) are
met for that submission.
*
*
*
*
*
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19:54 Oct 21, 2015
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5. Amend § 122.26 by:
a. Revising paragraphs (b)(15)(i)(A)
and (g)(1)(iii).
■ b. Adding paragraph (b)(15)(i)(C).
The revisions and addition read as
follows:
■
■
§ 122.26 Storm water discharges
(applicable to State NPDES programs, see
§ 123.25).
(b) * * *
(15) * * *
(i) * * *
(A) The value of the rainfall erosivity
factor (‘‘R’’ in the Revised Universal Soil
Loss Equation) is less than five during
the period of construction activity. The
rainfall erosivity factor is determined in
accordance with Chapter 2 of
Agriculture Handbook Number 703,
Predicting Soil Erosion by Water: A
Guide to Conservation Planning with
the Revised Universal Soil Loss
Equation (RUSLE), pages 21–64, dated
January 1997. The Director of the
Federal Register approves this
incorporation by reference in
accordance with 5 U.S.C. 552(a) and 1
CFR part 51. Copies may be obtained at
EPA’s Water Docket, 1200 Pennsylvania
Avenue NW, Washington, DC 20460.
For information on the availability of
this material at National Archives and
Records Administration, call 202–741–
6030, or go to: https://www.archives.gov/
federal_register/code_of_federal_
regulations/ibr_locations.html. An
operator must certify to the Director that
the construction activity will take place
during a period when the value of the
rainfall erosivity factor is less than five;
or
*
*
*
*
*
(C) As of December 21, 2020 all
certifications submitted in compliance
with paragraphs (b)(15)(i)(A) and (B) of
this section must be submitted
electronically by the owner or operator
to the Director or initial recipient, as
defined in 40 CFR 127.2(b), in
compliance with this section and 40
CFR part 3 (including, in all cases,
subpart D to part 3), § 122.22, and 40
CFR part 127. Part 127 is not intended
to undo existing requirements for
electronic reporting. Prior to this date,
and independent of part 127, owners or
operators may be required to report
electronically if specified by a particular
permit or if required to do so by state
law.
*
*
*
*
*
(g) * * *
(1) * * *
(iii) Submit the signed certification to
the NPDES permitting authority once
every five years. As of December 21,
2020 all certifications submitted in
compliance with this section must be
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submitted electronically by the owner or
operator to the Director or initial
recipient, as defined in 40 CFR 127.2(b),
in compliance with this section and 40
CFR part 3 (including, in all cases,
subpart D to part 3), § 122.22, and 40
CFR part 127. Part 127 is not intended
to undo existing requirements for
electronic reporting. Prior to this date,
and independent of part 127, owners or
operators may be required to report
electronically if specified by a particular
permit or if required to do so by state
law.
*
*
*
*
*
■ 6. Amend § 122.28 by revising
paragraphs (b)(2)(i) and (ii) to read as
follows:
§ 122.28 General permits (applicable to
State NPDES programs, see § 123.25).
*
*
*
*
*
(b) * * *
(2) * * *
(i) Except as provided in paragraphs
(b)(2)(v) and (vi) of this section,
dischargers (or treatment works treating
domestic sewage) seeking coverage
under a general permit shall submit to
the Director a notice of intent to be
covered by the general permit. A
discharger (or treatment works treating
domestic sewage) who fails to submit a
notice of intent in accordance with the
terms of the permit is not authorized to
discharge, (or in the case of sludge
disposal permit, to engage in a sludge
use or disposal practice), under the
terms of the general permit unless the
general permit, in accordance with
paragraph (b)(2)(v), contains a provision
that a notice of intent is not required or
the Director notifies a discharger (or
treatment works treating domestic
sewage) that it is covered by a general
permit in accordance with paragraph
(b)(2)(vi). A complete and timely, notice
of intent (NOI), to be covered in
accordance with general permit
requirements, fulfills the requirements
for permit applications for purposes of
§§ 122.6, 122.21, and 122.26. As of
December 21, 2020 all notices of intent
submitted in compliance with this
section must be submitted electronically
by the discharger (or treatment works
treating domestic sewage) to the
Director or initial recipient, as defined
in 40 CFR 127.2(b), in compliance with
this section and 40 CFR part 3
(including, in all cases, subpart D to part
3), § 122.22, and 40 CFR part 127. Part
127 is not intended to undo existing
requirements for electronic reporting.
Prior to this date, and independent of
part 127, discharger (or treatment works
treating domestic sewage) may be
required to report electronically if
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specified by a particular permit or if
required to do so by state law.
(ii) The contents of the notice of
intent shall be specified in the general
permit and shall require the submission
of information necessary for adequate
program implementation, including at a
minimum, the legal name and address
of the owner or operator, the facility
name and address, type of facility or
discharges, the receiving stream(s), and
other required data elements as
identified in appendix A to part 127.
General permits for stormwater
discharges associated with industrial
activity from inactive mining, inactive
oil and gas operations, or inactive
landfills occurring on Federal lands
where an operator cannot be identified
may contain alternative notice of intent
requirements. All notices of intent shall
be signed in accordance with § 122.22.
Notices of intent for coverage under a
general permit for concentrated animal
feeding operations must include the
information specified in § 122.21(i)(1),
including a topographic map.
*
*
*
*
*
■ 7. Amend § 122.34 by revising
paragraph (g)(3) introductory text to
read as follows:
§ 122.34 As an operator of a regulated
small MS4, what will my NPDES MS4 storm
water permit require?
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*
*
*
*
*
(g) * * *
(3) Reporting. Unless you are relying
on another entity to satisfy your NPDES
permit obligations under § 122.35(a),
you must submit annual reports to the
NPDES permitting authority for your
first permit term. For subsequent permit
terms, you must submit reports in year
two and four unless the NPDES
permitting authority requires more
frequent reports. As of December 21,
2020 all reports submitted in
compliance with this section must be
submitted electronically by the owner,
operator, or the duly authorized
representative of the small MS4 to the
Director or initial recipient, as defined
in 40 CFR 127.2(b), in compliance with
this section and 40 CFR part 3
(including, in all cases, subpart D to part
3), § 122.22, and 40 CFR part 127. Part
127 is not intended to undo existing
requirements for electronic reporting.
Prior to this date, and independent of
part 127, the owner, operator, or the
duly authorized representative of the
small MS4 may be required to report
electronically if specified by a particular
permit or if required to do so by state
law. Your report must include:
*
*
*
*
*
■ 8. Amend § 122.41 by:
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a. Revising paragraphs (l)(4)(i),
(l)(6)(i), (l)(7), and (m)(3).
■ b. Adding paragraph (l)(9).
The revisions and addition read as
follows:
■
§ 122.41 Conditions applicable to all
permits (applicable to State programs, see
§ 123.25).
*
*
*
*
*
(l) * * *
(4) * * *
(i) Monitoring results must be
reported on a Discharge Monitoring
Report (DMR) or forms provided or
specified by the Director for reporting
results of monitoring of sludge use or
disposal practices. As of December 21,
2016 all reports and forms submitted in
compliance with this section must be
submitted electronically by the
permittee to the Director or initial
recipient, as defined in 40 CFR 127.2(b),
in compliance with this section and 40
CFR part 3 (including, in all cases,
subpart D to part 3), § 122.22, and 40
CFR part 127. Part 127 is not intended
to undo existing requirements for
electronic reporting. Prior to this date,
and independent of part 127, permittees
may be required to report electronically
if specified by a particular permit or if
required to do so by state law.
*
*
*
*
*
(6) * * *
(i) The permittee shall report any
noncompliance which may endanger
health or the environment. Any
information shall be provided orally
within 24 hours from the time the
permittee becomes aware of the
circumstances. A report shall also be
provided within 5 days of the time the
permittee becomes aware of the
circumstances. The report shall contain
a description of the noncompliance and
its cause; the period of noncompliance,
including exact dates and times), and if
the noncompliance has not been
corrected, the anticipated time it is
expected to continue; and steps taken or
planned to reduce, eliminate, and
prevent reoccurrence of the
noncompliance. For noncompliance
events related to combined sewer
overflows, sanitary sewer overflows, or
bypass events, these reports must
include the data described above (with
the exception of time of discovery) as
well as the type of event (combined
sewer overflows, sanitary sewer
overflows, or bypass events), type of
sewer overflow structure (e.g., manhole,
combine sewer overflow outfall),
discharge volumes untreated by the
treatment works treating domestic
sewage, types of human health and
environmental impacts of the sewer
overflow event, and whether the
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64097
noncompliance was related to wet
weather. As of December 21, 2020 all
reports related to combined sewer
overflows, sanitary sewer overflows, or
bypass events submitted in compliance
with this section must be submitted
electronically by the permittee to the
Director or initial recipient, as defined
in 40 CFR 127.2(b), in compliance with
this section and 40 CFR part 3
(including, in all cases, subpart D to part
3), § 122.22, and 40 CFR part 127. Part
127 is not intended to undo existing
requirements for electronic reporting.
Prior to this date, and independent of
part 127, permittees may be required to
electronically submit reports related to
combined sewer overflows, sanitary
sewer overflows, or bypass events under
this section by a particular permit or if
required to do so by state law. The
Director may also require permittees to
electronically submit reports not related
to combined sewer overflows, sanitary
sewer overflows, or bypass events under
this section.
*
*
*
*
*
(7) Other noncompliance. The
permittee shall report all instances of
noncompliance not reported under
paragraphs (l)(4), (5), and (6) of this
section, at the time monitoring reports
are submitted. The reports shall contain
the information listed in paragraph
(l)(6). For noncompliance events related
to combined sewer overflows, sanitary
sewer overflows, or bypass events, these
reports shall contain the information
described in paragraph (l)(6) and the
applicable required data in appendix A
to 40 CFR part 127. As of December 21,
2020 all reports related to combined
sewer overflows, sanitary sewer
overflows, or bypass events submitted
in compliance with this section must be
submitted electronically by the
permittee to the Director or initial
recipient, as defined in 40 CFR 127.2(b),
in compliance with this section and 40
CFR part 3 (including, in all cases,
subpart D to part 3), § 122.22, and 40
CFR part 127. Part 127 is not intended
to undo existing requirements for
electronic reporting. Prior to this date,
and independent of part 127, permittees
may be required to electronically submit
reports related to combined sewer
overflows, sanitary sewer overflows, or
bypass events under this section by a
particular permit or if required to do so
by state law. The Director may also
require permittees to electronically
submit reports not related to combined
sewer overflows, sanitary sewer
overflows, or bypass events under this
section.
*
*
*
*
*
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Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations
(9) Identification of the initial
recipient for NPDES electronic reporting
data. The owner, operator, or the duly
authorized representative of an NPDESregulated entity is required to
electronically submit the required
NPDES information (as specified in
appendix A to 40 CFR part 127) to the
appropriate initial recipient, as
determined by EPA, and as defined in
§ 127.2(b) of this chapter. EPA will
identify and publish the list of initial
recipients on its Web site and in the
Federal Register, by state and by NPDES
data group [see § 127.2(c) of this
chapter]. EPA will update and maintain
this listing.
*
*
*
*
*
(m) * * *
(3) Notice—(i) Anticipated bypass. If
the permittee knows in advance of the
need for a bypass, it shall submit prior
notice, if possible at least ten days
before the date of the bypass. As of
December 21, 2020 all notices submitted
in compliance with this section must be
submitted electronically by the
permittee to the Director or initial
recipient, as defined in 40 CFR 127.2(b),
in compliance with this section and 40
CFR part 3 (including, in all cases,
subpart D to part 3), § 122.22, and 40
CFR part 127. Part 127 is not intended
to undo existing requirements for
electronic reporting. Prior to this date,
and independent of part 127, permittees
may be required to report electronically
if specified by a particular permit or if
required to do so by state law.
(ii) Unanticipated bypass. The
permittee shall submit notice of an
unanticipated bypass as required in
paragraph (l)(6) of this section (24-hour
notice). As of December 21, 2020 all
notices submitted in compliance with
this section must be submitted
electronically by the permittee to the
Director or initial recipient, as defined
in 40 CFR 127.2(b), in compliance with
this section and 40 CFR part 3
(including, in all cases, subpart D to part
3), § 122.22, and 40 CFR part 127. Part
127 is not intended to undo existing
requirements for electronic reporting.
Prior to this date, and independent of
part 127, permittees may be required to
report electronically if specified by a
particular permit or if required to do so
by state law.
*
*
*
*
*
9. Amend § 122.42 by revising the
introductory text in paragraphs (c) and
(e)(4) and paragraph (e)(4)(vi) to read as
follows:
■
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19:04 Oct 21, 2015
Jkt 238001
§ 122.42 Additional conditions applicable
to specified categories of NPDES permits
(applicable to State NPDES programs, see
§ 123.25).
*
*
*
*
*
(c) Municipal separate storm sewer
systems. The operator of a large or
medium municipal separate storm
sewer system or a municipal separate
storm sewer that has been designated by
the Director under § 122.26(a)(1)(v) must
submit an annual report by the
anniversary of the date of the issuance
of the permit for such system. As of
December 21, 2020 all reports submitted
in compliance with this section must be
submitted electronically by the owner,
operator, or the duly authorized
representative of the MS4 to the Director
or initial recipient, as defined in 40 CFR
127.2(b), in compliance with this
section and 40 CFR part 3 (including, in
all cases, subpart D to part 3), § 122.22,
and 40 CFR part 127. Part 127 is not
intended to undo existing requirements
for electronic reporting. Prior to this
date, and independent of part 127, the
owner, operator, or the duly authorized
representative of the MS4 may be
required to report electronically if
specified by a particular permit or if
required to do so by state law. The
report shall include:
*
*
*
*
*
(e) * * *
(4) Annual reporting requirements for
CAFOs. The permittee must submit an
annual report to the Director. As of
December 21, 2020 all annual reports
submitted in compliance with this
section must be submitted electronically
by the permittee to the Director or initial
recipient, as defined in 40 CFR 127.2(b),
in compliance with this section and 40
CFR part 3 (including, in all cases,
subpart D to part 3), § 122.22, and 40
CFR part 127. Part 127 is not intended
to undo existing requirements for
electronic reporting. Prior to this date,
and independent of part 127, the
permittee may be required to report
electronically if specified by a particular
permit or if required to do so by state
law. The annual report must include:
*
*
*
*
*
(vi) Summary of all manure, litter and
process wastewater discharges from the
production area that have occurred in
the previous 12 months, including, for
each discharge, the date of discovery,
duration of discharge, and approximate
volume; and
*
*
*
*
*
10. Amend § 122.43 by revising
paragraph (a) to read as follows:
■
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§ 122.43 Establishing permit conditions
(applicable to State programs, see § 123.25).
(a) In addition to conditions required
in all permits (§§ 122.41 and 122.42),
the Director shall establish conditions,
as required on a case-by-case basis, to
provide for and ensure compliance with
all applicable requirements of CWA and
regulations. These shall include
conditions under §§ 122.46 (duration of
permits), 122.47(a) (schedules of
compliance), 122.48 (monitoring),
electronic reporting requirements of 40
CFR part 3 (Cross-Media Electronic
Reporting Regulation) and 40 CFR part
127 (NPDES Electronic Reporting), and,
for EPA permits only, §§ 122.47(b)
(alternatives schedule of compliance)
and 122.49 (considerations under
Federal law).
*
*
*
*
*
■ 11. Amend § 122.44 by revising
paragraph (i)(2) to read as follows:
§ 122.44 Establishing limitations,
standards, and other permit conditions
(applicable to State NPDES programs, see
§ 123.25).
*
*
*
*
*
(i) * * *
(2) Except as provided in paragraphs
(i)(4) and (5) of this section,
requirements to report monitoring
results shall be established on a case-bycase basis with a frequency dependent
on the nature and effect of the
discharge, but in no case less than once
a year. For sewage sludge use or
disposal practices, requirements to
monitor and report results shall be
established on a case-by-case basis with
a frequency dependent on the nature
and effect of the sewage sludge use or
disposal practice; minimally this shall
be as specified in 40 CFR part 503
(where applicable), but in no case less
than once a year. All results must be
electronically reported in compliance
with 40 CFR part 3 (including, in all
cases, subpart D to part 3), § 122.22, and
40 CFR part 127.
*
*
*
*
*
■ 12. Amend § 122.48 by revising
paragraph (c) to read as follows:
§ 122.48 Requirements for recording and
reporting of monitoring results (applicable
to State programs, see § 123.25).
*
*
*
*
*
(c) Applicable reporting requirements
based upon the impact of the regulated
activity and as specified in 40 CFR part
3 (Cross-Media Electronic Reporting
Regulation), § 122.44, and 40 CFR part
127 (NPDES Electronic Reporting).
Reporting shall be no less frequent than
specified in § 122.44. EPA will maintain
the start dates for the electronic
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reporting of monitoring results for each
state on its Web site.
■ 13. Amend § 122.63 by adding
paragraph (f) to read as follows:
§ 122.63
Minor modifications of permits.
*
*
*
*
*
(f) Require electronic reporting
requirements (to replace paper reporting
requirements) including those specified
in 40 CFR part 3 (Cross-Media
Electronic Reporting Regulation) and 40
CFR part 127 (NPDES Electronic
Reporting).
*
*
*
*
*
■ 14. Amend § 122.64 by adding
paragraph (c) to read as follows:
§ 122.64 Termination of permits
(applicable to State programs, see § 123.25).
*
*
*
*
*
(c) Permittees that wish to terminate
their permit must submit a Notice of
Termination (NOT) to their permitting
authority. If requesting expedited permit
termination procedures, a permittee
must certify in the NOT that it is not
subject to any pending State or Federal
enforcement actions including citizen
suits brought under State or Federal
law. As of December 21, 2020 all NOTs
submitted in compliance with this
section must be submitted electronically
by the permittee to the Director or initial
recipient, as defined in 40 CFR 127.2(b),
in compliance with this section and 40
CFR part 3 (including, in all cases,
subpart D), § 122.22, and 40 CFR part
127. Part 127 is not intended to undo
existing requirements for electronic
reporting. Prior to this date, and
independent of part 127, the permittee
may be required to report electronically
if specified by a particular permit or if
required to do so by state law.
PART 123—STATE PROGRAM
REQUIREMENTS
15. The authority citation for part 123
continues to read as follows:
■
Authority: The Clean Water Act, 33 U.S.C.
1251 et se.
16. Amend § 123.22 by adding
paragraph (g) to read as follows:
■
§ 123.22
Program description.
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*
*
*
*
*
(g) A state, tribe, or territory that
newly seeks to implement an NPDES
program after March 21, 2016 must
describe whether the state, tribe, or
territory will be the initial recipient of
electronic NPDES information from
NPDES-regulated facilities for specific
NPDES data groups (see 40 CFR 127.2(c)
and 127.27). In this program
description, the state, tribe, or territory
must identify the specific NPDES data
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groups for which the state, tribe, or
territory will be the initial recipient of
electronic NPDES information from
NPDES-regulated facilities and how the
electronic data system of the state, tribe,
or territory will be compliant with 40
CFR part 3 (including, in all cases,
subpart D to part 3), § 123.26, and 40
CFR part 127.
■ 17. Amend § 123.24 by revising
paragraph (b)(3) to read as follows:
§ 123.24 Memorandum of Agreement with
the Regional Administrator.
*
*
*
*
*
(b) * * *
(3) Provisions specifying the
frequency and content of reports,
documents and other information which
the State is required to submit to EPA.
The State shall allow EPA to routinely
review State records, reports, and files
relevant to the administration and
enforcement of the approved program.
State reports may be combined with
grant reports where appropriate. These
procedures must also implement the
requirements of 40 CFR 123.41(a) and
123.43 and 40 CFR part 127 (including
the required data elements in appendix
A to part 127).
*
*
*
*
*
■ 18. Amend § 123.25 by revising
paragraph (a)(46) and the note
immediately following it to read as
follows:
§ 123.25
Requirements for permitting.
(a) * * *
(46) 40 CFR part 3 (Cross-Media
Electronic Reporting Regulation) and 40
CFR part 127 (NPDES Electronic
Reporting Requirements).
Note to paragraph (a): Except for
paragraph (a)(46) of this section, states
need not implement provisions
identical to the above listed provisions.
Implemented provisions must, however,
establish requirements at least as
stringent as the corresponding listed
provisions. While States may impose
more stringent requirements, they may
not make one requirement more lenient
as a tradeoff for making another
requirement more stringent; for
example, by requiring that public
hearings be held prior to issuing any
permit while reducing the amount of
advance notice of such a hearing.
State programs may, if they have
adequate legal authority, implement any
of the provisions of parts 122 and 124.
See, for example, §§ 122.5(d)
(continuation of permits) and 124.4
(consolidation of permit processing) of
this chapter.
For example, a State may impose
more stringent requirements in an
NPDES program by omitting the upset
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64099
provision of § 122.41 of this chapter or
by requiring more prompt notice of an
upset.
*
*
*
*
*
■ 19. Amend § 123.26 by:
■ a. Revising the introductory text in
paragraph (b) and paragraphs (b)(1),
(b)(2)(iii), and (e)(1).
■ b. Removing the word ‘‘and’’ after
semicolon in paragraph (b)(2)(ii).
■ c. Adding paragraphs (b)(2)(iv) and (f).
The revisions and additions read as
follows:
§ 123.26 Requirements for compliance
evaluation programs.
*
*
*
*
*
(b) State programs shall have
inspection and surveillance procedures
to determine, independent of
information supplied by regulated
persons, compliance or noncompliance
with applicable program requirements.
The State shall implement and
maintain:
(1) An automated, computerized
system which is capable of identifying
and tracking all facilities and activities
subject to the State Director’s authority
and any instances of noncompliance
with permit or other program
requirements (e.g., identifying
noncompliance with an automated,
computerized program to compare
permit limits to reported
measurements). State programs must
maintain a management information
system which supports the compliance
evaluation activities of this part (e.g.,
source inventories; compliance
determinations based upon discharge
monitoring reports, other submitted
reports, and determinations of
noncompliance made from inspection or
document reviews; and subsequent
violation notices, enforcement actions,
orders, and penalties) and complies
with 40 CFR part 3 (Cross-Media
Electronic Reporting Regulation) and 40
CFR part 127 (NPDES Electronic
Reporting Requirements). State
programs may use EPA’s national
NPDES data system for their automated,
computerized system;
(2) * * *
(iii) Verify the adequacy of sampling,
monitoring, and other methods used by
permittees and other regulated persons
to develop that information; and
(iv) Protect surface waters and public
health.
*
*
*
*
*
(e) * * *
(1) Maintaining an automated,
computerized system which is capable
of managing the comprehensive
electronic inventory of all sources
covered by NPDES permits and
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generating an electronic schedule of
reports required to be submitted by
permittees to the State agency. (Note:
State programs may use EPA’s national
NPDES data system for their automated,
computerized system.);
*
*
*
*
*
(f) A state, tribe, or territory that is
designated by EPA as an initial recipient
of electronic NPDES information, as
defined in § 127.2 of this chapter, must
maintain the data it collects and
electronically transfer the minimum set
of NPDES data to EPA through timely
data transfers in compliance with all
requirements of 40 CFR parts 3 and 127
(including the required data elements in
appendix A to part 127). Timely means
that the authorized state, tribe, or
territory submits these data transfers
(see the data elements in appendix A to
40 CFR part 127) to EPA within 40 days
of when the state, tribe, or territory
completed the activity or received a
report submitted by a regulated entity.
For example, the data regarding a state
inspection of an NPDES-regulated entity
that is finalized by the state on October
5th must be electronically transferred to
EPA no later than November 14th of that
same year (e.g., 40 days after October
5th). EPA must become the initial
recipient of electronic NPDES
information from NPDES-regulated
entities if the state, tribe, or territory
does not consistently maintain these
timely data transfers or does not comply
with 40 CFR parts 3 and 127. See 40
CFR 127.2(b) and 127.27 regarding the
initial recipient.
■ 20. Amend § 123.41 by revising
paragraph (a) to read as follows:
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§ 123.41
Sharing of information.
(a) Any information obtained or used
in the administration of a State program
shall be available to EPA upon request
without restriction. This includes the
timely data transfers in compliance with
all requirements of 40 CFR parts 3 and
127 (including the required data
elements in appendix A to part 127). If
the information has been submitted to
the State under a claim of
confidentiality, the State must submit
that claim to EPA when providing
information under this section. Any
information obtained from a State and
subject to a claim of confidentiality will
be treated in compliance with the
regulations in 40 CFR part 2. If EPA
obtains information from an authorized
state NPDES program, which is not
claimed to be confidential, EPA may
make that information available to the
public without further notice. Timely
means that the authorized state, tribe, or
territory submits these data transfers
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(see the data elements in appendix A to
40 CFR part 127) to EPA within 40 days
of when the state, tribe, or territory
completed the activity or received a
report submitted by a regulated entity.
For example, the data regarding a state
inspection of an NPDES-regulated entity
that is finalized by the state on October
5th must be electronically transferred to
EPA no later than November 14th of that
same year (e.g., 40 days after October
5th). EPA must become the initial
recipient of electronic NPDES
information from NPDES-regulated
entities if the state, tribe, or territory
does not consistently maintain these
timely data transfers or does not comply
with 40 CFR parts 3 and 127. See 40
CFR 127.2(b) and 127.27 regarding the
initial recipient.
*
*
*
*
*
21. Amend § 123.43 by revising
paragraph (d) to read as follows:
■
§ 123.43
EPA.
Transmission of information to
*
*
*
*
*
(d) Any State permit program shall
keep such records and submit to the
Administrator such information as the
Administrator may reasonably require to
ascertain whether the State program
complies with the requirements of the
CWA or of this part. This includes the
timely data transfers in compliance with
all requirements of 40 CFR part 127
(including the required data elements in
appendix A to part 127).
■
22. Revise § 123.45 to read as follows:
§ 123.45 Noncompliance and program
reporting by the Director.
As of December 21, 2021 EPA must
prepare public (quarterly and annual)
reports as set forth here from
information that is required to be
submitted by NPDES-regulated facilities
and the State Director.
(a) NPDES noncompliance reports
(NNCR)—quarterly. EPA must produce
an online report on a quarterly basis
with the minimum content specified
here. The Director must electronically
submit timely, accurate, and complete
data to EPA that allows EPA to prepare
these quarterly NNCRs.
(1) Content. The NNCR must include
the following information:
(i) A facility specific list of NPDESregulated entities in violation, including
non-POTWs, POTWs, Federal
permittees, major facilities, and
nonmajor facilities, as well as a list of
CWA point sources that did not obtain
NPDES permits authorizing discharges
of pollutants to waters of the United
States.
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(ii) For each identified NPDESregulated entity in violation of the Clean
Water Act:
(A) The name, location, and permit
number or other identification number,
if a permit does not exist.
(B) Information describing identified
violation(s) that occurred in that
quarter, including the date(s) on which
violation(s) started and ended (if
applicable). Where applicable, the
information must indicate the pipe,
parameter, and the effluent limit(s)
violated. Violations must be classified
as Category I and II as described in
paragraph (a)(2) of this section.
(C) The date(s) and type of formal
enforcement and written informal
enforcement action(s) taken by the
Director to respond to violation(s),
including any penalties assessed.
(D) The status of the violation(s) (e.g.,
corrected or continuing, and the date
that the violation(s) was resolved),
which can be reported by linking
violations to specific enforcement
actions, or tracking noncompliance end
dates.
(E) Any optional details that may help
explain the instance(s) of
noncompliance as provided by the
Director or EPA.
(F) All violations must be reported in
successive quarterly reports until the
violation(s) is documented as being
corrected (i.e., the regulated entity is no
longer in violation). After a violation is
reported as corrected in the NNCR, that
particular violation will not continue to
appear in subsequent quarterly reports,
although it will appear in the relevant
annual report.
(G) If the permittee or discharger is in
compliance with an enforcement order
(e.g., permittee is completing the
necessary upgrades to its existing
wastewater treatment system in
accordance with the schedule in the
enforcement order), and has no new,
additional violation(s), the compliance
status must be reported as ‘‘resolved
pending’’ in the NNCR. The permittee/
discharger will continue to be listed on
the NNCR until the violation(s) is
documented as being corrected.
(2) Violation classifications. A
violation must be classified as ‘‘Category
I Noncompliance’’ if one or more of the
criteria set forth below are met.
(i) Reporting violations. These include
failure to submit a complete, required
report (e.g., final compliance schedule
progress report, discharge monitoring
report, annual report) within 30 days
after the date established in a permit,
administrative or judicial order, or
regulation. In addition, these also
include any failure to comply with the
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reporting requirements at 40 CFR
122.41(l)(6).
(ii) Compliance construction
violations. These include failure to start
construction, complete construction, or
achieve final compliance within 90 days
after the date established in a permit,
administrative or judicial order, or
regulation.
(iii) Effluent limits. These include
violations of interim or final effluent
limits established in a permit,
administrative or judicial enforcement
order, or regulation that exceed the
‘‘Criteria for Noncompliance Reporting
in the NPDES Program’’ in appendix A
to § 123.45.
(iv) Compliance schedule violations.
These include violations of any
requirement or condition in permits, or
administrative or judicial enforcement
orders, excluding reporting violations,
compliance construction milestones and
effluent limits.
(v) Non-numeric effluent limit
violations. These include violations of
non-numeric effluent limits (e.g.,
violations of narrative permit
requirements or requirements to
implement best management practices)
that caused or could cause water quality
impacts. Examples of such impacts on
water quality include, but are not
limited to, unauthorized discharges that
may have caused or contributed to
exceedances in water quality standards,
fish kills, oil sheens, beach closings,
fishing bans, restrictions on designated
uses, and unauthorized bypass or pass
through or interference with the
operations of a POTW (see 40 CFR
403.3).
(vi) Other violations. These include
any violation or group of violations,
which in the discretion of the Director
or EPA, are considered to be of concern.
These violations include repeat
violations by a specific point source,
geographic clusters of violations,
corporations with violations at multiple
facilities, or industrial sectors with
identified patterns of violation that have
a cumulative impact on water quality,
but otherwise would not meet Category
I criteria. EPA must determine whether
to issue policy or guidance to provide
more specificity on identifying these
types of violations and how to report
them.
(vii) All other types of noncompliance
that do not meet the criteria for Category
I Noncompliance must be classified as
‘‘Category II Noncompliance.’’
(3) EPA must provide an easy-to-use
interface to facilitate public access, use,
and understanding of the NNCR,
including the ability to sort violations
by duration, severity, frequency,
detection method (e.g., self-reported
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effluent, monitoring, inspection), flow
and pollutant loadings, type of
discharger, waterbody receiving the
discharge, proximity to impaired waters,
and category of violation (I or II). EPA
must exclude from public release any
confidential business information or
enforcement-sensitive information
associated with the NNCR.
(b) NPDES noncompliance reports—
annual summary (annual). EPA must
prepare annual public reports that
provide a summary of compliance
monitoring and enforcement activities
within each state, tribe, and territory, as
well as summary information on
violations identified in the four
quarterly NNCRs for that federal fiscal
year. EPA must provide these annual
reports by no later than March 1st of the
following year.
(1) Facility types covered by reports.
EPA must produce, at a minimum,
Annual Summary Reports for the
following universes: Individuallypermitted NPDES-regulated entities; all
other NPDES-regulated entities that are
not individually permitted; Clean Water
Act point sources that had unauthorized
discharge(s) of pollutants to waters of
the US; and a combined report that
includes totals across all three reports
above. Individually-permitted facilities
are defined in this subsection as those
permits that are unique to the permittee,
that include permitted effluent limits,
and require the submission of discharge
monitoring reports.
(2) Content of reports. Reports must
include applicable data for NPDESregulated entities:
(i) The number of NPDES permittees;
(ii) The number inspected by on-site
inspections;
(iii) The number reviewed in which
permitted limits were compared to
measured data to determine violations;
(iv) The number evaluated by other,
off-site compliance monitoring
activities;
(v) The number with any violations;
(vi) The number with Category I
violations;
(vii) The number receiving paper or
electronic written informal enforcement
actions;
(viii) The total number receiving
formal enforcement actions with a
compliance schedule;
(ix) The total number receiving a
penalty assessment;
(x) The total amount of penalties
assessed; and
(xi) The number of permit
modifications extending compliance
deadlines more than one year.
(c) Schedule for producing NNCR
quarterly information. (1) The Director
has until 45 days from the end of the
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64101
calendar quarter to update or correct
NPDES data submissions in EPA’s
national NPDES data system for events
that occurred within that calendar
quarter covered by the NNCR.
(2) EPA must publish the NNCR in
electronic form to be easily accessible
and available to the public within two
months after the end date of the
calendar quarter:
EPA SCHEDULE FOR QUARTERLY
NNCR
Calendar quarter
EPA NNCR
publication
date for
calendar
quarter
January, February, March ....
April, May, June ...................
July, August, September ......
October, November, and December.
May 31.
August 31.
November 30.
Last Day in
February.
Appendix A to § 123.45—Criteria for
Category I Noncompliance Reporting in
the NPDES Program
This appendix describes the criteria for
reporting Category I violations of NPDES
permit effluent limits in the NPDES noncompliance report (NNCR) as specified under
paragraph (a)(2)(C) of this section. Any
violation of an NPDES permit is a violation
of the Clean Water Act (CWA) for which the
permittee is liable. As specified in paragraph
(a)(2) of this section, there are two categories
of noncompliance, and the table below
indicates the thresholds for violations in
Category I. An agency’s decision as to what
enforcement action, if any, should be taken
in such cases, shall be based on an analysis
of facts, legal requirements, policy, and
guidance.
Violations of Permit Effluent Limits
The categorization of permit effluent limits
depends upon the magnitude and/or
frequency of the violation. Effluent violations
shall be evaluated on a parameter-byparameter and outfall-by-outfall basis. The
criteria for reporting effluent violations are as
follows:
a. Reporting Criteria for Category I Violations
of Monthly Average Permit Limits—
Magnitude and Frequency
Violations of monthly average effluent
limits which exceed or equal the product of
the Technical Review Criteria (TRC) times
the effluent limit, and occur two months in
a six- month period must be reported. TRCs
are for two groups of pollutants.
Group I Pollutants—TRC=1.4
Group II Pollutants—TRC=1.2
b. Reporting Criteria for Chronic Violations of
Monthly Average Limits
Chronic violations must be reported in the
NNCR if the monthly average permit limits
are exceeded any four months in a six-month
period. These criteria apply to all Group I
and Group II pollutants.
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Group I Pollutants—TRC=1.4
Oxygen Demand
Biochemical Oxygen Demand
Chemical Oxygen Demand
Total Oxygen Demands
Total Organic Carbon
Other
Solids
Total Suspended Solids (Residues)
Total Dissolved Solids (Residues)
Other
Nutrients
Inorganic Phosphorus Compounds
Inorganic Nitrogen Compounds
Other
Detergents and Oils
MBAS
NTA
Oil and Grease
Other detergents or algicides
Minerals
Calcium
Chloride
Fluoride
Magnesium
Sodium
Potassium
Sulfur
Sulfate
Total Alkalinity
Total Hardness
Other Minerals
Metals
Aluminum
Cobalt
Iron
Vanadium
Group II Pollutants—TRC=1.2
Metals (all forms)
Other metals not specifically listed under
Group I
Inorganic
Cyanide
Total Residual Chlorine
Organics
All organics are Group II except those
specifically listed under Group I.
23. Add part 127 to read as follows:
PART 127—NPDES ELECTRONIC
REPORTING
■
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Subpart A—General
Sec.
127.1 Purpose and scope.
127.2 Definitions.
Subpart B—Electronic Reporting of NPDES
Information From NPDES-Regulated
Facilities
127.11 Types of data to be reported
electronically by NPDES permittees,
facilities, and entities subject to this part
[see § 127.1(a)].
127.12 Signature and certification standards
for electronic reporting.
127.13 Requirements regarding quality
assurance and quality control.
127.14 Requirements regarding timeliness,
accuracy, completeness, and national
consistency.
127.15 Waivers from electronic reporting.
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127.16 Implementation of electronic
reporting requirements for NPDES
permittees, facilities, and entities subject
to this part [see § 127.1(a)].
Subpart C—Responsibilities of EPA and
States, Tribes, and Territories Authorized to
Implement the NPDES Program
127.21 Data to be reported electronically to
EPA by states, tribes, and territories.
127.22 Requirements regarding quality
assurance and quality control.
127.23 Requirements regarding timeliness,
accuracy, completeness, and national
consistency.
127.24 Responsibilities regarding review of
waiver requests from NPDES permittees,
facilities, and entities subject to this part
[see § 127.1(a)].
127.25 Time for states, tribes, and territories
to revise existing programs.
127.26 Implementation plan (authorized
states, tribes, and territories).
127.27 Procedure for determining initial
recipient of electronic NPDES
information.
Appendix A to Part 127—Minimum Set of
NPDES Data
Authority: 33 U.S.C. 1251 et seq.
Subpart A—General
§ 127.1
Purpose and scope.
(a) This part, in conjunction with the
NPDES reporting requirements specified
in 40 CFR parts 122, 123, 124, 125, 403,
501, and 503, specifies the requirements
for:
(1) Electronic reporting of information
by NPDES permittees;
(2) Facilities or entities seeking
coverage under NPDES general permits;
(3) Facilities or entities submitting
stormwater certifications or waivers
from NPDES permit requirements;
(4) Industrial users located in
municipalities without approved local
pretreatment programs;
(5) Approved pretreatment programs;
(6) Facilities or entities regulated by
the Federal sewage sludge/biosolids
program; and
(7) EPA and the states, tribes, or
territories that have received
authorization from EPA to implement
the NPDES program. This part, in
conjunction with 40 CFR parts 123, 403,
and 501, also specifies the requirements
for electronic reporting of NPDES
information to EPA by the states, tribes,
or territories that have received
authorization from EPA to implement
the NPDES program.
(b) These regulations are not intended
to preclude states, tribes, or territories
authorization from EPA to implement
the NPDES program from developing
and using their own NPDES data
systems. However, these states, tribes,
and territories must ensure that the
required minimum set of NPDES data
(appendix A of this part) is
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electronically transferred to EPA in a
timely, accurate, complete, and
nationally-consistent manner fully
compatible with EPA’s national NPDES
data system.
(c) Under 10 U.S.C. 130e, the
Secretary of Defense may exempt
Department of Defense ‘‘critical
infrastructure security information’’
from disclosure under the Freedom of
Information Act (FOIA). NPDES
program data designated as critical
infrastructure security information in
response to a FOIA request will be
withheld from the public. In the
instance where an NPDES program data
element for a particular facility is
designated as critical infrastructure
security information in response to a
FOIA request, a separate filtered set of
data without the redacted information
will be shared with the public; however,
all NPDES program data will continue
to be provided to EPA and the
authorized state, tribe, or territory
NPDES program.
(d) Proper collection, management,
and sharing of the data and information
listed in appendix A ensures that there
is timely, complete, accurate, and
nationally-consistent set of data about
the NPDES program.
§ 127.2
Definitions.
(a) The definitions in 40 CFR parts
122, 123, 124, 125, 403, 501 and 503
apply to all subparts of this part.
(b) Initial recipient of electronic
NPDES information from NPDESregulated facilities (initial recipient)
means the entity (EPA or the state, tribe,
or territory authorized by EPA to
implement the NPDES program) that is
the designated entity for receiving
electronic NPDES data. Section 127.27
outlines the process for designating the
initial recipient of electronic NPDES
information from NPDES-regulated
facilities. EPA must become the initial
recipient of electronic NPDES
information from NPDES-regulated
facilities if the state, tribe, or territory
does not collect the data required in
appendix A to this part and does not
consistently maintain timely, accurate,
complete, and consistent data transfers
in compliance with this part and 40 CFR
part 3. Timely means that the
authorized state, tribe, or territory
submits these data transfers (see the
data elements in appendix A to this
part) to EPA within 40 days of when the
authorized program completed the
activity or received a report submitted
by a regulated entity. For example, the
data regarding a state inspection of an
NPDES-regulated entity that is finalized
by the state on October 5th must be
electronically transferred to EPA no
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later than November 14th of that same
year (e.g., 40 days after October 5th).
(c) NPDES data group means the
group of related data elements identified
in Table 1 in appendix A to this part.
These NPDES data groups have similar
regulatory reporting requirements and
have similar data sources.
(d) NPDES program means the
National Pollutant Discharge
Elimination System (Clean Water Act
section 402); the Federal Sewage Sludge
(Biosolids) Program (Clean Water Act
section 405); and the Federal
Pretreatment Program (Clean Water Act
section 307(b); 40 CFR part 403). EPA
can implement the NPDES program or
authorize states, tribes, and territories to
implement the NPDES program
(‘‘authorized NPDES program’’).
Identifying the relevant authority must
be done for each NPDES subprogram
(e.g., NPDES core program, federal
facilities, general permits, pretreatment,
and sewage sludge/biosolids).
(e) Minimum set of NPDES data
means the data and information listed in
appendix A to this part.
(f) Program reports means the
information reported by NPDESregulated entities and listed in Table 1
of appendix A to this part (except
NPDES Data Groups 1, 2, and 3).
(g) Hybrid approach is a method that
the initial recipient [as defined in
paragraph (b) of this section] may elect
to use for construction stormwater
general permit reports [Notices of Intent
to discharge (NOIs); Notices of
Termination (NOTs); No Exposure
Certifications (NOEs); Low Erosivity
Waivers (LEWs)] [40 CFR 122.26(b)(15),
122.28 and 122.64] in order to
demonstrate compliance with this part.
This alternative compliance method
allows the initial recipient (the
authorized state, tribe, territory or EPA)
to use a non-CROMERR electronic
submission along with a uniquely
matched paper submission, to reflect
conditions at construction sites.
Specifically, this approach allows the
initial recipient to use data capture
technologies to collect construction
stormwater general permit reports. For
example, under this approach the initial
recipient may allow construction
operators to complete an electronic
construction stormwater general permit
report, which simultaneously produces
a paper copy of the report and
electronically transmits a copy of the
data from the report to the authorized
NPDES program. Under this approach
the construction operator must sign and
date the paper copy of the construction
stormwater general permit report with a
‘‘wet-ink’’ signature and this paper
document will be the copy of record.
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Under this approach the initial recipient
must have the ability to definitively and
uniquely link the signed and dated
paper document with the electronic
submission from the facility or entity
(e.g., use of a unique code or mark on
the signed and dated paper document
that is also embedded in the electronic
submission). Under this approach the
initial recipient may also use automated
data capture technologies (e.g., Optical
Character Recognition), which allow
construction operators to submit their
general permit reports to the initial
recipient on paper with a ‘‘wet-ink’’
signature and date in a structured
format that allows for easy data
importation into the initial recipient’s
NPDES data system.
(h) NPDES-regulated entity means any
entity regulated by the NPDES program.
Subpart B—Electronic Reporting of
NPDES Information From NPDESRegulated Facilities
§ 127.11 Types of data to be reported
electronically by NPDES permittees,
facilities, and entities subject to this part
[see § 127.1(a)].
(a) NPDES-regulated entities must
electronically submit the minimum set
of NPDES data for these NPDES reports
(if such reporting requirements are
applicable). The following NPDES
reports are the source of the minimum
set of NPDES data from NPDESregulated entities:
(1) Discharge Monitoring Report [40
CFR 122.41(l)(4)];
(2) Sewage Sludge/Biosolids Annual
Program Report [40 CFR part 503];
(3) Concentrated Animal Feeding
Operation (CAFO) Annual Program
Report [40 CFR 122.42(e)(4)];
(4) Municipal Separate Storm Sewer
System (MS4) Program Report [40 CFR
122.34(g)(3) and 122.42(c)];
(5) Pretreatment Program Annual
Report [40 CFR 403.12(i)];
(6) Sewer Overflow and Bypass
Incident Event Report [40 CFR
122.41(l)(6) and (7)]; and
(7) CWA section 316(b) Annual
Reports [40 CFR part 125, subpart J].
(b) Facilities or entities seeking
coverage under or termination from
NPDES general permits and facilities or
entities submitting stormwater
certifications or waivers from NPDES
permit requirements [see Exhibit 1 to 40
CFR 122.26(b)(15) and (g)] must
electronically submit the minimum set
of NPDES data for the following notices,
certifications, and waivers (if such
reporting requirements are applicable):
(1) Notice of intent (NOI) to discharge
by facilities seeking coverage under a
general NPDES permit (rather than an
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individual NPDES permit), as described
in 40 CFR 122.28(b)(2);
(2) Notice of termination (NOT), as
described in 40 CFR 122.64;
(3) No exposure certification (NOE),
as described in 40 CFR 122.26(g)(1)(iii);
and
(4) Low erosivity waiver (LEW) and
another waiver as described in Exhibit
1 to 40 CFR 122.26(b)(15).
(c) Industrial users located in
municipalities without approved local
pretreatment programs must
electronically submit the minimum set
of NPDES data for the following selfmonitoring reports (if such reporting
requirements are applicable):
(1) Periodic reports on continued
compliance, as described in 40 CFR
403.12(e); and
(2) Reporting requirements for
Industrial Users not subject to
categorical Pretreatment Standards, as
described in 40 CFR 403.12(h).
(d) The minimum set of NPDES data
for NPDES-regulated facilities is
identified in appendix A to this part.
§ 127.12 Signature and certification
standards for electronic reporting.
The signatory and certification
requirements identified in 40 CFR part
3 (including, in all cases, subpart D to
part 3), § 122.22, and 40 CFR 403.12(l)
must also apply to electronic
submissions of NPDES information (see
§ 127.11) by NPDES permittees,
facilities, and entities subject to this part
[see § 127.1(a)].
§ 127.13 Requirements regarding quality
assurance and quality control.
(a) Responsibility for the quality of
the information provided electronically
in compliance with this part by the
NPDES permittees, facilities, and
entities subject to this part [see
§ 127.1(a)] rests with the owners and
operators of those facilities or entities.
NPDES permittees, facilities, and
entities subject to this part must use
quality assurance and quality control
procedures to ensure the quality of the
NPDES information submitted in
compliance with this part.
(b) NPDES permittees, facilities, and
entities subject to this part must
electronically submit their NPDES
information in compliance with the data
quality requirements specified in
§ 127.14. NPDES permittees, facilities,
and entities subject to this part must
electronically submit their NPDES
information unless a waiver is granted
in compliance with this part (see
§§ 127.15 and 127.24).
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§ 127.14 Requirements regarding
timeliness, accuracy, completeness, and
national consistency.
NPDES permittees, facilities, and
entities subject to this part [see
§ 127.1(a)] must comply with all
requirements in this part and
electronically submit the minimum set
of NPDES data in the following
nationally-consistent manner:
(a) Timely. Electronic submissions of
the minimum set of NPDES data to the
appropriate initial recipient, as defined
in § 127.2(b), must be timely.
(1) Measurement data (including
information from discharge monitoring
reports, self-monitoring data from
industrial users located outside of
approved local pretreatment programs,
and similar self-monitoring data). The
electronic submission of these data is
due when that monitoring information
is required to be reported in compliance
with statutes, regulations, the NPDES
permit, another control mechanism, or
an enforcement order.
(2) Program report data. The
electronic submission of this data is due
when that program report data is
required to be reported in compliance
with statutes, regulations, the NPDES
permit, another control mechanism, or
an enforcement order.
(b) Accurate. Electronic submissions
of the minimum set of NPDES data must
be identical to the actual measurements
taken by the owner, operator, or their
duly authorized representative;
(c) Complete. Electronic submission
of the minimum set of NPDES data must
include all required data (see appendix
A to this part) and these electronic
submissions must be sent to the NPDES
data system of the initial recipient, as
defined in § 127.2(b); and
(d) Consistent. Electronic submissions
of the minimum set of NPDES data must
be compliant with EPA data standards
as set forth in this part and in a form
(including measurement units) and be
fully compatible with EPA’s national
NPDES data system.
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§ 127.15 Waivers from electronic
reporting.
(a) NPDES permittees, facilities, and
entities subject to this part [see
§ 127.1(a)] must electronically submit
the minimum set of NPDES data in
compliance with this part, 40 CFR part
3 (including, in all cases, subpart D to
part 3), 40 CFR 122.22, and 40 CFR
403.12(l) unless a waiver is granted in
compliance with this section and
§ 127.24.
(b) Temporary waivers from electronic
reporting may be granted by the
authorized NPDES program (EPA, or
states, territories, and tribes that have
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received authorization to implement the
NPDES program), in compliance with
this section and § 127.24, to NPDES
permittees, facilities, and entities
subject to this part [see § 127.1(a)].
(1) Each temporary waiver must not
extend beyond five years. However,
NPDES-regulated entities may re-apply
for a temporary waiver. It is the duty of
the owner, operator, or duly authorized
representative of the NPDES permittee,
facility, and entity subject to this part
[see §§ 122.22 of this chapter and
127.1(a)] to re-apply for a new
temporary waiver. Authorized NPDES
programs cannot grant a temporary
waiver to an NPDES-regulated entity
without first receiving a temporary
waiver request from the NPDESregulated entity.
(2) To apply for a temporary waiver,
the owner, operator, or duly authorized
representative of the NPDES permittee,
facility, and entity subject to this part
[see §§ 122.22 of this chapter and
127.1(a)] must submit the following
information to their authorized NPDES
program:
(i) Facility name;
(ii) NPDES permit number (if
applicable);
(iii) Facility address;
(iv) Name, address and contact
information for the owner, operator, or
duly authorized facility representative;
(v) Brief written statement regarding
the basis for claiming such a temporary
waiver; and
(vi) Any other information required
by the authorized NPDES program.
(3) The authorized NPDES program
will determine whether to grant a
temporary waiver. The authorized
NPDES program must provide notice to
the owner, operator, or duly authorized
facility representative submitting a
temporary waiver request, in
compliance with the requirements of
§ 127.24.
(4) NPDES permittees, facilities, and
entities subject to this part [see
§ 127.1(a)] that have received a
temporary waiver must continue to
provide the minimum set of NPDES data
(as well as other required information in
compliance with statutes, regulations,
the NPDES permit, another control
mechanism, or an enforcement order) in
hard-copy format to the authorized
NPDES program. The authorized NPDES
program must electronically transfer
these data to EPA in accordance with
subpart C of this part.
(5) An approved temporary waiver is
not transferrable.
(c) Permanent waivers from electronic
reporting may be granted by the
authorized NPDES program (EPA, or
states, territories, and tribes that have
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received authorization to implement the
NPDES program), in compliance
accordance with this section and
§ 127.24, to NPDES permittees,
facilities, and entities subject to this part
[see § 127.1(a)].
(1) Permanent waivers are only
available to facilities and entities owned
or operated by members of religious
communities that choose not to use
certain modern technologies (e.g.,
computers, electricity). Authorized
NPDES programs cannot grant a
permanent waiver to an NPDESregulated entity without first receiving a
permanent waiver request from the
NPDES-regulated entity.
(2) To apply for a permanent waiver,
the owner, operator, or duly authorized
representative of the NPDES permittee,
facility, and entity subject to this part
[see §§ 122.22 of this chapter and
127.1(a)] must submit the information
listed in § 127.15(b)(2) to their
authorized NPDES program.
(3) An approved permanent waiver is
not transferrable.
(4) NPDES permittees, facilities, and
entities subject to this part [see
§ 127.1(a)] that have received a
permanent waiver must continue to
provide the minimum set of NPDES data
(as well as other required information in
compliance with statutes, regulations,
the NPDES permit, another control
mechanism, or an enforcement order) in
hard-copy format to the authorized
NPDES program. The authorized NPDES
program must electronically transfer
these data to EPA in accordance with
subpart C of this part.
(d) Episodic waivers from electronic
reporting may be granted by the
authorized NPDES program (EPA, or
states, territories, and tribes that have
received authorization to implement the
NPDES program) or the initial recipient,
as defined in § 127.2(b), in compliance
accordance with this section and
§ 127.24, to NPDES permittees,
facilities, and entities subject to this part
[see § 127.1(a)]. The following
conditions apply to episodic waivers.
(1) No waiver request from the NPDES
permittee, facility or entity is required
to obtain an episodic waiver from
electronic reporting.
(2) Episodic waivers are not
transferrable.
(3) Episodic waivers cannot last more
than 60 days.
(4) The authorized NPDES program or
initial recipient will decide if the
episodic waiver provision allows
facilities and entities to delay their
electronic submissions or to send
hardcopy (paper) submissions. Episodic
waivers are only available to facilities
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and entities in the following
circumstances:
(i) Large scale emergencies involving
catastrophic circumstances beyond the
control of the facilities, such as forces of
nature (e.g., hurricanes, floods, fires,
earthquakes) or other national disasters.
The authorized NPDES program will
make the determination if an episodic
waiver is warranted in this case and
must receive the hardcopy (paper)
submissions.
(ii) Prolonged electronic reporting
system outages (i.e., outages longer than
96 hours). The initial recipient, which
may also be the authorized NPDES
program, will make the determination if
an episodic waiver is warranted in this
case and must receive the hardcopy
(paper) submissions.
§ 127.16 Implementation of electronic
reporting requirements for NPDES
permittees, facilities, and entities subject to
this part [see § 127.1(a)].
(a) Scope and schedule. NPDES
permittees, facilities, and entities
subject to this part [see § 127.1(a)], with
64105
the exception of those covered by
waivers under §§ 127.15 and 127.24,
must electronically submit the following
NPDES information (reports, notices,
waivers, and certifications) after the
start dates listed in Table 1 of this
section. This part is not intended to
undo existing requirements for
electronic reporting. Prior to this date,
and independent of this part, the
permittee may be required to report
electronically if specified by a particular
permit or if required to do so by state
law.
TABLE 1—START DATES FOR ELECTRONIC SUBMISSIONS OF NPDES INFORMATION
NPDES information
Start dates for electronic submissions
General Permit Reports [Notices of Intent to discharge (NOIs); Notices of Termination
(NOTs); No Exposure Certifications (NOEs); Low Erosivity Waivers (LEWs) and other
Waivers] [40 CFR 122.26(b)(15), 122.28 and 122.64].
Discharge Monitoring Reports [40 CFR 122.41(l)(4)] ...........................................................
Biosolids Annual Program Reports [40 CFR part 503] .........................................................
Concentrated Animal Feeding Operation (CAFO) Annual Program Reports [40 CFR
122.42(e)(4)].
Municipal Separate Storm Sewer System (MS4) Program Reports [40 CFR 122.34(g)(3)
and 122.42(c)].
POTW Pretreatment Program Annual Reports [40 CFR 403.12(i)] .....................................
Significant Industrial User Compliance Reports in Municipalities Without Approved
Pretreatment Programs [40 CFR 403.12(e) and (h)].
Sewer Overflow Event Reports [40 CFR 122.41(l)(6) and (7)] ............................................
CWA 316(b) Annual Reports [40 CFR part 125, subparts I, J, and N] ................................
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1Note: Director
December 21, 2016.
December 21, 2016 (when the Regional Administrator is the Director).1
December 21, 2020 (when the state, tribe or territory
is the authorized NPDES program).1
December 21, 2020.
December 21, 2020.
December 21, 2020.
December 21, 2020.
December 21, 2020.
December 21, 2020.
is defined in 40 CFR 122.2.
(b) Electronic reporting standards.
NPDES permittees, facilities, and
entities subject to this part [see
§ 127.1(a)] must electronically submit
the information listed in Table 1 in
§ 127.16(a) in compliance with this part
and 40 CFR part 3 (including, in all
cases, subpart D to part 3), 40 CFR
122.22, and 40 CFR 403.12(l).
(c) Initial recipient. NPDES
permittees, facilities, and entities
subject to this part [see § 127.1(a)] must
electronically submit the information
listed in Table 1 in § 127.16(a) to the
Director, Control Authority, Approval
Authority, or initial recipient [as
identified in § 127.27, and as defined in
§ 127.2(b)]. EPA must identify and
publish the initial recipient on an EPA
Web site and in the Federal Register, by
state and by NPDES data group [see
§ 127.2(c)].
(d) Standards for NPDES regulated
entities with electronic reporting
waivers. NPDES permittees, facilities,
and entities subject to this part [see
§ 127.1(a)] that have received a waiver
from electronic reporting must continue
to provide the minimum set of NPDES
data (as well as other required
information in compliance with
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statutes, regulations, the NPDES permit,
another control mechanism, or an
enforcement order) to the authorized
NPDES program or initial recipient (see
§ 127.15).
Subpart C—Responsibilities of EPA
and States, Tribes, and Territories
Authorized to Implement the NPDES
Program
§ 127.21 Data to be reported electronically
to EPA by states, tribes, and territories.
(a) States, tribes, and territories that
have received authorization from EPA to
implement the NPDES program must
electronically transfer to EPA all
information listed in appendix A to this
part. This information includes:
(1) The ‘‘Core NPDES Permitting,
Compliance, And Enforcement Data [40
CFR parts 122, 123, 403, 503]’’ as
identified as NPDES Data Group 1 in
Tables 1 and 2 in appendix A to this
part.
(2) NPDES information (NPDES Data
Groups 2 through 10 in Tables 1 and 2
in appendix A to this part) from NPDES
permittees, facilities, and entities
subject to this part [see § 127.1(a)] where
the authorized state, tribe, or territory is
the initial recipient [as identified in
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§ 127.27, and as defined in § 127.2(b)].
This includes NPDES information from
NPDES permittees, facilities, and
entities subject to this part that received
a waiver from electronic reporting (see
§ 127.15).
(3) Specific data elements that are
required to be submitted electronically
to EPA by the states, tribes, or territories
that have received authorization from
EPA to implement the NPDES program
are identified in appendix A to this part.
(b) States, tribes, and territories that
have received authorization from EPA to
implement the NPDES program must
electronically transfer these data, listed
in § 127.21(a), to EPA within 40 days of
the completed activity or within 40 days
of the receipt of a report from an NPDES
permittee, facility, or entity subject to
this part [see § 127.1(a)].
§ 127.22 Requirements regarding quality
assurance and quality control.
States, tribes, and territories that have
received authorization from EPA to
implement the NPDES program have the
responsibility for the information that
they electronically transfer to EPA.
Therefore, authorized states, tribes, and
territories that electronically transfer
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data to EPA must use reasonable quality
assurance and quality control
procedures to ensure the quality of the
NPDES information.
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§ 127.23 Requirements regarding
timeliness, accuracy, completeness, and
national consistency.
(a) Authorized state, tribe, and
territory NPDES programs must
electronically transfer all NPDES
program data that supports electronic
reporting (e.g., facility information and
permit information such as limits,
permitted features, and narrative
conditions) to EPA three months prior
to the electronic reporting start dates in
Table 1 in § 127.16(a) and maintain
updates thereafter. These electronic data
transfers must be timely, accurate,
complete, and consistent.
(b) According to the schedule set forth
in § 127.16, the authorized NPDES
program must electronically transfer to
EPA the minimum set of NPDES data (as
specified in appendix A to this part).
These electronic data transfers to EPA
must be timely, accurate, complete, and
consistent.
(c) For the purposes of this part
timely, accurate, complete, and
consistent mean:
(1) Timely, in that the authorized
state, tribe, or territory NPDES program
electronically transfers the minimum set
of NPDES data to EPA within 40 days
of the completed activity or within 40
days of receipt of a report from an
NPDES permittee, facility, or entity
subject to this part [see § 127.1(a)]. For
example, the data regarding a state
inspection of an NPDES-regulated entity
that is finalized by the state on October
5th must be electronically transferred to
EPA no later than November 14th of that
same year (e.g., 40 days after October
5th). The start dates for electronic
reporting from NPDES permittees,
facilities, and entities subject to this part
[see § 127.1(a)] are provided in Table 1
in § 127.16(a).
(2) Accurate, in that 95% or more of
the minimum set of NPDES data in
EPA’s national NPDES data system are
identical to the actual information on
the copy of record (e.g., permit, notice,
waiver, certification, report,
enforcement order, or other source
document);
(3) Complete, in that 95% or more of
submissions required for each NPDES
data group [see § 127.2(c)] are available
in EPA’s national NPDES data system;
and
(4) Consistent, in that data
electronically submitted by states,
tribes, and territories to EPA, by direct
entry of information, data transfers from
one data system to another, or some
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combination thereof, into EPA’s
designated national NPDES data system
is in compliance with EPA’s data
standards as set forth in this part and in
a form and measurement units which
are fully compatible with EPA’s national
NPDES data system.
(d) An authorized program must
consistently maintain the requirements
identified in paragraph (a) of this
section in order to be the initial
recipient, as defined in § 127.2(b). If the
authorized program does not maintain
these requirements, EPA must become
the initial recipient (see § 127.27).
§ 127.24 Responsibilities regarding review
of waiver requests from NPDES permittees,
facilities, and entities subject to this part
[see § 127.1(a)].
(a) Under § 127.15, an NPDES
permittee, facility, or entity subject to
this part [see § 127.1(a)] may seek a
waiver from electronic reporting. States,
tribes, and territories that have received
authorization from EPA to implement
the NPDES program must review the
temporary or permanent waiver requests
that they receive and either approve or
reject these requests within 120 days.
(b) The authorized NPDES state, tribe,
or territory program must provide the
permittee, facility, or entity with notice
of the approval or rejection of their
temporary or permanent waiver request
from electronic reporting.
(c) The authorized NPDES state,
tribal, or territory program must
electronically transfer to EPA the
minimum set of NPDES data (as
specified in appendix A to this part)
that they receive from permittees,
facilities, or entities with a waiver from
electronic reporting in accordance with
§ 127.23.
(d) Under § 127.15(d), episodic
waivers from electronic reporting may
be granted by the authorized NPDES
program or the initial recipient to
NPDES permittees, facilities, and
entities. The authorized NPDES program
or initial recipient granting an episodic
waiver must provide notice,
individually or through means of mass
communication, regarding when such
an episodic waiver is available, the
facilities and entities that may use the
episodic waiver, the likely duration of
the episodic waiver, and any other
directions regarding how facilities and
entities should provide the minimum
set of NPDES data (as well as other
required information in compliance
with statutes, regulations, the NPDES
permit, another control mechanism, or
an enforcement order) to the authorized
NPDES program or the initial recipient.
No waiver request from the NPDES
permittee, facility or entity is required
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to obtain an episodic waiver from
electronic reporting. The authorized
NPDES program or initial recipient
granting the episodic waiver will
determine whether to allow facilities
and entities to delay their electronic
submissions for a short time (i.e., no
more than 40 days) or to send hardcopy
(paper) submissions.
§ 127.25 Time for states, tribes, and
territories to revise existing programs.
A state, tribe, or territory that has
received authorization from EPA to
implement the NPDES program must
make program revisions in compliance
with 40 CFR 123.62(e).
§ 127.26 Implementation plan (authorized
states, tribes, and territories).
(a) Initial recipient designation
procedure. EPA and authorized state,
tribe, and territory NPDES programs
must follow the procedure in § 127.27
for determining the initial recipient of
electronic NPDES information from
NPDES-regulated facilities (see
§ 127.2(b)).
(b) NPDES data system requirements.
Authorized state, tribe, and territory
NPDES programs must update their
electronic data system to electronically
collect the minimum set of NPDES data
and facilitate compliance with this part
(including §§ 127.22 and 127.23) and 40
CFR part 3. The authorized NPDES
program’s electronic data system must
facilitate electronic reporting from
NPDES permittees, facilities, and
entities subject to this part [see
§ 127.1(a)] in compliance with the start
dates in Table 1 in § 127.16(a).
Authorized NPDES programs may elect
to use EPA’s national NPDES data
system (and related Internet services
and applications) for their electronic
data system.
(c) Preparatory actions for electronic
reporting. Authorized state, tribe, and
territory NPDES programs must
electronically transfer all NPDES data
that supports electronic reporting (e.g.,
permitting, compliance monitoring,
compliance determinations, and
enforcement activities) to EPA’s
national NPDES data system three
months prior to the electronic reporting
start dates in Table 1 in § 127.16(a) and
maintain updates thereafter. These
electronic data transfers must be timely,
accurate, complete, and consistent (see
§ 127.23).
(d) Transfer of NPDES program data
to EPA. A state, tribe, or territory that is
designated by EPA as the initial
recipient [see §§ 127.2(b) and 127.27] for
an NPDES data group [as defined in
§ 127.2(c)] must electronically collect
and maintain the minimum set of
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NPDES data (as specified in appendix A
to this part) and electronically transfer
these data to EPA’s national NPDES data
system through timely, accurate,
complete, and consistent electronic data
transfers in compliance with this part
(including §§ 127.22 and 127.23) and 40
CFR part 3.
(e) Updating state statutes and
regulations. Authorized state, tribe, or
territory NPDES programs must update
their NPDES programs to implement
this part. See 40 CFR 123.62(e).
(f) Inclusion of electronic reporting
requirements in NPDES permits. All
permits issued by the EPA and the
authorized states, tribes, or territory
NPDES program must contain permit
conditions requiring compliance with
the electronic reporting requirements in
this part, 40 CFR part 3, and 40 CFR
122.22. NPDES-regulated facilities
which already have electronic reporting
requirements in their permits that meet
the requirements in this part, 40 CFR
part 3, and 40 CFR 122.22 must
continue their electronic reporting to
the initial recipient [see §§ 127.2(b) and
127.27].
(g) Hybrid approach. Authorized
state, tribe, or territory NPDES programs
may elect to use the Hybrid Approach
[as defined in § 127.2(g)] for the
collection of the minimum set of NPDES
data contained in construction
stormwater general permit reports [see
Table 1 in § 127.16(a)].
(h) Authorized NPDES program
implementation plans. A state, tribe, or
territory that is designated by EPA as
the initial recipient [see §§ 127.2(b) and
127.27] for an NPDES data group [as
defined in § 127.2(c)] must submit an
implementation plan to EPA for review.
EPA will inform the authorized NPDES
program if the implementation plan is
adequate. This plan must provide
enough details (e.g., tasks, milestones,
roles and responsibilities, necessary
resources) to clearly describe how the
program will successfully implement
this part (including a description of
their electronic reporting waiver
approval process); however, this plan
does not include electronic reporting of
Discharge Monitoring Reports or Forms
Provided or Specified by the Director
(DMRs) [40 CFR 122.41(l)(4)]. These
implementation plans must be
submitted to EPA by December 21, 2016
for EPA review.
(i) Updating waiver approval process.
A state, tribe, or territory that is
designated by EPA as the initial
recipient [see §§ 127.2(b) and 127.27] for
an NPDES data group [as defined in
§ 127.2(c)] must submit an updated
waiver approval process to EPA every
five years. EPA will inform the
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authorized NPDES program if the
waiver approval process adequate.
(j) Electronic participation rates
assessment. EPA will assess the
electronic reporting participation rate of
NPDES permittees, facilities, and
entities subject to this part [see
§ 127.1(a)] for each authorized NPDES
program and by each NPDES data group
to determine the appropriateness of
using use its authority to increase the
electronic reporting percentage rate.
(1) EPA will separately calculate the
electronic reporting participation rate
for each authorized NPDES program and
for each NPDES data group six months
after the deadline for conversion from
paper to electronic submissions [see the
start dates for electronic reporting in
Table 1 in § 127.16(a)]. EPA will assess
the electronic reporting participation
rate for individually permitted facilities
separate from the electronic reporting
participation rate for general permit
covered facilities for Discharge
Monitoring Reports [NPDES Data Group
Number 3].
(2) As appropriate, EPA will contact
the facilities and entities that are not
electronically reporting their reports,
notices, waivers, and certifications after
the start dates for electronic reporting
[see Table 1 in § 127.16(a)]. EPA will not
contact facilities and entities with
waivers from electronic reporting (see
§ 127.15). EPA will direct these facilities
and entities to use the electronic
reporting system of the initial recipient
[as identified in § 127.27, and as defined
in § 127.2(b)].
(3) EPA will annually repeat its
review of the electronic reporting
participation rate for each authorized
NPDES program and for each NPDES
group as appropriate and contact
facilities and entities as appropriate to
use the electronic reporting system of
the initial recipient [as identified in
§ 127.27, and as defined in § 127.2(b)].
§ 127.27 Procedure for determining initial
recipient of electronic NPDES information.
(a) An authorized NPDES program
must notify EPA by April 19, 2016 if it
wishes EPA to be the initial recipient for
a particular NPDES data group.
(b) A state, tribe, or territory that seeks
authorization to implement an NPDES
program after March 21, 2016 must
describe if it is requesting to be the
initial recipient of electronic NPDES
information from NPDES-regulated
facilities for specific NPDES data
groups. See 40 CFR 123.22(g) and
appendix A to this part.
(c) By July 18, 2016, EPA must
publish on its Web site and in the
Federal Register a listing of the initial
recipients for electronic NPDES
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64107
information from NPDES-regulated
facilities by state, tribe, and territory
and by NPDES data group. This listing
must identify for NPDES-regulated
facilities the initial recipient of their
NPDES electronic data submissions and
the due date for these NPDES electronic
data submissions. EPA must update this
listing on its Web site and in the
Federal Register if a state, tribe, or
territory gains authorization status to
implement an NPDES program and is
also approved by EPA to be the initial
recipient of NPDES electronic data
submissions for that program.
(d) Failure to maintain all the
requirements in this part and 40 CFR
part 3 must prohibit the state, territory,
or tribe from being the initial recipient
of electronic NPDES information from
NPDES-regulated entities. The following
is the process for these determinations:
(1) EPA must make a preliminary
determination identifying if an
authorized state, tribe, or territory is not
complying with the requirements in this
part and 40 CFR part 3 to be an initial
recipient of electronic NPDES
information from NPDES-regulated
facilities. EPA must provide to the
Director of the authorized NPDES
program the rationale for any such
preliminary determination and options
for correcting these deficiencies. Within
60 days of EPA’s preliminary
determination, the authorized state,
tribe, or territory must fully correct all
deficiencies identified by EPA and
notify EPA that such corrections have
been completed. No response from the
Director of the authorized NPDES
program must indicate that the state,
territory, or tribe agrees to be removed
as the initial recipient for that NPDES
data group of electronic NPDES
information. Within 90 days of the
EPA’s preliminary determination, EPA
must provide to the Director of the
authorized NPDES program a final
determination whether the state, tribe,
or territory is not complying with the
requirements in this part and 40 CFR
part 3 to be an initial recipient of
electronic NPDES information from
NPDES-regulated facilities.
(2) EPA must become the initial
recipient of electronic NPDES
information from NPDES-regulated
facilities if the state, tribe, or territory
does not consistently maintain
electronic data transfers in compliance
with this part and 40 CFR part 3.
(3) EPA must update the initial
recipient listing described in paragraph
(c) of this section and publish this
listing on its Web site and in the
Federal Register when it provides a
final determination described in
paragraph (d)(1) of this section to the
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Director of the authorized NPDES
program.
(4) Following any determination of
noncompliance made in compliance
with paragraph (d)(1) of this section,
EPA will work with the Director of the
authorized NPDES program to remediate
all issues identified by EPA that prevent
the authorized NPDES program from
being the initial recipient. When the
issues identified by EPA are
satisfactorily resolved, EPA must update
the initial recipient listing in paragraph
(c) of this section in order to list the
authorized state, tribe, or territory as the
initial recipient for the one or more
NPDES data groups. EPA will publish
this revised initial recipient listing on
its Web site and in the Federal Register.
(e) An authorized NPDES program can
initially elect for EPA to be the initial
recipient for one or all of the NPDES
data groups and then at a later date seek
EPA approval to change the initial
recipient status for one or all of the
NPDES data groups from EPA to the
authorized state, tribe, or territory. To
make this switch, the authorized state,
tribe, or territory will send a request to
EPA. This request must identify the
specific NPDES data groups for which
the state, tribe, or territory would like to
be the initial recipient of electronic
NPDES information, a description of
how its data system will be compliant
with this part and 40 CFR part 3, and
the date or dates when the state, tribe,
or territory will be ready to start
receiving this information. After EPA
approval of the request, EPA will update
the initial recipient list and will publish
the revised initial recipient listing on its
Web site and in the Federal Register.
(f) An authorized NPDES program can
initially elect to be the initial recipient
for one or all of the NPDES data groups
and then at a later date request that EPA
become the initial recipient for one or
all of the NPDES data groups. To make
this switch, the authorized state, tribe,
or territory will send a request to EPA.
After coordination with the state EPA
will update the initial recipient list and
will publish the revised initial recipient
listing on its Web site and in the
Federal Register.
Appendix A to Part 127—Minimum Set
of NPDES Data
The following two tables identify the
minimum set of NPDES data that authorized
states, tribes, territories must enter or transfer
to EPA’s national NPDES data system as well
as what NPDES-regulated entities must
electronically report to the designated initial
recipient (authorized NPDES program or
EPA) [see 40 CFR 127.2(b)]. Authorized
NPDES programs will be the data provider in
the event the regulated entity is covered by
a waiver from electronic reporting. Use of
these two tables ensures that there is
consistent and complete reporting
nationwide, and expeditious collection and
processing of the data, thereby making it
more accurate and timely. Taken together,
these data standardizations and the
corresponding electronic reporting
requirements in 40 CFR parts 3, 122, 123,
124, 125, 127, 403, and 503 are designed to
save the NPDES authorized programs
considerable resources, make reporting easier
for NPDES-regulated entities, streamline
permit renewals (as permit writers typically
review previous noncompliance events
during permit renewal), ensure full exchange
of NPDES program data between states and
EPA to the public, improve environmental
decision-making, and protect human health
and the environment.
Authorized NPDES programs may also
require NPDES regulated entities to submit
more data than what is listed in this
appendix. The authorized NPDES program
can require NPDES regulated entities to
submit these ‘‘non-appendix A’’ data on
paper, electronically, or attachments to
electronic notices and reports filed in
compliance with this part.
Instructions: Table 1 of this appendix
provides the list of data sources and
minimum submission frequencies for the ten
different NPDES Data Groups. Table 2 of this
appendix provides the data that must be
electronically reported for each of these
NPDES Data Groups. The use of each data
element is determined by identifying the
number(s) in the column labeled ‘‘NPDES
Data Group Number’’ in Table 2 and finding
the corresponding ‘‘NPDES Data Group
Number’’ in Table 1. For example, a value of
‘‘1’’ in Table 2 means that this data element
is required in the electronic transmission of
data from the NPDES program to EPA (Core
NPDES Permitting, Compliance, and
Enforcement Data). Likewise, a value of ‘‘1
through 10’’ in Table 2 means that this data
element is required in all ten NPDES data
groups. NPDES regulated entities that have
no historical record (e.g., ‘‘greenfield’’
facilities) do not need to provide data
elements that rely on historical data
elements. For the purposes of this appendix,
the term ‘sewage sludge’ [see 40 CFR
503.9(w)] also refers to the material that is
commonly referred to as ‘biosolids.’ EPA
does not have a regulatory definition for
biosolids but this material is commonly
referred to as sewage sludge that is placed on,
or applied to the land to use the beneficial
properties of the material as a soil
amendment, conditioner, or fertilizer. EPA’s
use of the term ‘biosolids’ in this appendix
is to confirm that information about
beneficially used sewage sludge (a.k.a.
biosolids) is part of the data collected in this
appendix.
TABLE 1—DATA SOURCES AND REGULATORY CITATIONS 1
NPDES
Data
group
No.2
NPDES data group
Data provider
Program area
Minimum frequency 3
Within 40 days of the completed
activity
or within 40 days of receipt of a report from a regulated entity [see
§ 127.23(a)(1)]. However, the frequency associated with any particular permittee may be considerably less [e.g., once every five
years for most permit information].
Prior to obtaining coverage under a
general permit or consideration
for permit exclusion or waiver
from permitting, and permit coverage termination. General permits are generally issued once
every five years.
Core NPDES Permitting, Compliance, and Enforcement Data [40
CFR parts 122, 123, 403, 503].
All NPDES Program Sectors.
Authorized NPDES Program ..........
2 ..............
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1 ..............
General Permit Reports [Notices of All NPDES ProIntent to discharge (NOIs); Nogram Sectors.
tices of Termination (NOTs); No
Exposure Certifications (NOEs);
Low Erosivity Waivers and Other
Waivers from Stormwater Controls
(LEWs)]
[40
CFR
122.26(b)(15), 122.28 and 124.5].
NPDES Permittee ...........................
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64109
TABLE 1—DATA SOURCES AND REGULATORY CITATIONS 1—Continued
NPDES
Data
group
No.2
NPDES data group
Program area
Data provider
Minimum frequency 3
3 ..............
Discharge Monitoring Reports [40
CFR 122.41(l)(4)].
NPDES Permittee ...........................
4 ..............
Sewage Sludge/Biosolids Annual
Program Reports [40 CFR part
503].
Concentrated Animal Feeding Operation (CAFO) Annual Program
Reports [40 CFR 122.42(e)(4)].
Municipal Separate Storm Sewer
System (MS4) Program Reports
[40 CFR 122.34(g)(3) and
122.42(c)].
Pretreatment Program Reports [40
CFR 403.12(i)].
Most NPDES
Program Sectors.
Sewage Sludge/
Biosolids.
At least annual, more frequent submissions may be required by the
permit.
Annual.
CAFO .................
CAFO ..............................................
Annual.
MS4 ....................
NPDES Permittee ...........................
Year two and year four of permit
coverage (Small MS4), Annual
(Medium and Large MS4).
Pretreatment ......
5 ..............
6 ..............
7 ..............
8 ..............
9 ..............
10 ............
NPDES Regulated Sewage Sludge/
Biosolids Generator and Handler.
Significant Industrial User Compliance Reports in Municipalities
Without Approved Pretreatment
Programs [40 CFR 403.12(e) and
(h)].
Sewer Overflow Event Reports [40
CFR 122.41(l)(6) and (7)].
Pretreatment ......
POTW Pretreatment Control Au- Annual.
thority, Approval Authority for
SIUs in Municipalities Without
Approved Pretreatment Programs.
Significant Industrial User ............... Bi-Annual.
Sewer Overflows
NPDES Permittee ...........................
CWA section 316(b) Annual Reports [40 CFR part 125, subpart
J].
CWA section
316(b).
NPDES Permittee ...........................
Within 5 days of the time the permittee becomes aware of the
sewer overflow event (health or
environment
endangerment),
Monitoring report frequency specific in permit (all other sewer
overflow events).
Annual.
1 Entities
regulated by a NPDES permit will comply with all reporting requirements in their respective NPDES permit.
the ‘‘NPDES Data Group Number’’ in this table and the ‘‘NPDES Data Group Number’’ column in Table 2 of this appendix to identify the
source of the required data entry. EPA notes that electronic systems may use additional data to facilitate electronic reporting as well as management and reporting of electronic data. For example, NPDES permittees may be required to enter their NPDES permit number (‘‘NPDES ID’’—
NPDES Data Group 1 and 2) into the applicable electronic reporting system in order to identify their permit and submit a Discharge Monitoring
Report (DMR—NPDES Data Group 3). Additionally, NPDES regulated entities may be required to enter and submit data to update or correct erroneous data. For example, NPDES permittees may be required to enter new data regarding the Facility Individual First Name and Last Name
(NPDES Data Group 1 and 2) with their DMR submission when there is a facility personnel change.
3 The applicable reporting frequency is specified in the NPDES permit or control mechanism, which may be more frequent than the minimum
frequency specified in this table.
2 Use
TABLE 2—REQUIRED NPDES PROGRAM DATA
Data name
CWA, regulatory (40 CFR), or
other citation
Data description
NPDES data group No.
(see Table 1)
Basic Facility Information
[Note: As indicated in the ‘‘CWA, Regulatory, or Other Citation’’ column, some of these data elements apply to Significant Industrial Users
(SIUs) and Categorical Industrial Users (CIUs) that discharge (including non-domestic wastewater delivered by truck, rail, and dedicated pipe
or other means of transportation) to one or more POTWs and to regulated entities or locations that generate, process, or receive biosolids or
sewage sludge.]
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Facility Type of Ownership ......
Facility Site Name ....................
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The unique code/description identifying the type
of facility (e.g., state government, municipal or
water district, Federal facility, tribal facility). This
data element is used by EPA’s national NPDES
data system to identify the facility type (e.g.,
POTW, Non-POTW, and Federal).
The name of the facility .........................................
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122.21, 122.21(j)(6),
122.21(q), 122.28(b)(2)(ii),
403.8(f), 403.10, 403.12(i),
503.18, 503.28, 503.48.
1, 2, 4, and 7.
122.21, 122.21(j)(6),
122.21(q), 122.28(b)(2)(ii),
122.44(j), 403.8(f), 403.10,
403.12(i), 503.18, 503.28,
503.48.
1, 2, 4, and 7.
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TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued
Data name
Data description
CWA, regulatory (40 CFR), or
other citation
Facility Site Address ................
The address of the physical facility location ..........
1, 2, 4, and 7.
Facility Site City .......................
The name of the city, town, village, or other locality, when identifiable, within which the boundaries (the majority of) the facility site is located.
This is not always the same as the city used for
USPS mail delivery.
The U.S. Postal Service (USPS) abbreviation for
the state or state equivalent for the U.S. where
the facility is located.
122.21, 122.21(j)(6),
122.21(q), 122.28(b)(2)(ii),
122.44(j), 403.8(f), 403.10,
403.12(i), 503.18, 503.28,
503.48.
122.21, 122.21(j)(6),
122.21(q), 122.28(b)(2)(ii),
122.44(j), 403.8(f), 403.10,
403.12(i), 503.18, 503.28,
503.48.
122.21, 122.21(j)(6),
122.21(q), 122.28(b)(2)(ii),
122.44(j), 403.8(f), 403.10,
403.12(i), 503.18, 503.28,
503.48.
122.21, 122.21(j)(6),
122.21(q), 122.28(b)(2)(ii),
122.44(j), 403.8(f), 403.10,
403.12(i), 503.18, 503.28,
503.48.
122.21, 122.21(q),
122.28(b)(2)(ii), 503.18,
503.28, 503.48.
122.21, 122.21(q),
122.28(b)(2)(ii), 503.18,
503.28, 503.48.
1, 2, and 4.
122.21, 122.21(q),
122.28(b)(2)(ii), 503.18,
503.28, 503.48.
1, 2, and 4.
122.21, 122.21(j)(6),
122.21(q), 122.28(b)(2)(ii),
403.8(f), 403.10, 403.12(i),
503.18, 503.28, 503.48.
1, 2, 4, and 7.
Facility Site State .....................
Facility Site Zip Code ...............
Facility Site Tribal Land Indicator.
Facility Site Longitude ..............
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Facility Site Latitude .................
Facility Contact Affiliation Type
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The combination of the 5-digit Zone Improvement
Plan (ZIP) code and the 4-digit extension code
(if available) where the facility is located. This
zip code match the ‘‘Facility Site City’’ or the
city used for USPS mail delivery.
The EPA Tribal Internal Identifier for every unit of
land trust allotment (‘‘tribal land’’) within Indian
Country (i.e., Federally recognized American Indian and Alaska Native tribal entities). This
unique identifier will identify whether the facility
is on tribal land and the current name of the
American Indian tribe or Alaskan Native entity.
This unique identifier is different from the Bureau of Indian Affairs tribal code and does not
change when a Tribe changes its name.
The measure of the angular distance on a meridian east or west of the prime meridian for the
facility. The format for this data element is decimal degrees (e.g., ¥77.029289) and the
WGS84 standard coordinate system. This data
element will also be used to describe the twodimensional area (polygon) regulated by a municipal storm sewer system (MS4) NPDES permit through use of multiple latitude and longitude coordinates. For MS4 the polygon data
should provide a reasonable estimate of the
MS4 boundaries. This data element can also be
system generated when the Facility Site Address, Facility Site City, and Facility Site State
data elements can be used to generate accurate longitude and latitude values. (Note: ‘‘Post
Office Box’’ addresses and ‘‘Rural Route’’ addresses are generally not geocodable).
The measure of the angular distance on a meridian north or south of the equator for the facility.
The format for this data element is decimal degrees (e.g., 38.893829) and the WGS84 standard coordinate system. This data element will
also be used to describe the two-dimensional
area (polygon) regulated by a municipal storm
sewer system (MS4) NPDES permit through
use of multiple latitude and longitude coordinates. This data element can also be system
generated when the Facility Site Address, Facility Site City, and Facility Site State data elements can be used to generate accurate longitude and latitude values. (Note: ‘‘Post Office
Box’’ addresses and ‘‘Rural Route’’ addresses
are generally not geocodable).
The affiliation of the contact with the facility (e.g.,
‘‘Owner,’’ ‘‘Operator,’’ or ‘‘Main Contact’’). This
is a unique code/description that identifies the
nature of the individual’s affiliation to the facility.
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NPDES data group No.
(see Table 1)
1, 2, 4, and 7.
1, 2, 4, and 7.
1, 2, 4, and 7.
1, 2, and 4.
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TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued
Data name
Data description
CWA, regulatory (40 CFR), or
other citation
Facility Contact First Name ......
The given name of an individual affiliated with this
facility.
Facility Contact Last Name ......
The surname of an individual affiliated with this
facility.
Facility Contact Title .................
The title held by an individual in an organization
affiliated with this facility.
Facility Contact EMail Address
The business email address of the designated individual affiliated with this facility.
Facility Organization Formal
Name.
The legal name of the person, firm, public organization, or other entity that operates the facility.
This name may or may not be the same name
as the facility. The operator of the facility is the
legal entity that controls the facility’s operation
rather than the facility or site manager. This
data element should not use a colloquial name.
This field is optional for MS4 permittees.
122.21, 122.21(j)(6),
122.21(q), 122.28(b)(2)(ii),
403.8(f), 403.10, 403.12(i),
503.18, 503.28, 503.48.
122.21, 122.21(j)(6),
122.21(q), 122.28(b)(2)(ii),
403.8(f), 403.10, 403.12(i),
503.18, 503.28, 503.48.
122.21, 122.21(j)(6),
122.21(q), 122.28(b)(2)(ii),
403.8(f), 403.10, 403.12(i),
503.18, 503.28, 503.48.
122.21, 122.21(j)(6),
122.21(q), 122.28(b)(2)(ii),
403.8(f), 403.10, 403.12(i),
503.18, 503.28, 503.48.
122.21, 122.21(j)(6),
122.21(q), 122.28(b)(2)(ii),
403.8(f), 403.10, 403.12(i),
503.18, 503.28, 503.48.
NPDES data group No.
(see Table 1)
1, 2, 4, and 7.
1, 2, 4, and 7.
1, 2, 4, and 7.
1, 2, 4, and 7.
1, 2, 4, and 7.
Basic Permit Information
[Note: As indicated in the ‘‘CWA, Regulatory, or Other Citation’’ column, some of these data elements also apply to Significant Industrial Users
(SIUs) and Categorical Industrial Users (CIUs) that discharge (including non-domestic wastewater delivered by truck, rail, and dedicated pipe
or other means of transportation) to one or more POTWs and to regulated entities or locations that generate, process, or receive biosolids or
sewage sludge.]
NPDES ID ................................
Master General Permit Number
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Permit Type ..............................
Permit Component ...................
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This is the unique identifier for the NPDES permit
or control mechanism for NPDES regulated entities or Unpermitted ID for an unpermitted facility. This data elements is used for compliance
monitoring activities, violation determinations,
and enforcement actions. This data element
also applies to Significant Industrial Users
(SIUs) and Categorical Industrial Users (CIUs)
that discharge (including non-domestic wastewater delivered by truck, rail, and dedicated
pipe or other means of transportation) to one or
more POTWs in states where the POTW is the
Control Authority.
The unique identifier of the master general permit,
which is linked to a General Permit Covered
Facility. This data element only applies to facilities regulated by a master general permit.
The unique code/description identifying the type
of permit [e.g., NPDES Individual Permit,
NPDES Master General Permit, General Permit
Covered Facility, State Issued Non-NPDES
General Permit, Individual IU Permit (NonNPDES), Individual State Issued Permit (NonNPDES)].
This will identify one or more applicable NPDES
subprograms (e.g., pretreatment, CAFO, CSO,
POTW, biosolids/sewage sludge, stormwater)
for the permit record. This field is only required
when the permit includes one or more NPDES
subprograms.
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122.2, 122.21, 122.21(j)(6),
122.21(q), 122.28(b)(2)(ii),
122.34(g)(3), 122.41(l)(4)(i),
122.41(l)(6) and (7),
122.41(m)(3), 122.42(c),
122.42(e)(4), 123.26,
123.41(a), 125.96,
125.97(g), 125.98,
125.138(b), 401.14, 403.10,
403.12(e), 403.12(h),
403.12(i), 503.18, 503.28,
503.48.
1, 2, 3, 4, 5, 6, 7, 8, 9,
10.
122.2, 122.21, 122.21(j)(6),
122.21(q), 122.28(b)(2)(ii),
122.34(g)(3), 122.41(l)(4)(i),
122.41(l)(6) and (7),
122.41(m)(3), 122.42(c),
122.42(e)(4), 123.26,
123.41(a), 403.10,
403.12(e), 403.12(h),
403.12(i), 503.18, 503.28,
503.48.
122.2, 122.21, 122.21(j)(6),
122.21(q), 122.28(b)(2)(ii),
403.10.
1, 2.
122.2, 122.21, 122.21(j)(6),
122.21(q), 122.28(b)(2)(ii),
403.10.
1, 2.
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TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued
Data name
Data description
CWA, regulatory (40 CFR), or
other citation
Permit Issue Date ....................
This is the date the permit was issued. The date
must be provided in YYYY–MM–DD format
where YYYY is the year, MM is the month, and
DD is the day.
This is the date on which the permit is effective.
The date must be provided in YYYY–MM–DD
format where YYYY is the year, MM is the
month, and DD is the day.
This is the date on which the permit was modified
or amended. The date must be provided in
YYYY–MM–DD format where YYYY is the year,
MM is the month, and DD is the day.
This is the date the permit will expire. The date
must be provided in YYYY–MM–DD format
where YYYY is the year, MM is the month, and
DD is the day.
This is the date the permit was terminated. The
date must be provided in YYYY–MM–DD format
where YYYY is the year, MM is the month, and
DD is the day.
This code/description identifies the permit status
as ‘‘Major’’ or ‘‘Nonmajor’’ (a.k.a. ‘‘Minor’’). This
data element is initially system generated and
defaults to ‘‘Minor’’. The most recent permit status is copied when the permit is reissued.
The date that the permit became its current
Major/Minor status. Initially system-generated to
match effective date. The date must be provided in YYYY–MM–DD format where YYYY is
the year, MM is the month, and DD is the day.
This is the design flow rate that a permitted facility was designed to accommodate, in millions of
gallons per day (MGD). This is only required for
wastewater treatment plants.
This is the annual average daily flow rate that a
permitted facility will likely accommodate at the
start of its permit term, in MGD. This is only required for wastewater treatment plants.
This is the date on which the complete application
for an individual NPDES permit was received or
a complete Notice of Intent (NOI) for coverage
under a master general permit was received.
The date must be provided in YYYY–MM–DD
format where YYYY is the year, MM is the
month, and DD is the day. This data element
can be system generated when the complete
NOI is electronically received by the NPDES
program.
This is the date on which the application for an individual NPDES permit was received or a Notice of Intent (NOI) for coverage under a master
general permit was received. The date must be
provided in YYYY–MM–DD format where YYYY
is the year, MM is the month, and DD is the
day. This data element can be system generated when the NPDES permit application or
NOI is electronically received by the NPDES
program.
This is a unique code/description that identifies
the permit status (e.g., Effective, Expired, Administratively Continued, Pending, Not Needed,
Retired, Denied, and Terminated). This is system generated for all statuses except ‘‘Not
Needed,’’ which must be user entered.
These are the one or more unique codes/descriptions that identify the one or more industrial categories covered by the master general permit.
This field is required for master general permits
only.
122.46 ....................................
1.
122.46, 122.21, 122.21(j)(6),
122.21(q), 403.10.
1.
122.62, 122.63, 403.10 ..........
1.
122.46, 122.21, 122.21(j)(6),
122.21(q), 403.10.
1.
122.64, 403.10 .......................
1.
122.2 ......................................
1.
122.2 ......................................
1.
122.21, 122.28(b)(2)(ii),
403.10(f).
1, 2.
122.21,122.28(b)(2)(ii),
122.41, 403.10(f).
1, 2.
122.21, 122.28(b)(2)(ii),
403.10(f).
1.
122.21, 122.28(b)(2)(ii),
403.10(f).
1.
122.21, 122.21(j)(6),
122.21(q), 122.64, 122.46,
403.10(f).
1.
122.21, 122.21(j)(6),
122.21(q), 122.28(b)(2)(ii),
403.10(f).
1.
Permit Effective Date ...............
Permit Modification/Amendment Date.
Permit Expiration Date .............
Permit Termination Date ..........
Permit Major/Minor Status Indicator.
Permit Major/Minor Status Start
Date.
Permit Application Total Design
Flow.
Permit Application Total Actual
Average Flow.
Complete Permit Application/
NOI Received Date.
Permit Application/NOI Received Date.
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Permit Status ............................
Master General Permit Industrial Category.
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NPDES data group No.
(see Table 1)
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64113
TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued
Data name
Permit Issuing Organization
Type.
DMR Non-Receipt ....................
DMR Non-Receipt Start Date ..
Reportable Noncompliance
Tracking.
Reportable Noncompliance
Tracking Start Date.
Applicable Effluent Limitations
Guidelines.
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Permit Compliance Tracking
Status.
Permit Compliance Tracking
Status Start Date.
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CWA, regulatory (40 CFR), or
other citation
Data description
This is the type of organization issuing a permit
(e.g., County, Federal, Local, Municipal, Regional, State, Tribal).
Turns non-receipt tracking for compliance monitoring submissions [e.g., discharge monitoring
reports (DMRs)] ‘‘on’’ or ‘‘off’’ for non-major permits (a.k.a. ‘‘minors’’). This field is always ‘‘on’’
for major permits. This data element is initially
system generated (defaults to ‘‘on’’) and the
most recent value is copied when the permit is
reissued. . This data element will also be used
to track non-receipt tracking of periodic compliance monitoring data [40 CFR 403.12(e) and
(h)] for Significant Industrial Users (SIUs) and
Categorical Industrial Users (CIUs) that discharge (including non-domestic wastewater delivered by truck, rail, and dedicated pipe or
other means of transportation) to one or more
POTWs in states where EPA or the State is the
Control Authority).
This is the date on which the permit’s ‘‘on’’ or
‘‘off’’ period for DMR Non-Receipt tracking status began. Initially system-generated to match
effective date. The date must be provided in
YYYY–MM–DD format where YYYY is the year,
MM is the month, and DD is the day. This data
element will also be used to track non-receipt
tracking of periodic compliance monitoring data
[40 CFR 403.12(e) and (h)] for Significant Industrial Users (SIUs) and Categorical Industrial
Users (CIUs) that discharge (including non-domestic wastewater delivered by truck, rail, and
dedicated pipe or other means of transportation) to one or more POTWs in states where
EPA or the State is the Control Authority).
Turns reportable noncompliance (RNC) tracking
‘‘on’’ or ‘‘off’’ for non-major permits (a.k.a. ‘‘minors’’). This data element is initially system
generated (defaults to ‘‘on’’) and the most recent value is copied when the permit is reissued.
This is the date on which the permit’s ‘‘on’’ or
‘‘off’’ period for Reportable Noncompliance
Tracking status began. Initially system-generated to match effective date. The date must
be provided in YYYY–MM–DD format where
YYYY is the year, MM is the month, and DD is
the day.
The applicable effluent limitations guidelines and
new source performance standards in the
NPDES permit (e.g., part 414—Organic chemicals, plastics, and synthetic fibers point source
category). This data element also applies to
SIUs and CIUs that discharge (including nondomestic wastewater delivered by truck, rail,
and dedicated pipe or other means of transportation) to one or more POTWs in states where
the POTW is the Control Authority.
This is a unique code/description that indicates
whether the permit is currently ‘‘on’’ or ‘‘off’’ for
compliance tracking purposes. This data element is initially system generated (defaults to
‘‘on’’) and the most recent value is copied when
the permit is reissued.
This is the date on which the permit’s ‘‘on’’ or
‘‘off’’ period for compliance tracking status
began. Initially system-generated to match effective date. The date must be provided in
YYYY–MM–DD format where YYYY is the year,
MM is the month, and DD is the day.
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NPDES data group No.
(see Table 1)
122.21, 122.21(j)(6),
1.
122.21(q), 123.41, 403.10(f).
123.45, 403.10(f) ...................
1.
123.45, 403.10(f) ...................
1.
123.45, 403.10(f) ...................
1.
123.45, 403.10(f) ...................
1.
122.21, 122.21(j)(6),
1.
122.21(q), 122.44, 403.10(f).
122.21, 122.21(j)(6),
1.
122.21(q), 123.45, 403.10(f).
122.21, 122.21(j)(6),
1.
122.21(q), 123.45, 403.10(f).
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TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued
CWA, regulatory (40 CFR), or
other citation
Data name
Data description
RNC Status (Manual) ...............
The status of reportable noncompliance (RNC) as
it was entered by the regulatory authority for
the official Quarterly Noncompliance Report
(QNCR) or NPDES Noncompliance Report
(NNCR). This data element can also be revised
by the regulatory authority.
The year associated with the RNC Status (Manual) being reported. This data element is used
for the official Quarterly Noncompliance Report
(QNCR) or NPDES Noncompliance Report
(NNCR). This data element can also be revised
by the regulatory authority.
The quarter associated with the RNC Status
(Manual) being reported. This data element is
used for the official Quarterly Noncompliance
Report (QNCR) or NPDES Noncompliance Report (NNCR). This data element can also be revised by the regulatory authority.
If applicable, the unique identifier for each
NPDES Permit that is related to another
NPDES Permit. For example, this data element
identifies the recipient POTW’s NPDES ID for
each satellite collection system, the suppliers of
biosolids and sewage sludge to a land application site, and the one or more NPDES IDs for
other permitted operators at the same construction site or industrial facility. This data element
does not apply to municipal storm sewer systems (MS4s) as other data elements create
linkages between these entities.
The unique code/description that identifies the
reason for the association between two NPDES
IDs (e.g., ETP = Effluent Trade Partner, APR =
Associated Permit Record, SIP = Switched To
An Individual Permit, SGP = Switched To A
General Permit. This data element does not
apply to municipal storm sewer systems (MS4s)
as other data elements create linkages between
these entities.
This data element will identify for each Significant
Industrial Users (SIUs) and Categorical Industrial Users (CIUs) the unique identifier of the
one or more POTWs receiving the discharge.
This includes non-domestic wastewater delivered by truck, rail, and dedicated pipe or other
means of transportation to the one or more receiving POTWs. This data element only applies
to SIUs and CIUs and will link the industrial discharger to the one or more receiving POTWs.
The one or more four-digit Standard Industrial
Classification (SIC) codes that represent the
economic activities of the facility. This data element also applies to SIUs and CIUs that discharge (including non-domestic wastewater delivered by truck, rail, and dedicated pipe or
other means of transportation) to one or more
POTWs in states where the POTW is the Control Authority. A value of ‘‘4952’’ can be system
generated for POTWs and TWTDS.
This data element will identify the primary economic activity, SIC code, of the facility. This
data element is required for electronic data
transfer between state and EPA systems. This
data element also applies to SIUs and CIUs
that discharge (including non-domestic wastewater delivered by truck, rail, and dedicated
pipe or other means of transportation) to one or
more POTWs in states where the POTW is the
Control Authority.
RNC Status (Manual) Year ......
RNC Status (Manual) Quarter
Associated NPDES ID Number
Associated NPDES ID Number
Reason.
Receiving POTW ID .................
SIC Code ..................................
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SIC Code Primary Indicator .....
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NPDES data group No.
(see Table 1)
122.21, 122.21(j)(6),
1.
122.21(q), 123.45, 403.10(f).
122.21, 122.21(j)(6),
1.
122.21(q), 123.45, 403.10(f).
122.21, 122.21(j)(6),
1.
122.21(q), 123.45, 403.10(f).
122.2, 122.21, 122.21(j)(6),
122.21(q), 122.28(b)(2)(ii),
122.41(l)(4)(i), 122.41(l)(6)
and (7), 122.41(m)(3),
122.42(e)(4), 123.26,
123.41(a), 503.18, 503.28,
503.48.
1 through 5, 7, 8, and 9.
122.2, 122.21, 122.21(j)(6),
122.21(q), 122.28(b)(2)(ii),
122.41(l)(4)(i), 122.41(l)(6)
and (7), 122.41(m)(3),
122.42(e)(4), 123.26,
123.41(a), 503.18, 503.28,
503.48.
1 through 5, 7, 8, and 9.
122.21, 122.21(j)(6), ..............
1, 2, and 7.
122.21, 122.21(j)(6),
122.21(q), 122.28(b)(2)(ii),
403.10(f), 403.12(e),
403.12(h), 403.12(i),
503.18, 503.28, 503.48.
1, 2, and 7.
122.21, 122.21(j)(6),
122.21(q), 122.28(b)(2)(ii),
403.10(f), 403.12(e),
403.12(h), 403.12(i),
503.18, 503.28, 503.48.
1, 2, and 7.
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TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued
Data name
Data description
CWA, regulatory (40 CFR), or
other citation
NAICS Code .............................
The six-digit North American Industry Classification System (NAICS) code/description that represents the economic activity of the facility. This
field is optional if the ‘‘SIC Code’’ data element
is provided for the facility.
NAICS Code Primary Indicator
This data element will identify the primary economic activity, NAICS code, of the facility. This
data element is required for electronic data
transfer between state and EPA systems. This
field is optional if the ‘‘SIC Code’’ data element
is provided for the facility.
Permittee Mailing Address .......
The mailing address of the permit holder ..............
Permittee Organization Formal
Name.
The legal, formal name of the organization that
holds the permit.
Permittee City ...........................
The name of the city, town, or village where the
mail is delivered for the permit holder.
Permittee State ........................
The U.S. Postal Service abbreviation that represents the state or state equivalent for the
U.S. for the permit holder.
The combination of the 5-digit Zone Improvement
Plan (ZIP) code and the 4-digit extension code
(if available) that represents the geographic
segment that is a sub-unit of the ZIP Code assigned by the U.S. Postal Service to a geographic location for the permit holder.
Under section 402(p)(2)(E) and (6) and 40 CFR
122.26(a)(9)(i)(C) and (D), the authorized
NPDES program or the EPA Regional Administrator may specifically designate stormwater
discharges as requiring an NPDES permit. In
this ‘residual designation’ process the NPDES
permitting authority regulates stormwater discharges based on: (1) Wasteload allocations
that are part of ‘‘total maximum daily loads’’
(TMDLs) that address the pollutant(s) of concern in the stormwater discharges [see 40 CFR
122.26(a)(9)(i)(C)]; or (2) the determination that
the stormwater discharge, or category of
stormwater discharges within a geographic
area, contributes to a violation of a water quality standard or is a significant contributor of pollutants to waters of the United States [see 40
CFR 122.26(a)(9)(i)(D)]. This data element is
the unique code/description that identifies the
main basis for this residual designation determination. This data element only applies to
stormwater permits.
The unique code/description that identifies whether the authorized NPDES program has granted
the permittee a waiver from electronic reporting
in compliance with this part (1 = temporary
waiver; 2 = permanent waiver). This data element should be left blank if the permittee does
not have a waiver from electronic reporting in
compliance with this part.
EPA SIC/NAICS Data Standard, Standard No.
EX000022.2, 6 January
2006, Office of Management and Budget, Executive Office of the President,
Final Decision on North
American Industry Classification System (62 FR
17288), 403.10(f).
EPA SIC/NAICS Data Standard, Standard No.
EX000022.2, 6 January
2006, Office of Management and Budget, Executive Office of the President,
Final Decision on North
American Industry Classification System (62 FR
17288), 403.10(f).
122.21, 122.21(j)(6),
122.21(q), 122.28(b)(2)(ii),
403.10(f).
122.21, 122.21(j)(6),
122.21(q), 122.28(b)(2)(ii),
403.10(f).
122.21, 122.21(j)(6),
122.21(q), 122.28(b)(2)(ii),
403.10(f).
122.21, 122.21(j)(6),
122.21(q), 122.28(b)(2)(ii),
403.10(f).
122.21, 122.21(j)(6),
122.21(q), 122.28(b)(2)(ii),
403.10(f).
Permittee Zip Code ..................
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Residual Designation Determination Code.
Electronic Reporting Waiver
Type.
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1, 2, and 7.
1, 2, and 7.
1, 2.
1, 2.
1, 2.
1, 2.
1, 2.
122.26(a)(9)(i)(C) and (D) and
CWA section 402(p).
1.
123.26, 123.41(a) and CWA
section 308.
1.
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TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued
Data name
Electronic Reporting Waiver
Expiration Date.
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Electronic Submission Type
(General Permit Reports).
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CWA, regulatory (40 CFR), or
other citation
Data description
This is the expiration date for a temporary waiver
from electronic reporting in compliance with this
part. This data element should be left blank if
the permittee has a permanent waiver from
electronic reporting or if the permittee does not
have a waiver from electronic reporting in compliance with this part.
This is the unique code/description for each general permit report submitted by the facility or
entity. Notices, certifications, and waiver requests covered by this data element are listed
in Table 1 in this appendix (i.e., NPDES Data
Group 2). This data element describes how
each submission was electronically collected or
processed by the initial recipient [see
§ 127.2(b)]. For example, these unique codes/
descriptions include: (1) NPDES regulated entity submits NPDES program data using an EPA
electronic reporting system; (2) NPDES regulated entity submits NPDES program data using
an authorized NPDES program electronic reporting system; (3) NPDES regulated entity has
temporary waiver from electronic reporting and
submits NPDES program data on paper to the
authorized NPDES program who then electronically uses manual data entry to electronically
process these data; (4) NPDES regulated entity
has a permanent waiver from electronic reporting and submits NPDES program data on paper
to the authorized NPDES program who then
electronically uses manual data entry to electronically process these data; (5) NPDES regulated entity has an episodic waiver from electronic reporting and submits NPDES program
data on paper to the authorized NPDES program who then electronically uses manual data
entry to electronically process these data; (6)
NPDES regulated entity submits NPDES program data on paper in a form that allows the
authorized NPDES program to use of automatic
identification and data capture technology to
electronically process these data; (7) NPDES
regulated entity submits NPDES program data
using another electronic reporting system (e.g.,
third-party). This data element can sometimes
be system generated (e.g., incorporated into an
electronic reporting tool). This data element
does not identify the electronic submission type
of other reports (NPDES Data Groups = 3
through 10 in Table 1), which is tracked by the
‘‘Electronic Submission Type (Compliance Monitoring Activity)’’ data element.
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NPDES data group No.
(see Table 1)
123.26, 123.41(a) and CWA
section 308.
1.
123.26, 123.41(a) and CWA
section 308.
1.
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TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued
Data name
Data description
CWA, regulatory (40 CFR), or
other citation
NPDES Data Group Number ...
This is the unique code/description that identifies
the types of NPDES program data that are required to be reported by the facility. This corresponds to Table 1 in this appendix (e.g., 3 =
Discharge Monitoring Report [40 CFR
122.41(l)(4)]). This data element can be system
generated. This data element will record each
NPDES Data Group that the facility is required
to submit. For example, when a POTW is required to submit a Discharge Monitoring Report,
Sewage Sludge/Biosolids Annual Program Report, Pretreatment Program Report, and Sewer
Overflow/Bypass Event Report, the values for
this data element for this facility will be 3, 4, 7,
and 9. The following general permit reports will
have the following values for this data element:
2a = Notice of Intent to discharge (NOI); 2b =
Notice of Termination (NOT); 2c = No Exposure
Certification (NOE); and 2d = Low Erosivity
Waiver or Other Waiver from Stormwater Controls (LEW).
122.2, 122.21, 122.21(j)(6),
122.21(q), 122.28(b)(2)(ii),
122.34(g)(3), 122.41(l)(4)(i),
122.41(l)(6) and (7),
122.41(m)(3), 122.42(c),
122.42(e)(4), 123.26,
123.41(a), 403.10,
403.12(e), 403.12(h),
403.12(i), 503.18, 503.28,
503.48 and CWA section
308.
NPDES data group No.
(see Table 1)
1.
Narrative Conditions and Permit Schedules Information
[Note: As indicated in the ‘‘CWA, Regulatory, or Other Citation’’ column, these data elements also apply to Significant Industrial Users (SIUs)
and Categorical Industrial Users (CIUs) that discharge (including non-domestic wastewater delivered by truck, rail, and dedicated pipe or
other means of transportation) to one or more POTWs in states where EPA or the State is the Control Authority].
Permit Narrative Condition
Code.
Permit Narrative Condition
Number.
Permit Schedule Date ..............
Permit Schedule Actual Date ...
Required Report Received
Date.
Permit Schedule Event Code ...
The unique code/description that identifies the
type of narrative condition.
This number uniquely identifies a narrative condition and its elements for a permit.
The date on which a permit schedule event is due
to be completed and against which compliance
will be measured. The date must be provided in
YYYY–MM–DD format where YYYY is the year,
MM is the month, and DD is the day.
The date on which the permittee achieved the
schedule event. The date must be provided in
YYYY–MM–DD format where YYYY is the year,
MM is the month, and DD is the day.
The date on which the regulatory authority receives a report from the permittee indicating
that a scheduled event was completed (e.g.,
the start of construction) or the date on which
the regulatory authority received the required
report. The date must be provided in YYYY–
MM–DD format where YYYY is the year, MM is
the month, and DD is the day.
The unique code/description indicating the one or
more events with which the permittee is scheduled to comply.
122.47, 403.10(f) ...................
1.
122.47, 403.10(f) ...................
1.
122.47, 403.10(f) ...................
1.
122.47, 403.10(f) ...................
1.
122.47, 403.10(f) ...................
1.
122.47, 403.10(f) ...................
1.
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Permitted Feature Information
[Note: These ‘Permitted Feature’ data elements are only required to be submitted for permits that require limits or outfall monitoring for stationary point sources. Additionally, as indicated in the ‘‘CWA, Regulatory, or Other Citation’’ column, some of these data elements apply to
Significant Industrial Users (SIUs) and Categorical Industrial Users (CIUs) that discharge (including non-domestic wastewater delivered by
truck, rail, and dedicated pipe or other means of transportation) to one or more POTWs in states where EPA or the State is the Control Authority].
Permitted Feature Application
Actual Average Flow (MGD).
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The average flow that a permitted feature will actually discharge or transmit, in MGD, at the
start of its permit term. This data element does
not apply to regulated entities that do not discharge (e.g., some biosolids/sewage sludge
generators) and entities that only discharge
stormwater. This data element may also not
apply to some intermittent dischargers.
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122.21, 122.28(b)(2)(ii),
403.10(f).
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TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued
Data name
Permitted Feature Identifier
(Permit).
Permitted Feature Type ...........
Receiving Waterbody Name for
Permitted Feature.
Permitted Feature Longitude ...
Permitted Feature Latitude ......
CWA, regulatory (40 CFR), or
other citation
Data description
The identifier assigned for each location at which
conditions are being applied (e.g., external outfall). This data element also identifies cooling
water intake structures.
The code/description that uniquely identifies the
type of permitted feature (e.g. external outfall,
sum, intake structure, cooling water intake
structure).
The name of the waterbody that is or will likely receive the discharge from each permitted feature.
The measure of the angular distance on a meridian east or west of the prime meridian for the
permitted feature. The format for this data element is decimal degrees (e.g., -77.029289) and
the WGS84 standard coordinate system.
The measure of the angular distance on a meridian north or south of the equator for the permitted feature. The format for this data element
is decimal degrees (e.g., 38.893829) and the
WGS84 standard coordinate system.
NPDES data group No.
(see Table 1)
122.21, 122.28(b)(2)(ii),
403.10(f).
1, 2.
122.21, 122.28(b)(2)(ii),
403.10(f).
1, 2.
122.21, 122.28(b)(2)(ii) ..........
1, 2.
122.21, 122.28(b)(2)(ii) ..........
1, 2.
122.21, 122.28(b)(2)(ii) ..........
1, 2.
Limit Set Information
[Note: These ‘Limit Set’ data elements are only required to be submitted for permits that require limits or outfall monitoring for stationary point
sources. Additionally, as indicated in the ‘‘CWA, Regulatory, or Other Citation’’ column, these data elements apply to Significant Industrial
Users (SIUs) and Categorical Industrial Users (CIUs) that discharge (including non-domestic wastewater delivered by truck, rail, and dedicated pipe or other means of transportation) to one or more POTWs in states where EPA or the State is the Control Authority].
Limit Set Designator .................
Limit Set Type ..........................
Modification Effective Date
(Limit Set).
Modification Type (Limit Set) ...
Initial Monitoring Date ..............
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Initial DMR Due Date ...............
Number of Report Units ...........
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The alphanumeric field that is used to designate a
particular grouping of parameters within a limit
set.
The unique code/description identifying the type
of limit set (e.g., scheduled, unscheduled).
The effective date of the permit modification that
updated or created a limit set. The date must
be provided in YYYY–MM–DD format where
YYYY is the year, MM is the month, and DD is
the day.
The type of permit modification that updated or
created this limit set (e.g., major modification,
minor modification, permit authorized change).
The date on which monitoring starts for the first
monitoring period for the limit set. This date will
be blank for unscheduled limit sets. The date
must be provided in YYYY–MM–DD format
where YYYY is the year, MM is the month, and
DD is the day.
The date that the first compliance monitoring submission (e.g., DMR) for the limit set is due to
the regulatory authority. This date will be blank
for unscheduled limit sets. The date must be
provided in YYYY–MM–DD format where YYYY
is the year, MM is the month, and DD is the
day. This data element will also be used to
track non-receipt tracking of periodic compliance monitoring data [40 CFR 403.12(e) and
(h)] for Significant Industrial Users (SIUs) and
Categorical Industrial Users (CIUs) that discharge (including non-domestic wastewater delivered by truck, rail, and dedicated pipe or
other means of transportation) to one or more
POTWs in states where EPA or the State is the
Control Authority).
The number of months covered in each compliance monitoring period (e.g., monthly = 1,
semi-annually = 6, quarterly = 3).
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122.45, 403.10(f) ...................
1.
122.45, 403.10(f) ...................
1.
122.45, 403.10(f) ...................
1.
122.45, 403.10(f) ...................
1.
122.45, 403.10(f) ...................
1.
122.45, 403.10(f) ...................
1.
122.45, 403.10(f) ...................
1.
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64119
TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued
Data name
Data description
CWA, regulatory (40 CFR), or
other citation
Number of Submission Units ...
The number of months between compliance monitoring submissions (e.g., monthly = 1, semi-annually = 6, quarterly = 3). This data element will
be blank for unscheduled limit sets For example, if the permittee was required to submit
monthly reports every quarter, the number of
report units would be one (i.e., monthly) and
the number of submission units would be three
(i.e., three months of information in each submission)..
The status of the limit set (e.g., active, inactive).
Limit sets will not have violations generated
when a limit set is inactive unless an enforcement action limit is present.
The date that the Limit Set Status started. The
date must be provided in YYYY–MM–DD format
where YYYY is the year, MM is the month, and
DD is the day.
122.45, 403.10(f) ...................
1.
subpart C of 122, 403.10(f) ...
1.
123.45, 403.10(f) ...................
1.
Limit Set Status ........................
Limit Set Status Start Date ......
NPDES data group No.
(see Table 1)
Limit Information
[Note: These ‘Limit’ data elements are only required to be submitted for permits that require limits or outfall monitoring for stationary point
sources. Additionally, as indicated in the ‘‘CWA, Regulatory, or Other Citation’’ column, some of these data elements apply to Significant Industrial Users (SIUs) and Categorical Industrial Users (CIUs) that discharge (including non-domestic wastewater delivered by truck, rail, and
dedicated pipe or other means of transportation) to one or more POTWs in states where EPA or the State is the Control Authority].
Monitoring Location Code ........
Limit Season Number ..............
Limit Start Date ........................
Limit End Date .........................
Change of Limit Status Indicator.
Limit Stay Type ........................
Limit Stay Start Date ................
Limit Stay End Date .................
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Reason for Limit Stay ..............
Stay Limit Value .......................
Limit Type .................................
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The unique code/description of the monitoring location at which sampling should occur for a
limit parameter.
Indicates the season of a limit and is used to
enter different seasonal limits for the same parameter within a single limit start and end date.
The date on which a limit starts being in effect for
a particular parameter in a limit set. The date
must be provided in YYYY–MM–DD format
where YYYY is the year, MM is the month, and
DD is the day.
The date on which a limit stops being in effect for
a particular parameter in a limit set. The date
must be provided in YYYY–MM–DD format
where YYYY is the year, MM is the month, and
DD is the day.
The unique code/description that describes circumstances affecting limits, such as formal enforcement actions or permit modifications.
The unique identifier of the type of stay applied to
a limit (e.g., X, Y, Z), which indicates whether
the limits do not appear on the compliance
monitoring report (e.g., DMR) at all, are treated
as monitor only, or have a stay value in effect
during the period of the stay.
The date on which a limit stay begins. The date
must be provided in YYYY–MM–DD format
where YYYY is the year, MM is the month, and
DD is the day.
The date on which a limit stay is lifted. The date
must be provided in YYYY–MM–DD format
where YYYY is the year, MM is the month, and
DD is the day.
The text that represents the reason a stay was
applied to a permit.
The numeric limit value imposed during the period
of the stay for the limit; if entered, during the
stay period, the system will use this limit value
for calculating compliance, rather than the actual limit value that was stayed.
The unique code/description that indicates whether a limit is an enforceable, or alert limit (e.g.,
action level, benchmark) that does not receive
effluent violations.
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122.45, 403.10(f) ...................
1.
122.45, 403.10(f) ...................
1.
122.45, 403.10(f) ...................
1.
122.45, 403.10(f) ...................
1.
subpart C of 122, 403.10(f) ...
1.
122.45, 403.10(f) ...................
1.
124.19, 403.10(f) ...................
1.
124.19, 403.10(f) ...................
1.
124.19, 403.10(f) ...................
1.
124.19, 403.10(f) ...................
1.
122.45, 403.10(f) ...................
1.
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TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued
Data name
Data description
CWA, regulatory (40 CFR), or
other citation
Enforcement Action ID .............
The unique identifier for the enforcement action
that imposed the enforcement action limit; this
data element helps uniquely tie the limit record
to the final order record.
The unique identifier for the Final Order that imposed the Enforcement Action limit; this data
element ties the limit record to the Final Order
record in the database.
The effective date of the permit modification that
created this limit. The date must be provided in
YYYY–MM–DD format where YYYY is the year,
MM is the month, and DD is the day.
The type of permit modification that created this
limit (e.g. major, minor, permit authorized
change).
The unique code/description identifying the parameter being limited and/or monitored.
The months that the limit applies ...........................
The indication of the limit value type (e.g., Quantity 1, Concentration 2).
The unique code/description representing the
unit(s) of measure applicable to quantity or concentration limits as entered by the user.
The unique code/description representing the unit
of measure applicable to the limit and compliance monitoring activity (e.g., DMR) values entered by the user (e.g., 30-day average, daily
maximum).
The code/description that indicates when monitoring is optional but not required (e.g., DMR
Non-Receipt violation generation will be suppressed for optional monitoring).
The unique code identifying the limit value operator (e.g., ‘‘<’’, ‘‘=’’, ‘‘>’’).
The actual limit value number from the Permit or
Enforcement Action Final Order.
122.45, 403.10(f) ...................
1.
122.45, 403.10(f) ...................
1.
122.62, 403.10(f) ...................
1.
122.62, 403.10(f) ...................
1.
122.41(j), 403.10(f) ................
1.
122.46, 403.10(f) ...................
122.45(f), 403.10(f) ................
1.
1.
122.45(f), 403.10(f) ................
1.
122.45(d), 403.10(f) ...............
1.
122.45, 403.10(f) ...................
1.
122.45, 403.10(f) ...................
1.
122.45, 403.10(f) ...................
1.
Final Order ID ..........................
Modification Effective Date ......
Modification Type .....................
Limit Parameter Code ..............
Limit Months .............................
Limit Value Type ......................
Limit Quantity or Concentration
Units.
Statistical Base Code ...............
Optional Monitoring Code ........
Limit Value Qualifier .................
Limit Value ...............................
NPDES data group No.
(see Table 1)
Sewage Sludge/Biosolids Information on NPDES Permit Application or Notice of Intent
[Note: As indicated in the ‘‘CWA, Regulatory, or Other Citation’’ column, these data elements apply to Treatment Works Treating Domestic
Sewage whose sewage sludge use or disposal practices are regulated by part 503.]
Biosolids/Sewage Sludge Management Facility Type.
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Biosolids or Sewage Sludge
Treatment Processes (Permit).
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The unique code/description that identifies whether the facility was issued a permit as a biosolids/sewage sludge generator, processor, or
end user (e.g., land application site, surface
disposal site, incinerator). For the Sewage
Sludge/Biosolids Annual Report this data element is also the unique code/description that
identifies an off-site facility or location receives
biosolids or sewage sludge from this facility.
This data element is also required for the Sewage Sludge/Biosolids Annual Report.
The one or more unique codes/descriptions that
identifies the biosolids or sewage sludge treatment process or processes at the facility. For
example, this may include treatment processes
in the following categories: preliminary operations (e.g., sludge grinding and degritting),
thickening (concentration), stabilization, anaerobic digestion, aerobic digestion, composting,
conditioning, disinfection (e.g., beta ray irradiation, gamma ray irradiation, pasteurization),
dewatering (e.g., centrifugation, sludge drying
beds, sludge lagoons), heat drying, thermal reduction, and methane or biogas capture and recovery.
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122.21(q), 122.28(b)(2)(ii),
503.18, 503.28, 503.48.
1, 2, and 4.
122.21(q)(6), 122.28(b)(2)(ii)
1, 2.
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TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued
Data name
Biosolids or Sewage Sludge
Form (Permit).
Biosolids or Sewage Sludge
Management Practice (Permit).
Biosolids or Sewage Sludge
Pathogen Class (Permit).
Biosolids or Sewage Sludge
Vector Attraction Reduction
Options (Permit).
Biosolids or Sewage Sludge
Pathogen Reduction Options
(Permit).
Biosolids or Sewage Sludge
Amount (Permit).
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CWA, regulatory (40 CFR), or
other citation
Data description
The one or more unique codes/descriptions that
identify the nature of each biosolids and sewage sludge material generated by the facility in
terms of whether the material is a biosolid or
sewage sludge and whether the material is ultimately conveyed off-site in bulk or in bags. The
facility will separately report the form for each
biosolids or sewage sludge management practice and pathogen class.
The one or more unique codes/descriptions that
identify the type of biosolids or sewage sludge
management practice or practices (e.g., land
application, surface disposal, incineration) used
by the facility. The facility will separately report
the practice for each different form of biosolids
and sewage sludge generated by the facility
and pathogen class.
The one or more unique codes/descriptions that
identify the pathogen class or classes (e.g.,
Class A, Class B, Not Applicable) for biosolids
or sewage sludge generated by the facility. The
facility will separately report the pathogen class
for each biosolids or sewage sludge management practice used by the facility and for each
biosolids or sewage sludge form.
The one or more unique codes/descriptions that
identify the option(s) used by the facility for vector attraction reduction. See a listing of these
vector attraction reduction options at 40 CFR
503.33(b)(1) through (11). The facility will separately report the vector attraction reduction options for each biosolids or sewage sludge management practice used by the facility and for
each biosolids or sewage sludge form as well
as by each biosolids or sewage sludge pathogen class.
The one or more unique codes/descriptions that
identify the option(s) used by the facility to control pathogens (e.g., Class A—Alternative 1,
Class A—Alternative 2, Class A—Alternative 3,
Class A—Alternative 4, Class A—Alternative 5,
Class A—Alternative 6, Class B—Alternative 1,
Class B—Alternative 2, Class B—Alternative 3,
or pH Adjustment (Domestic Septage). The facility will separately report the pathogen reduction options for each biosolids or sewage
sludge management practice used by the facility and by each biosolids or sewage sludge
form as well as by each biosolids or sewage
sludge pathogen class.
This is the amount (in dry metric tons) of biosolids
or sewage sludge applied to the land, prepared
for sale or give-away in a bag or other container for application to the land, or placed on
an active sewage sludge unit in the preceding
365-day period. This identification will be made
for each biosolids or sewage sludge management practice used by the facility and by each
biosolids or sewage sludge form as well as by
each biosolids or sewage sludge pathogen
class.
NPDES data group No.
(see Table 1)
122.21(q)(6), 122.28(b)(2)(ii)
1, 2.
122.21(q)(6), 122.28(b)(2)(ii)
1, 2.
122.21(q)(6), 122.28(b)(2)(ii)
1, 2.
122.21(q)(6), 122.28(b)(2)(ii)
1, 2.
122.21(q)(6), 122.28(b)(2)(ii)
1, 2.
122.21 (q), 122.28(b)(2)(ii) .....
1, 2.
Animal Feeding Operation Information on NPDES Permit Application or Notice of Intent
Facility CAAP Designation .......
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A unique code (e.g., ‘‘Yes’’, ‘‘No’’) to indicate
whether the facility includes Concentrated
Aquatic Animal Production (CAAP).
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122.21(i)(2), 122.24, 122.25,
122.28(b)(2)(ii).
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TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued
CWA, regulatory (40 CFR), or
other citation
Data name
Data description
Facility CAFO Type ..................
The unique code/description that identifies whether the facility includes a small, medium or large
Concentrated Animal Feeding Operation
(CAFO).
The date on which the facility is designated as a
small or medium Concentrated Animal Feeding
Operation (CAFO). The date must be provided
in YYYY–MM–DD format where YYYY is the
year, MM is the month, and DD is the day.
The reason(s) the State Director or the Regional
Administrator used to designate an animal feeding operation as a small or medium CAFO. [Ed
note: Large and medium CAFO definitions are
in 40 CFR 122.23(b)]. This text field can include
the following factors: (1) the size of the AFO
and the amount of wastes reaching waters of
the United States; (2) the location of the AFO
relative to waters of the United States; (3) the
means of conveyance of animal wastes and
process waste waters into waters of the United
States; (4) the slope, vegetation, rainfall, and
other factors affecting the likelihood or frequency of discharge of animal wastes manure
and process waste waters into waters of the
United States; and (5) other relevant factors.
The unique code/description that identifies the
animal type(s) at the facility (e.g., beef cattle,
broilers, layers, swine weighing 55 pounds or
more, swine weighing less than 55 pounds, mature dairy cows, dairy heifers, veal calves,
sheep and lambs, horses, ducks, turkeys,
other).
The estimated maximum number of each type of
animal in open confinement or housed under
roof (either partially or totally) which are held at
the facility for a total of 45 days or more in a 12
month period.
The estimated maximum number of each type of
animal in open confinement which are held at
the facility for a total of 45 days or more in a 12
month period.
The unique code/description that identifies the
type of CAFO manure, litter, and process
wastewater generated by the facility i.e. in a 12
month period.
The estimated amount of CAFO manure, litter,
and process wastewater generated by the facility i.e.in a 12 month period.
The unit (e.g., tons, gallons) for the estimated
maximum amount of CAFO manure, litter, and
process wastewater generated by the facility
i.e. in a 12 month period.
The estimated maximum amount of CAFO manure, litter, and process wastewater generated
by the facility i.e.in a 12 month period that is
transferred to other persons. The units for this
data element will be the same as the units for
the ‘‘CAFO MLPW Amounts’’ data element.
Total number of acres under the control of the applicant that are available for land application of
CAFO manure, litter, and process wastewater.
The unique code/description describing the one or
more types of CAFO manure, litter, and process wastewater containment and storage (e.g.,
lagoon, holding pond, evaporation pond, anaerobic lagoon, storage lagoon, evaporation pond,
aboveground storage tanks, belowground storage tanks, roofed storage shed, concrete pad,
impervious soil pad, other) at the facility.
CAFO Designation Date ..........
CAFO Designation Reason ......
CAFO Animal Types ................
CAFO Animal Maximum Numbers.
CAFO Animal Maximum Numbers in Open Confinement.
CAFO MLPW ...........................
CAFO MLPW Amounts ............
CAFO MLPW Amounts Units ...
CAFO MLPW Transferred ........
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Total Number of Acres Available for Land Application.
CAFO MLPW Containment and
Storage Type.
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NPDES data group No.
(see Table 1)
122.21(i)(1), 122.23,
122.28(b)(2)(ii).
1, 2.
122.23 ....................................
1.
122.23(c) ................................
1.
122.21(i)(1)(v), 122.28(b)(2)(ii)
1, 2.
122.21(i)(1)(v), 122.28(b)(2)(ii)
1, 2.
122.21(i)(1)(v), 122.28(b)(2)(ii)
1, 2.
122.21(i)(1)(viii),
122.28(b)(2)(ii).
1, 2.
122.21(i)(1)(viii),
122.28(b)(2)(ii).
1, 2.
122.21(i)(1)(viii),
122.28(b)(2)(ii).
1, 2.
122.21(i)(1)(ix),
122.28(b)(2)(ii).
1, 2.
122.21(i)(1)(vii),
122.28(b)(2)(ii).
1, 2.
122.21(i)(1)(vi),
122.28(b)(2)(ii).
1, 2.
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TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued
CWA, regulatory (40 CFR), or
other citation
Data name
Data description
CAFO MLPW Containment and
Storage Maximum Capacity
Amounts.
CAFO MLPW Containment and
Storage Maximum Capacity
Amounts Unit.
The estimated maximum capacity of each CAFO
manure, litter, and process wastewater containment and storage type at the facility.
The unit for the estimated maximum capacity of
each CAFO manure, litter, and process wastewater containment and storage type at the facility (e.g., gallons).
NPDES data group No.
(see Table 1)
122.21(i)(1)(vi),
122.28(b)(2)(ii).
1, 2.
122.21(i)(1)(vi),
122.28(b)(2)(ii).
1, 2.
Construction and Industrial Stormwater Information [from the permitting authority derived from the No Exposure Certification, Low
Erosivity Waiver, and Other Waiver From Stormwater Controls (see Exhibit 1 to 40 CFR 122.26(b)(15)]
No Exposure Certification Approval Date.
Low Erosivity Waiver or Other
Waiver From Stormwater
Controls Approval Date.
This is the date on which the No Exposure Certification (NOE) was authorized by the NPDES
permitting authority. Submission of a No Exposure Certification means that the facility does
not require NPDES permit authorization for its
stormwater discharges due to the existence of
a condition of ‘‘no exposure.’’ A condition of no
exposure exists at an industrial facility when all
industrial materials and activities are protected
by a storm resistant shelter to prevent exposure
to rain, snow, snowmelt, and/or runoff and the
operator complies with all requirements at 40
CFR 122.26(g)(1) through (4). This date is provided by the permitting authority. The date must
be provided in YYYY–MM–DD format where
YYYY is the year, MM is the month, and DD is
the day.
The NPDES Stormwater Phase II Rule allows
NPDES permitting authorities to accept low
erosivity waivers and other waivers from
stormwater controls (LEWs) for small construction sites. The waiver process exempts small
construction sites (disturbing under five acres)
from NPDES permitting requirements when the
rainfall erosivity factor is less than five during
the period of construction activity as well as
other criteria [see Exhibit 1 to 40 CFR
122.26(b)(15)]. This is the date when the
NPDES permitting authority granted such waiver, based on information from the entity requesting the waiver; this date is provided by the
permitting authority. The date must be provided
in YYYY–MM–DD format, where YYYY is the
year, MM is the month, and DD is the day.
122.26(g) ................................
1.
Exhibit 1 to 40 CFR
122.26(b)(15).
1.
Construction Stormwater Information on NPDES Permit Application, Notice of Intent, or Waiver Request [including construction activity
requiring permit coverage under 40 CFR 122.26(b)(14)(x)]
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Total Area of the Site ...............
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This is an estimate of the total area of the construction site at the time of permit application
(in acres). This data element is only required
for individual construction stormwater permit applications. Values under 5 acres will be reported to the nearest tenth of an acre or nearest quarter acre. Authorized NPDES programs
will have the discretion to choose whether permittees should report to the nearest tenth of an
acre or nearest quarter acre for values under 5
acres.
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122.26(c)(1)(ii)(B) ...................
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TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued
Data description
CWA, regulatory (40 CFR), or
other citation
This is the estimate of the total area of the construction activities at the time of permit application or filing of notice of intent to be covered
under a general permit (in acres). Areas of construction activity include areas of clearing, grading, and/or excavation and areas of construction support activity (e.g., concrete or asphalt
batch plants, equipment staging yards, material
storage areas, excavated materials disposal
areas, borrow areas). Values under 5 acres will
be reported to the nearest tenth of an acre or
nearest quarter acre. Authorized NPDES programs will have the discretion to choose whether permittees should report to the nearest tenth
of an acre or nearest quarter acre for values
under 5 acres.
This is the estimate of total impervious area of the
site after the construction addressed in the permit application is completed (in acres). This estimate is made at the time of the permit application. This data element is only required for individual construction stormwater permit applications. Values under 5 acres will be reported to
the nearest tenth of an acre or nearest quarter
acre. Authorized NPDES programs will have
the discretion to choose whether permittees
should report to the nearest tenth of an acre or
nearest quarter acre for values under 5 acres.
This is the one or more unique codes that list the
most important proposed measures, including
best management practices, to control pollutants in stormwater discharges from construction
activities. This data element includes temporary
structural measures (e.g., check dams, construction road stabilization, silt fences), vegetative measures (e.g., mulching, seeding, sodding, straw/hay bale dikes), and permanent
structures (e.g., land grading, riprap slope protection, streambank protection). This data element field is only required for individual construction stormwater permit applications.
This is the one or more unique codes that list the
most important proposed long-term measures
and permanent structures to control pollutants
in stormwater discharges, which will occur after
the completion of construction operations. The
codes for this data element include long-term
control measures (e.g., cleaning and removal of
debris after major storm events, harvesting
vegetation when a 50 percent reduction in the
original open water surface area occurs, sediment cleanout, repairing embankments, side
slopes, and control structures) and permanent
structures (e.g., land grading, riprap slope protection, streambank protection, ponds, wetlands, infiltration basins, sand filters, filter
strips). This data element is only required for individual construction stormwater permit applications.
This is a text field describes the nature of fill material and existing data describing soils or the
quality of the discharge. This data element is
only required for individual construction
stormwater permit applications.
This is an estimate of the overall runoff coefficient
of the site after the construction addressed in
the permit application is completed. This data
element is only required for individual construction stormwater permit applications.
122.26, 122.28(b)(2)(ii) ..........
1, 2.
122.26(c)(1)(ii)(E) ...................
1.
122.26(c)(1)(ii)(C) ..................
1.
122.26(c)(1)(ii)(D) ...................
1.
122.26(c)(1)(ii)(E) ...................
1.
122.26(c)(1)(ii)(E) ...................
1.
Data name
Total Activity Area (Construction).
Post-Construction Total Impervious Area.
Proposed Stormwater Best
Management Practices for
Construction Activities.
Post-Construction Stormwater
Best Management Practices
for Construction Activities.
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Soil and Fill Material Description.
Runoff Coefficient of the Site
(Post-Construction).
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NPDES data group No.
(see Table 1)
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TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued
Data name
Data description
CWA, regulatory (40 CFR), or
other citation
Estimated Construction Project
Start Date.
The estimated start date for the construction
project covered by the NPDES permit. The date
must be provided in YYYY–MM–DD format
where YYYY is the year, MM is the month, and
DD is the day.
The estimated end date for the construction
project covered by the NPDES permit. The date
must be provided in YYYY–MM–DD format
where YYYY is the year, MM is the month, and
DD is the day.
122.26, 122.28(b)(2)(ii) ..........
1, 2.
122.26, 122.28(b)(2)(ii) ..........
1, 2.
Estimated Construction Project
End Date.
NPDES data group No.
(see Table 1)
Industrial Stormwater Information on NPDES Permit Application [excluding construction activity requiring permit coverage under 40
CFR 122.26(b)(14)(x)]
Total Surface Area Drained (Industrial).
Total Impervious Surface Area
(Industrial).
Proposed Stormwater Best
Management Practices (Industrial).
This is an estimate of the total surface area
drained at the facility at the time of permit application (in acres). This data field is only required
for individual industrial stormwater permit applications. Values under 5 acres will be reported
to the nearest tenth of an acre or nearest quarter acre. Authorized NPDES programs will have
the discretion to choose whether permittees
should report to the nearest tenth of an acre or
nearest quarter acre for values under 5 acres.
This is the estimate of the total impervious area at
the facility at the time of permit application (in
acres). This data element is only required for
individual industrial stormwater permit applications. Values under 5 acres will be reported to
the nearest tenth of an acre or nearest quarter
acre. Authorized NPDES programs will have
the discretion to choose whether permittees
should report to the nearest tenth of an acre or
nearest quarter acre for values under 5 acres.
This is the one or more codes that identify the
structural and non-structural control measures
(including treatment) to control pollutants in
stormwater discharges from industrial activities.
This data element includes long-term measures
(e.g., good housekeeping of waste-handling
and waste-storage areas, collecting debris and
yard material, proper management of vehicle
wash and equipment maintenance areas) and
permanent structures (e.g., covers, pads, diversion berms or channels, vegetative buffer strips,
erosion prevention and sediment control such
as land grading, riprap slope protection,
streambank protection) to control pollutants in
stormwater discharges. This data element is
only required for individual industrial stormwater
permit applications.
122.26(c)(1)(i)(B) ...................
1.
122.26(c)(1)(i)(B) ...................
1.
122.26(c)(1)(i)(B) ...................
1.
Municipal Separate Storm Sewer System (MS4) Information on NPDES Permit Application or Notice of Intent
MS4 Permit Class ....................
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Unique Identifier for Each Municipality Covered Under
MS4 Permit.
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The unique code/description that identifies the 122.26, 122.28(b)(2)(ii) .......... 1, 2.
size of the MS4 permit holder (e.g., Phase I =
large or medium MS4s, Phase II = small MS4s).
The unique identifier for each municipality cov- 122.21(f), 122.26(d)
1, 2, 6.
ered under MS4 permit. Use of this identifier al122.28(b)(2)(ii),
lows for greater geographic resolution for the
122.34(g)(3), and 122.42(c).
MS4 components being tracked. This unique
identifier does not change over time. Use of this
unique identifier is similar to how the ‘Permitted
Feature Identifier (Permit)’ data element is used
to distinguish between permitted features.
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TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued
CWA, regulatory (40 CFR), or
other citation
Data name
Data description
MS4 Public Education Program
The one or more unique codes/descriptions that
identifies the educational materials the permittee intends to distribute or equivalent outreach activities the permittee will implement to
inform the target audience about the impacts of
stormwater discharges and the steps the public
can take to reduce stormwater pollutants.
The one or more unique codes/descriptions that
identifies measurable goals associated with the
public education programs including, as appropriate, the months and years in which the permittee will undertake required actions, including
interim milestones and the frequency of the action. This data element only applies to Phase II
MS4s.
The one or more unique codes/descriptions that
identifies how the permittee intends to involve
the public and at minimum comply with State,
Tribal, and local public notice requirements to
implement its public involvement and participation program.
The one or more unique codes/descriptions that
identifies the measurable goals associated with
the public involvement and participation program including, as appropriate, the months and
years in which the permittee will undertake required actions, including interim milestones and
the frequency of the action. This data element
only applies to Phase II MS4s.
The one or more unique codes/descriptions that
identify how the permittee will comply with Illicit
Discharge Detection and Elimination requirements, including (at a minimum): (1) The status
of the permittee’s storm sewer system map
showing the location of all outfalls and names
and locations of all waters of the U.S. that receive discharges from those outfalls; (2) the
status of the ordinance or other regulatory
mechanism to prohibit non-stormwater discharges into the permittee’s MS4; (3) the procedures and actions the permittee takes to enforce the prohibition of non-stormwater discharges to the permittee’s MS4; (4) the status
of the program that identifies the procedures
and actions the permittee will take to detect and
address non-stormwater discharges, including
illegal dumping, to the permittee’s MS4; and (5)
the status of procedures and actions the permittee will take to inform public employees,
businesses and the general public of hazards
associated with illegal discharges and improper
disposal of waste.
The one or more unique codes/descriptions that
identifies the measurable goals associated with
the illicit discharge detection and elimination
program, including, as appropriate, the months
and years in which the permittee will undertake
required actions, including interim milestones
and the frequency of the action. This data element only applies to Phase II MS4s.
MS4 Measurable Goals Associated With Public Education
Program.
MS4 Public Involvement and
Participation Program.
MS4 Measurable Goals for the
Public Involvement and Participation Program.
MS4 Illicit Discharge Detection
and Elimination.
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MS4 Measurable Goals Associated With Illicit Discharge
Detection and Elimination
Program.
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NPDES data group No.
(see Table 1)
122.21(f),
1, 2.
122.26(d)(2)(iv)(A)(6),
(B)(5) and (6), and (D)(4);
122.28(b)(2)(ii),
122.34(b)(1), 122.34(d)(1)(i).
122.34(d)(1)(ii),
122.28(b)(2)(ii).
1, 2.
122.21(f), 122.26(d)(2)(iv),
1, 2.
122.28(b)(2)(ii),
122.34(b)(2), 122.34(d)(1)(i).
122.28(b)(2)(ii) 122.34(d)(1)(ii)
1, 2.
122.21(f), 122.26(d)(1)(iii)(B),
122.26(d)(2)(i)(B) and (C),
122.26(d)(2)(iv)(B),
122.28(b)(2)(ii),
122.34(b)(3)(ii)(A)–(D),
122.34(d)(1)(i).
1, 2.
122.34(d)(1)(ii) .......................
1, 2.
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TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued
Data description
CWA, regulatory (40 CFR), or
other citation
The one or more unique codes/descriptions that
identify how the permittee will comply with the
Construction Site Runoff Control requirements,
including (at a minimum): (1) status of the ordinance or other regulatory mechanism to require
erosion and sediment controls, including sanctions to ensure compliance; (2) status of requirements for construction site operators to implement appropriate erosion and sediment control BMPs and control waste at the construction
site that may cause adverse impacts to water
quality; (3) status of procedures for site plan review that incorporate consideration of potential
water quality impacts; (4) status of procedures
for receipt and consideration of information submitted by the public; and (5) status of procedures for site inspection and enforcement of
control measures.
The one or more unique codes/descriptions that
identify the measurable goals associated with
the construction program, including, as appropriate, the months and years in which the permittee will undertake required actions, including
interim milestones and the frequency of the action. This data element only applies to Phase II
MS4s.
The one or more unique codes/descriptions that
identify how the permittee will comply with the
Post-Construction Stormwater Management in
New Development and Redevelopment requirements, including (at a minimum): (1) Status of
ordinance or other regulatory mechanism to address post-construction runoff from new development and redevelopment projects; (2) how
the permittee plans to address stormwater runoff from new development and redevelopment
projects that disturb a minimum of greater than
or equal to one acre (including if the permittee
requires on-site retention of stormwater; and (3)
status of a plan to ensure adequate long-term
operation and maintenance of BMPs for controlling runoff from new development and redevelopment projects.
The one or more unique codes/descriptions that
identify the measurable goals associated with
the post-construction program, including, as appropriate, the months and years in which the
permittee will undertake required actions, including interim milestones and the frequency of
the action. This data element only applies to
Phase II MS4s.
The one or more unique codes/descriptions that
identify how the permittee will comply with the
Pollution Prevention/Good Housekeeping requirements.
122.21(f), 122.26(d)(2)(iv)(D),
122.28(b)(2)(ii),
122.34(b)(4)(ii),
122.34(d)(1)(i).
1, 2.
122.34(d)(1)(ii) .......................
1, 2.
Data name
MS4 Construction Site
Stormwater Runoff Control.
MS4 Measurable Goals Associated with the Construction
Site Stormwater Runoff Control Program.
MS4 Post-Construction
Stormwater Management In
New Development And Redevelopment.
MS4 Measurable Goals Associated with the Post-Construction: Stormwater Management Program.
MS4 Pollution Prevention/Good
Housekeeping for Municipal
Operations Program.
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MS4 Additional Measures ........
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The one or more unique codes/descriptions that
identify any other additional measures that are
required by the permit such as controls to be
consistent with the assumptions and requirements of any available wasteload allocation
prepared by a state and approved by EPA. This
data element is optional if there are no MS4 additional measures.
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NPDES data group No.
(see Table 1)
122.21(f),
1, 2.
122.26(d)(2)(iv)(A)(2),
122.28(b)(2)(ii),
122.34(b)(5), 122.34(d)(1)(i).
122.34(d)(1)(ii) .......................
1, 2.
122.21(f),
122.26(d)(2)(iv)(A)(1), (2)
and (3), 122.28(b)(2)(ii),
122.34(b)(6)(i),
122.34(d)(1)(i).
122.28(b)(2)(ii), 122.34(b),
122.34(d)
122.44(d)(1)(vii)(B).
1, 2.
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TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued
Data name
CWA, regulatory (40 CFR), or
other citation
Data description
NPDES data group No.
(see Table 1)
POTW Information on NPDES Permit Application or Notice of Intent
Name of Collection System .....
Owner Type of Collection System.
Collection System Identifier .....
Population of Collection System.
Percentage of Collection System That Is a Combined
Sewer System.
POTW Wastewater Treatment
Technology Level Description.
POTW Wastewater Disinfection
Technology.
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POTW Wastewater Treatment
Technology Unit Operations.
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This is the unique name of each collection system
that provides flow to the permittee. This includes unincorporated connector districts and
satellite collection systems, which are sanitary
sewers owned or operated by another entity
that conveys sewage or industrial wastewater to
this permittee. This data element applies to
POTWs.
The unique code/description that identifies the
ownership type for each unique collection system that provides flow to the permittee (e.g.,
municipality owned, privately owned). This includes unincorporated connector districts and
satellite collection systems. This data element
applies to POTWs.
This is the NPDES permit number (‘‘NPDES ID’’)
for each unique collection system that provides
flow to the permittee. If there is no NPDES permit number for the collection system this data
element will be a unique identifier for each collection system that provides flow to the permittee. This includes unincorporated connector
districts and satellite collection systems. This
data element applies to POTWs.
This is the estimated population for each unique
collection system that provides flow to the permittee. This includes unincorporated connector
districts and satellite collection systems. This
data element applies to POTWs.
For each unique collection system that provides
flow to the permittee, this is the estimated percentage of the collection system that is a combined sewer system. This includes unincorporated connector districts and satellite collection systems. This estimated percentage is calculated separately for each unique collection
system that provides flow to the permittee and
is based on the service population of each
unique collection system. This data element applies to POTWs.
This data element describes the level of wastewater treatment technology [e.g., raw discharge
(no treatment), primary treatment, secondary
wastewater treatment, advanced treatment]
used at the facility. This data element only applies to POTWs.
The one or more unique codes/descriptions that
describe the types of disinfection technology
that are used at the facility (e.g., chlorination,
ozonation, ultraviolet disinfection). This data
element will also use a code/description to
identify if this facility is using dechlorination,
which may be required if the facility uses
chlorination for disinfection. This data element
only applies to POTWs.
The one or more unique codes/descriptions that
describe the wastewater treatment technology
unit operations (e.g., grit removal, flow equalization, complete mix activated sludge secondary treatment, trickling filter, facultative lagoon, biological nitrification) used at the facility.
This data element is required for POTWs that
have a design flow capacity equal to or above
10 million gallons per day (MGD) and is optional for POTWs with a design flow capacity
below 10 MGD.
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122.1(b) and 122.21(j)(1)(iv),
122.28(b)(2)(ii).
1, 2.
122.1(b) and 122.21(j)(1)(iv),
122.28(b)(2)(ii).
1, 2.
122.1(b) and 122.21(j)(1)(iv),
122.28(b)(2)(ii).
1, 2.
122.1(b) and 122.21(j)(1)(iv),
122.28(b)(2)(ii).
1, 2.
122.1(b) and 122.21(j)(1)(iv)
and (vii), 122.28(b)(2)(ii).
1, 2.
122.21(j)(3)(iii),
122.28(b)(2)(ii) and CWA
section 516.
1, 2.
122.21(j)(3)(iii),
122.28(b)(2)(ii).
1, 2.
122.21(j)(2)(ii)(A),
122.28(b)(2)(ii) and CWA
section 516.
1, 2.
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TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued
Data name
CWA, regulatory (40 CFR), or
other citation
Data description
NPDES data group No.
(see Table 1)
Combined Sewer Overflow Information
[Note: All Phase II and post-Phase II combined sewer system NPDES permittees are required to complete and implement a long-term CSO
control plan (LTCP) as described in EPA’s Combined Sewer Overflow (CSO) Control Policy (19 April 1994; 59 Federal Register 18688–
18698). These data will be updated by the authorized NPDES program on a timely basis as changes occur with the combined sewer system
and the LTCP as well as with the POTW’s implementation and compliance with the LTCP.]
Long-Term CSO Control Plan
Permit Requirements and
Compliance.
This data element uses a unique code/description
that identifies whether the permit requires the
permit holder to complete and implement a
LTCP and whether the permit holder is in compliance with these permit requirements.
Nine Minimum CSO Controls
Developed.
This data element uses a unique code/description
to identify by number each of the nine minimum
control measures outlines in the CSO Control
Policy that the permit holder has implemented
in compliance with the applicable permit and/or
enforcement mechanism. These unique codes
are: (1) Proper operation and regular maintenance programs for the sewer system and the
CSOs; (2) Maximum use of the collection system for storage; (3) Review and modification of
pretreatment requirements to assure CSO impacts are minimized; (4) Maximization of flow to
the publicly owned treatment works for treatment; (5) Prohibition of CSOs during dry weather; (6) Control of solid and floatable materials in
CSOs; (7) Pollution prevention; (8) Public notification to ensure that the public receives adequate notification of CSO occurrences and CSO
impacts; and (9) Monitoring to effectively characterize CSO impacts and the efficacy of CSO
controls. For example, if the permit holder has
only developed the ‘‘Maximum use of the collection system for storage’’ minimum control
measure then the permitting authority will
record ‘‘2’’ for this data element. Likewise, if the
permit holder has developed all nine minimum
control measures then permitting authority will
record 1, 2, 3, 4, 5, 6, 7, 8, and 9 for this data
element.
This data element uses a unique code/description
to identify by number each of nine minimum
control measures outlined in the CSO Control
Policy that the permit holder has implemented
in compliance with the applicable permit and/or
enforcement mechanism. These unique codes
are: (1) Proper operation and regular maintenance programs for the sewer system and the
CSOs; (2) Maximum use of the collection system for storage; (3) Review and modification of
pretreatment requirements to assure CSO impacts are minimized; (4) Maximization of flow to
the publicly owned treatment works for treatment; (5) Prohibition of CSOs during dry weather; (6) Control of solid and floatable materials in
CSOs; (7) Pollution prevention; (8) Public notification to ensure that the public receives adequate notification of CSO occurrences and CSO
impacts; and (9) Monitoring to effectively characterize CSO impacts and the efficacy of CSO
controls. For example, if the permit holder has
only developed the ‘‘Maximum use of the collection system for storage’’ minimum control
measure then the permitting authority will
record ‘‘2’’ for this data element. Likewise, if the
permit holder has developed all nine minimum
control measures then permitting authority will
record 1, 2, 3, 4, 5, 6, 7, 8, and 9 for this data
element.
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Nine Minimum CSO Controls
Implemented.
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122.41(h), 122.43, 123.41(a)
and CWA section 402(q)(1),
Combined Sewer Overflow
(CSO) Control Policy (59
FR 18688–18698, 19 April
1994).
122.41(h), 122.43, 123.41(a)
and CWA section 402(q)(1),
Combined Sewer Overflow
(CSO) Control Policy (59
FR 18688–18698, 19 April
1994).
1.
122.41(h), 122.43, 123.41(a)
and CWA section 402(q)(1),
Combined Sewer Overflow
(CSO) Control Policy (59
FR 18688–18698, 19 April
1994).
1.
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TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued
Data description
CWA, regulatory (40 CFR), or
other citation
This data element uses a unique code/description
to identify whether the most recent version of
the LTCP was received and approved by the
permitting authority (e.g., most recent version of
the LTCP was submitted by permit holder and
was approved by the permitting authority, most
recent version of the LTCP was submitted by
permit holder but has not yet been approved by
permitting authority, permit holder is required to
submit a revised LTCP but the permitting authority has not yet received the revised LTCP
from the permit holder, permit holder has not
yet submitted a LTCP).
This data element identifies the date when the
permitting authority approved the most current
version of the LTCP. This data element will be
updated for each revision to the LTCP. The
date must be provided in YYYY–MM–DD format
where YYYY is the year, MM is the month, and
DD is the day.
This data element uses a unique code/description
to identify whether the permit holder is on an
enforceable schedule to complete all required
LTCP and CSO controls and the type of enforcement mechanism.
122.41(h), 122.43, 123.41(a)
and CWA section 402(q)(1),
Combined Sewer Overflow
(CSO) Control Policy (59
FR 18688–18698, 19 April
1994).
1.
122.41(h), 122.43, 123.41(a)
and CWA section 402(q)(1),
Combined Sewer Overflow
(CSO) Control Policy (59
FR 18688–18698, 19 April
1994).
1.
122.41(h), 122.43, 123.41(a)
and CWA section 402(q)(1),
Combined Sewer Overflow
(CSO) Control Policy (59
FR 18688–18698, 19 April
1994).
122.41(h), 122.43, 123.41(a)
and CWA section 402(q)(1),
Combined Sewer Overflow
(CSO) Control Policy (59
FR 18688–18698, 19 April
1994).
1.
122.41(h), 122.43, 123.41(a)
and CWA section 402(q)(1),
Combined Sewer Overflow
(CSO) Control Policy (59
FR 18688–18698, 19 April
1994).
122.41(h), 122.43, 123.41(a)
and CWA section 402(q)(1),
Combined Sewer Overflow
(CSO) Control Policy (59
FR 18688–18698, 19 April
1994).
1.
Data name
LTCP Submission and Approval Type.
LTCP Approval Date ................
Enforceable Mechanism and
Schedule to Complete LTCP
and CSO Controls.
Actual Date Completed LTCP
and CSO Controls.
Approved Post-Construction
Compliance Monitoring Program.
Other CSO Control Measures
with Compliance Schedule.
This data element identifies the date by which the
permit holder completed construction and implementation of all currently required LTCP and
CSO controls. This data element will be updated for each revision to the LTCP and CSO
controls. The date must be provided in YYYY–
MM–DD format where YYYY is the year, MM is
the month, and DD is the day.
This data element uses a unique code/description
to indicate whether the permit holder is currently implementing an approved post-construction compliance monitoring program.
This data element uses a unique code/description
to identify whether the permit holder has other
CSO control measures specified in a compliance schedule, beyond those identified in the
nine minimum controls, long-term CSO control
plan (LTCP), or a plan for sewer system separation.
NPDES data group No.
(see Table 1)
1.
1.
Pretreatment Information on NPDES Permit Application or Notice of Intent (this includes permit application data required for all new
and existing POTWs [40 CFR 122.21(j)(6)]
[Note: These data will be added or updated through the Annual Pretreatment Program Report, see 40 CFR 403.12(i), as needed. It is also important to note that the ‘Associated NPDES ID Number’ identifies the receiving POTW’s NPDES permit number for each industrial user.]
Pretreatment Program Required Indicator.
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Pretreatment Program Approval or Modification Date.
Pretreatment Program Modification Type.
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The unique code/description that describes
whether the permitted municipality is required to
develop or implement a pretreatment program
(in accordance with 40 CFR 403).
The date the pretreatment program was approved
or substantially modified. This data element can
be system generated by carrying forward the
most recent date (approval or modification).
The date must be provided in YYYY–MM–DD
format where YYYY is the year, MM is the
month, and DD is the day.
The unique code describing the type of substantial modification to a POTW Pretreatment Program, which includes the initial start of a
pretreatment program.
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122.28(b)(2)(ii), 122.44(j) .......
1.
122.28(b)(2)(ii), 403.8(a) and
(b), 403.11.
1.
122.28(b)(2)(ii), 403.8(a) and
(b), 403.11, 403.18.
1.
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TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued
CWA, regulatory (40 CFR), or
other citation
Data name
Data description
Industrial User Type .................
The unique code/description that identifies the
type of each industrial user discharging to a
POTW [e.g., Significant Industrial User (SIU),
Standard Categorical Industrial Users (CIU),
Non-Significant Categorical Industrial User
(NSCIU), and Middle Tier Categorical Industrial
User (MTCIU)]. This data element is at the permit or control mechanism level and is required
for each SIU, CIU, NSCIU, and MTCIU. This
data element also applies to SIUs and CIUs
that discharge non-domestic wastewater by
truck, rail, and dedicated pipe or other means
of transportation to one or more POTWs.
The unique code (e.g., ‘‘Yes’’, ‘‘No’’) that identifies
for each Significant Industrial User (SIU) or Categorical Industrial User (CIU) discharging to a
POTW (including non-domestic wastewater delivered by truck, rail, and dedicated pipe or
other means of transportation) whether the SIU
is subject to local limits.
The unique code (e.g., ‘‘Yes’’, ‘‘No’’) that identifies
for each Categorical Industrial User (CIU) discharging to a POTW (including non-domestic
wastewater delivered by truck, rail, and dedicated pipe or other means of transportation)
whether the CIU is subject to one or more local
limits that are more stringent than the applicable categorical standards.
This data element will identify for each Categorical Industrial User (CIU) discharging to a
POTW (including non-domestic wastewater delivered by truck, rail, and dedicated pipe or
other means of transportation) the applicable
categorical standard(s) by its 40 CFR part number (e.g., Metal Finishing—part 433, Electrical
and Electronic Components—Part 469). This
data element will track the one or more applicable categorical standards even when the CIU is
subject to one or more local limits that are more
stringent than the applicable categorical standards.
This data element will identify for each Significant
Industrial User (SIU) or Categorical Industrial
User (CIU) that is discharging to a POTW (including non-domestic wastewater delivered by
truck, rail, and dedicated pipe or other means
of transportation) the estimated maximum
monthly average wastewater flow rate (in gallons per day).
The unique code/description that identifies for
each Significant Industrial User (SIU) or Categorical Industrial User (CIU) whether it caused
or contributed to any problems (including upset,
bypass, interference, pass-through) at a POTW
within the past four and one-half calendar
years. EPA regulations require the Control Authority to develop and enforce local limits when
the discharge from an IU causes or contributes
to any problems (including upset, interference,
and bypass) at the receiving POTW’s effluent
discharge or biosolids/sewage sludge management. This data element also applies to SIUs
and CIUs that discharge non-domestic wastewater by truck, rail, and dedicated pipe or other
means of transportation to one or more POTWs.
The unique code/description that identifies whether a POTW has received RCRA hazardous
waste by truck, rail, or dedicated pipe within the
last three calendar years.
Significant Industrial User Subject to Local Limits.
Significant Industrial User Subject to Local Limits More
Stringent Than Categorical
Standards.
Applicable Categorical Standards.
Significant Industrial User
Wastewater Flow Rate.
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Industrial User Causing Problems at POTW.
Receiving RCRA Waste ...........
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NPDES data group No.
(see Table 1)
122.21(j)(6), 122.28(b)(2)(ii),
122.44(j), 403.12(i).
1, 2, 7.
122.21(j)(6), 122.28(b)(2)(ii),
122.44(j), 403.12(i).
1, 2, 7.
122.21(j)(6), 122.28(b)(2)(ii),
122.44(j), 403.12(i).
1, 2, 7.
122.21(j)(6), 122.28(b)(2)(ii),
122.44(j), 403.12(i).
1, 2, 7.
122.21(j)(6), 122.28(b)(2)(ii),
122.44(j).
1, 2.
122.21(j)(6), 122.28(b)(2)(ii),
122.44(j)(2)(ii), 403.5(c).
1, 2.
122.21(j)(7), 122.28(b)(2)(ii),
122.44(j).
1, 2.
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TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued
Data name
Data description
CWA, regulatory (40 CFR), or
other citation
Receiving Remediation Waste
The unique code/description that identifies whether the POTW has received RCRA or CERLCA
waste from off-site remedial activities within the
last three calendar years.
This data element identifies the one or more Control Authorities for each Significant Industrial
User (SIU) or Categorical Industrial User (CIU).
When the Control Authority is a POTW this
data element will use the POTW’s NPDES ID.
There will also be a unique identifier for each
state and EPA Region for SIUs and CIUs when
they are the Control Authority.
122.21(j)(7), 122.44(j) ............
1, 2.
122.28(b)(2)(ii), 122.44(j) .......
1, 2.
Control Authority Identifier .......
NPDES data group No.
(see Table 1)
Cooling Water Intake Information on NPDES Permit Application or Notice of Intent
Cooling Water Intake Applicable Subpart.
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Design Intake Flow for Cooling
Water Intake Structure(s).
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The unique code/description that identifies the
regulatory subpart the facility is subject to [e.g.,
1 = New Facility under 40 CFR part 125, subpart I, 2 = New Offshore Oil and Gas Facility
under 40 CFR part 125, subpart N, 3 = Existing
Facility under 40 CFR part 125, subpart J, 4 =
BPJ Facility under 40 CFR 125.80(c), 40 CFR
125.90(b), 40 CFR 125.130(c), or 40 CFR
401.14].
Design Intake Flow (DIF) means the value, in
units of million gallons per day (MGD), assigned to each cooling water intake structure
design that corresponds to the maximum instantaneous rate of flow of water the cooling
water intake system is capable of withdrawing
from a source waterbody. The facility’s DIF may
be adjusted to reflect permanent changes to the
maximum flow capability of the cooling water intake system to withdraw cooling water, including pumps permanently removed from service,
flow limit devices, and physical limitations of the
piping. DIF does not include values associated
with emergency and fire suppression capacity
or redundant pumps (i.e., back-up pumps). For
new facilities this is the design maximum flow
capacity of the cooling water intake structure.
See 40 CFR 125.83 and 125.92. This data element will be reported for each cooling water intake structure, which will have a ‘‘Permitted
Feature ID.’’ Specific monitoring protocols and
frequency of monitoring will be determined by
the Director.
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122.21(r), 122.28(b)(2)(ii),
subparts I, J, and N of 125,
401.14, and CWA section
316(b).
1, 2.
122.21(r), 122.28(b)(2)(ii),
125.80, 125.86, 125.90,
125.92, 125.95, 125.131,
125.136, 401.14, and CWA
section 316(b).
1, 2.
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TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued
Data name
Data description
CWA, regulatory (40 CFR), or
other citation
Actual Intake Flow for Cooling
Water Intake Structure(s).
This actual flow value, in units of MGD, is intended to represent on-the-ground intake flow
for each cooling water intake structure at the facility, as opposed to the DIF, which is based on
maximum design flow intake. For existing facility, Actual Intake Flow (AIF) means the average
flow rate of water withdrawn on an annual basis
by each cooling water intake structure over the
past three years. After October 14, 2019, AIF
means the average flow rate of water withdrawn on an annual basis by each cooling
water intake structure over the previous five
years. Actual intake flow is measured at a location within the cooling water intake structure
that the Director deems appropriate. The calculation of actual intake flow includes days of
zero flow. AIF does not include flows associated with emergency and fire suppression capacity. See 40 CFR 125.92. This data element
will be reported for each cooling water intake
structure, which will have a ‘‘Permitted Feature
ID.’’ Specific monitoring protocols and frequency of monitoring will be determined by the
Director.
The unique code/description that identifies the location and description for each cooling water intake structure [e.g., 1 = shoreline intake description (flushed, recessed), 2 = intake canal,
3 = embayment, bank, or cove, 4 = submerged
offshore intake, 5 = near-shore submerged intake, 6 = shoreline submerged intake, 7 = Offshore Velocity Cap (800 foot minimum distance
from shoreline), 8 = other]. Each cooling water
intake structure will have its own ‘‘Permitted
Feature ID’’.
This is the actual through-screen velocity (in feet/
second) of the water intake through the screen
for each cooling water intake structure at an existing facility. This is the measured average intake velocity as water passes through the structural components of a screen measured perpendicular to the screen mesh during normal
operations. See 40 CFR 125.94. This data element will be reported for each cooling water intake structure, which will have a ‘‘Permitted
Feature ID.’’ Specific monitoring protocols and
frequency of monitoring will be determined by
the Director.
The unique code/description that describes the
one or more source water for cooling purpose
for each cooling water intake structure [e.g., 1 =
Ocean, 2 = Estuary, 3 = Great Lake, 4 = Fresh
River, 5 = Lake/Reservoir, 6 = contract or arrangement with an independent supplier (or
multiple suppliers)]. Each cooling water intake
structure will have its own ‘‘Permitted Feature
ID’’.
122.21(r), 122.28(b)(2)(ii),
125.86,125.92(a), 125.95,
125.136, 401.14, and CWA
section 316(b).
1, 2.
122.21(r), 122.28(b)(2)(ii),
125.86, 125.95, 125.136,
401.14 and CWA section
316(b).
1, 2.
122.21(r), 122.28(b)(2),
125.86, 125.94, 125.95,
125.136, 401.14 and CWA
section 316(b).
1, 2.
122.21(r), 122.28(b)(2)(ii),
125.86, 125.95, 125.136,
401.14 and CWA section
316(b).
1, 2.
Location Type for Cooling
Water Intake Structure.
Actual Through-Screen Velocity
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Source Water for Cooling Purposes.
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NPDES data group No.
(see Table 1)
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TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued
CWA, regulatory (40 CFR), or
other citation
Data name
Data description
Cooling Water Intake Structure
Chosen Compliance Method.
The unique code/description to indicate the one or
more compliance method selected for each
cooling water intake structure based on EPA’s
CWA section 316(b) regulations or based on
BPJ. For new facilities for example, Track I,
Track II, alternative requirements, etc. For existing facilities, which of the 40 CFR 125.94(c)
compliance options were chosen and reported
as part of 40 CFR 122.21(r)(6), whether the facility has chosen to comply on an intake basis
or facility wide, or whether alternative requirements were requested. Facilities have the option to comply on a facility wide or on an intake
basis. Each cooling water intake structure will
have its own ‘‘Permitted Feature ID’’.
For new and existing facilities, a unique code/description that identifies whether there are Federally-listed threatened or endangered species (or
relevant taxa) that might be susceptible to impingement and entrainment at the facility’s cooling water intake structures. This unique code/
description will also identify whether designated
critical habitat is in the vicinity of facility’s cooling water intake structure.
Source Water Baseline Biological Characterization Data:
Threatened or Endangered
Status.
NPDES data group No.
(see Table 1)
122.21(r)(6), 122.28(b)(2)(ii),
125.84, 125.85, 125.94,
125.134, 125.135, 401.14
and CWA section 316(b).
1, 2.
122.21(r)(4), 122.28(b)(2),
125.86, 125.95, 125.136,
401.14 and CWA section
316(b).
1, 2.
CWA section 316(a) Thermal Variance Information on NPDES Permit Application or Notice of Intent
Thermal Variance Request
Type.
Public Notice of Section 316(a)
Requests.
Thermal Variance Granted
Date.
The unique code/description that describes the
thermal variance request submitted by the discharger (e.g., 1 = new request, 2 = renewal request).
This is the unique code that describes whether
the NPDES permitting authority included the information required under 40 CFR 124.57(a) in
the public notice regarding the CWA section
316(a) request.
This is the most recent date when the NPDES
permitting authority granted or renewed a CWA
section 316(a) variance for the controlling
NPDES permit. The date must be provided in
YYYY–MM–DD format where YYYY is the year,
MM is the month, and DD is the day.
125, subpart H and CWA section 316(a).
1.
124.57, 125, subpart H and
CWA section 316(a).
1.
122.28(b)(2)(ii), subpart H of
125 and CWA section
316(a).
1.
Compliance Monitoring Activity Information (General)
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Compliance Monitoring Identifier.
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The unique identifier for the compliance monitoring activity performed by the authorized
NPDES program and EPA (e.g., inspections).
This data element can be system generated.
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123.26, 123.41(a) and CWA
section 308.
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TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued
CWA, regulatory (40 CFR), or
other citation
NPDES data group No.
(see Table 1)
Data description
Permitted Feature Identifier
(Compliance Monitoring Activity).
The unique identifier for the permitted feature
number(s) entered by the user for the inspected
or monitored permitted feature(s). This data element will use the same number used by ‘Permitted Feature Identifier (Permit)’ data element
for each compliance monitoring activity permitted feature. This will provide a unique link
between each compliance monitoring activity
permitted feature and the corresponding
NPDES permitted feature. This data element
can be left blank if the compliance monitoring
activity does not involve a permitted feature.
For Sewer Overflow/Bypass Event Reports this
data element will identify the permitted feature(s), if any, for each Sewer Overflow/Bypass
Identifier. The POTW can leave this data element blank on the Sewer Overflow/Bypass
Event Report if the sewer overflows are caused
by an extreme weather event (e.g., hurricane)
that floods the entire sewer system and are too
numerous to count. This data element applies
to compliance monitoring activities performed
by the authorized NPDES program and EPA
(e.g., inspections) as well as compliance monitoring reports submitted by the NPDES regulated entity (e.g., DMRs, program reports).
122.34(g)(3), 122.41(l)(4)(i),
122.41(l)(6) and (7),
122.41(m)(3), 123.26,
123.41(a), 122.42(c),
403.12(e), 403.12(h) and
CWA section 308.
1, 3, 4, 6, 8, and 9.
Electronic Submission Type
(Compliance Monitoring Activity).
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Data name
This is the unique code/description for each report
submitted by the NPDES regulated entity. Report submissions covered by the data element
are listed in Table 1 in this appendix (i.e.,
NPDES Data Groups 3 through 10). This data
element describes how each submission was
electronically collected or processed by the initial recipient [see § 127.2(b)]. For example,
these unique codes/descriptions include: (1)
NPDES regulated entity submits NPDES program data using an EPA electronic reporting
system; (2) NPDES regulated entity submits
NPDES program data using an authorized
NPDES program electronic reporting system;
(3) NPDES regulated entity has temporary
waiver from electronic reporting and submits
NPDES program data on paper to the authorized NPDES program who then electronically
uses manual data entry to electronically process these data; (4) NPDES regulated entity has
a permanent waiver from electronic reporting
and submits NPDES program data on paper to
the authorized NPDES program who then electronically uses manual data entry to electronically process these data; (5) NPDES regulated
entity has an episodic waiver from electronic reporting and submits NPDES program data on
paper to the authorized NPDES program who
then electronically uses manual data entry to
electronically process these data; (6) NPDES
regulated entity submits NPDES program data
on paper in a form that allows the authorized
NPDES program to use of automatic identification and data capture technology to electronically process these data; (7) NPDES regulated
entity submits NPDES program data using another electronic reporting system (e.g., thirdparty). This data element can sometimes be
system generated (e.g., incorporated into an
electronic reporting tool). This data element
does not identify the electronic submission type
123.26, 123.41(a) and CWA
section 308.
1.
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TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued
Data name
CWA, regulatory (40 CFR), or
other citation
Data description
NPDES data group No.
(see Table 1)
of general permit reports (NPDES Data Group
=2 in Table 1), which is tracked by the ‘‘Electronic Submission Type (General Permit Reports)’’ data element. This data element applies
to information submitted by NPDES regulated
entities and does not apply to compliance monitoring information generated by authorized
NPDES programs and EPA (e.g., inspection
data).
Compliance Monitoring Activity Information (General Data Generated from Authorized NPDES Programs and EPA)
Compliance Monitoring Activity
Actual End Date.
Compliance Monitoring Activity
Compliance Monitoring Type ...
Biomonitoring Test Type ..........
Compliance Monitoring Action
Reason.
Was this a State, Federal or
Joint (State/Federal) Inspection?
Programs Evaluated .................
The actual date on which the compliance monitoring activity ended. For example, the date of
an authorized NPDES program inspection of a
facility can be used for this data element. The
date must be provided in YYYY–MM–DD format
where YYYY is the year, MM is the month, and
DD is the day.
The unique code/description that identifies each
compliance monitoring activity taken by the authorized NPDES program (e.g., inspection, investigation, information request, offsite records
review).
The unique code/description that identifies each
compliance monitoring activity type taken by a
regulatory Agency (e.g., audit, biomonitoring,
case development, diagnostic, evaluation, reconnaissance with sampling, reconnaissance
without sampling, sampling).
The unique code/description that identifies the
type of biomonitoring inspection method (e.g.,
acute, chronic, or flow through) and sample
type (e.g., grab, composite). This data element
supplements the Compliance Monitoring Type
data element. This data element only applies to
compliance monitoring activities that involve
biomonitoring.
The unique code/description that identifies the
reason for the initiation of the compliance monitoring activity (e.g., Agency Priority, Citizen
Complaint/Tip, Core Program).
This data element identifies if the inspection is a
joint inspection by federal, state, tribal, or territorial personnel. Only one value for this data
element may be used for each compliance
monitoring activity [e.g., State, Federal, Joint
(State/Federal)].
The unique code/description for the one or more
programs evaluated or related to the compliance monitoring activity (e.g., NPDES Base
Program,
Biosolids/Sewage
Sludge,
Pretreatment, and MS4).
123.26, 123.41(a) and CWA
section 308.
1.
123.26, 123.41(a) and CWA
section 308.
1.
123.26, 123.41(a) and CWA
section 308.
1.
123.26, 123.41(a) and CWA
section 308.
1.
123.26, 123.41(a) and CWA
section 308.
1.
123.26, 123.41(a) and CWA
section 308.
1.
123.26, 123.41(a) and CWA
section 308.
1.
Compliance Monitoring Activity Information (Program Data Generated from Authorized NPDES Programs and EPA)
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Deficiencies Identified Through
the Biosolids/Sewage Sludge
Compliance Monitoring.
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This is the unique code/description that that identifies each deficiency in the facility’s biosolids
and sewage sludge program (40 CFR part 503)
for each compliance monitoring activity (e.g., inspections, audits) by the regulatory authority.
This data element includes unique codes to
identify when the facility failed to comply with
any applicable permit requirements or enforcement actions. The values for this data element
will distinguish between noncompliance and significant noncompliance (SNC).
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123.26, 123.41(a), 123.45
and CWA section 308.
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TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued
CWA, regulatory (40 CFR), or
other citation
Data name
Data description
Deficiencies Identified Through
the MS4 Compliance Monitoring.
This is the unique code/description that that identifies each deficiency in the MS4’s program to
control stormwater pollution for each compliance monitoring activity (e.g., inspections, audits) by the regulatory authority. This data element includes unique codes to identify when
the MS4 failed to comply with any applicable
permit requirements or enforcement actions.
The values for this data element will distinguish
between noncompliance and significant noncompliance (SNC).
This is the unique code/description that that identifies each deficiency in the POTW’s authorized
pretreatment program for each pretreatment
compliance monitoring activity (e.g., inspections, audits) by the regulatory authority. The
values for this data element will distinguish between noncompliance and significant noncompliance (SNC). These unique codes include: (1) Failure to enforce against pass
through and/or interference; (2) failure to submit
required reports within 30 days; (3) failure to
meet compliance schedule milestones within 90
days; (4) failure to issue/reissue control mechanisms to 90% of SIUs within 6 months; (5) failure to inspect or sample 80% of SIUs within the
past 12 months; and (6) failure to enforce
standards and reporting requirements.
This is the unique code/description that that identifies each deficiency in the POTW’s control of
combined sewer overflows, sanitary sewer
overflows, or bypass events for each compliance monitoring activity (e.g., inspections, audits) by the regulatory authority. This data element includes unique codes to identify when a
POTW has failed to provide 24-hour notification
to the NPDES permitting authority or failed to
submit the Sewer Overflow/Bypass Event Report within the required 5-day period. This data
element also includes unique codes to identify
when the POTW failed to comply with any applicable long-term CSO control plan, permit requirements, or enforcement actions. The values
for data element will distinguish between noncompliance and significant noncompliance
(SNC).
Deficiencies Identified Through
the Pretreatment Compliance
Monitoring.
Deficiencies Identified Through
the Sewer Overflow/Bypass
Compliance Monitoring.
NPDES data group No.
(see Table 1)
123.26, 123.41(a), 123.45
and CWA section 308.
1.
123.26, 123.41(a), 123.45,
403.10, and CWA section
308.
1.
122.41(h), 122.41(l)(6) and
(7), 122.43, 123.26,
123.41(a), and CWA sections 308 and 402(q)(1).
1.
Compliance Monitoring Activity Information (AFO/CAFO Program Data Generated from Authorized NPDES Programs and EPA)
Animal Types (Inspection) .......
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Animal Numbers in Open Confinement (Inspection).
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The unique code/description that identifies the
animal type(s) at the facility at the time of inspection (e.g., beef cattle, broilers, layers,
swine weighing 55 pounds or more, swine
weighing less than 55 pounds, mature dairy
cows, dairy heifers, veal calves, sheep and
lambs, horses, ducks, turkeys, other).
The number of each type of animal in open confinement or housed under roof (either partially
or totally) which are held at the facility at the
time of inspection.
The number of each type of animal in open confinement which are held at the facility at the
time of inspection.
The one or more types of containment and storage (e.g., anaerobic lagoon, roofed storage
shed, storage ponds, underfloor pits, above
ground storage tanks, below ground storage
tanks, concrete pad, impervious soil pad, other)
at the facility at the time of inspection.
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122.23, 123.26, 123.41(a),
and CWA section 308.
1.
122.23, 123.26, 123.41(a)
and CWA section 308.
1.
122.23, 123.26, 123.41(a)
and CWA section 308.
1.
122.23, 123.26, 123.41(a)
and CWA section 308.
1.
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TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued
CWA, regulatory (40 CFR), or
other citation
Data name
Data description
MLPW Containment and Storage Type Within Design Capacity (Inspection).
The one or more unique codes/descriptions that
identifies whether or not the facility is operating
within the design capacity for each type of containment and storage used by the facility for
MLPW at the time of inspection.
A unique code (e.g., ‘‘Yes’’, ‘‘No’’) that indicates
whether there evidence of unauthorized discharge(s) of pollutants from the facility’s production area and/or land application area(s) to
a water of the U.S.
The unique code/description that identifies whether or not the facility is properly implementing its
NPDES permit requirements, including the applicable Nutrient Management Plan (NMP) or
other nutrient management planning, at the
time of inspection.
AFO/CAFO Unauthorized Discharges (Inspection).
Permit Requirements Implementation (Inspection).
NPDES data group No.
(see Table 1)
122.23, 123.26, 123.41(a)
and CWA section 308.
1.
122.23, 123.26, 123.41(a)
and CWA section 308.
1.
122.23, 123.26, 123.41(a)
and CWA section 308.
1.
Compliance Monitoring Activity Information (Discharge Monitoring Report, and Pretreatment Periodic Compliance Reports for Significant Industrial Users (SIUs) and Categorical Industrial Users (CIUs) when EPA or the State is the Control Authority) [Note: Authorized NPDES programs will identify in the applicable NPDES permits will identify whether MS4 regulated entities are required to
submit DMRs.]
Limit Set Designator (Compliance Monitoring Activity).
Parameter Code (Compliance
Monitoring Activity).
Monitoring Location Code
(Compliance Monitoring Activity).
Limit Season Number (Compliance Monitoring Activity).
Monitoring Period End Date
(Compliance Monitoring Activity).
No Data Indicator (NODI)
(Compliance Monitoring Activity).
Value (Compliance Monitoring
Activity).
Quantity or Concentration Units
(Compliance Monitoring Activity).
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Value Received Date (Compliance Monitoring Activity).
Value Type (Compliance Monitoring Activity).
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The unique identifier tying the compliance monitoring activity (e.g., DMR submission) to the
corresponding Limit Set record.
The unique code/description identifying the parameter reported on the compliance monitoring
activity (e.g., DMR submission).
The unique code/description that identifies the
monitoring location at which the sampling occurred for a compliance monitoring activity parameter (e.g., DMR submission).
The unique identifier tying the compliance monitoring activity (e.g., DMR submission) to the
Limit Season Number of the corresponding
limit. This data element is necessary as a parameter can have different seasonal limits within a single limit start and end date.
The monitoring period end date for the values
covered by the compliance monitoring activity
(e.g., DMR submission). The date must be provided in YYYY–MM–DD format where YYYY is
the year, MM is the month, and DD is the day.
The unique code/description that indicates the
reason that ‘‘No Discharge’’ or ‘‘No Data’’ was
reported on the compliance monitoring activity
(e.g., DMR submission) (e.g., B = Below Detection Limit, C = No Discharge).
The number value reported on the compliance
monitoring activity (e.g., DMR form).
The unique code/description that identifies the
one or more units of measure that are applicable to quantity or concentration limits and
measurements as entered on the compliance
monitoring activity (e.g., DMR submission). This
field is optional if the units are the same as the
limit units.
The date the compliance monitoring value was received by the regulatory authority (e.g., DMR
submission). The date must be provided in
YYYY–MM–DD format where YYYY is the year,
MM is the month, and DD is the day.
The unique code/description identifying a value
type (e.g., Quantity 1, Quantity 2, Concentration
1, Concentration 2, Concentration 3) on a compliance monitoring activity (e.g., DMR submission).
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122.41(l)(4)(i), 123.26,
123.41(a), 403.12(e),
403.12(h).
122.41(l)(4)(i), 123.26,
123.41(a), 403.12(e),
403.12(h).
122.41(l)(4)(i), 123.26,
123.41(a), 403.12(e),
403.12(h).
3, 6, 8.
122.41(l)(4)(i), 123.26,
123.41(a), 403.12(e),
403.12(h).
3, 6, 8.
122.41(l)(4)(i), 123.26,
123.41(a), 403.12(e),
403.12(h).
3, 6, 8.
122.41(l)(4)(i), 123.26,
123.41(a), 403.12(e),
403.12(h).
3, 6, 8.
122.41(l)(4)(i), 123.26,
123.41(a), 403.12(e),
403.12(h).
122.41(l)(4)(i), 123.26,
123.41(a), 403.12(e),
403.12(h).
3, 6, 8.
122.41(l)(4)(i), 123.26,
123.41(a), 403.12(e),
403.12(h).
1.
122.41(l)(4)(i), 123.26,
123.41(a), 403.12(e),
403.12(h).
3, 6, 8.
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3, 6, 8.
3, 6, 8.
3, 6, 8.
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64139
TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued
Data name
Value Qualifier (Compliance
Monitoring Activity).
CWA, regulatory (40 CFR), or
other citation
Data description
The unique code identifying the qualifier for the
reported value (e.g., ‘‘<’’, ‘‘=’’, ‘‘>’’) on a compliance monitoring activity (e.g., DMR submission). This field is optional if the qualifier is ‘‘=’’.
122.41(l)(4)(i), 123.26,
123.41(a), 403.12(e),
403.12(h).
NPDES data group No.
(see Table 1)
3, 6, 8.
Compliance Monitoring Activity Information (Periodic Program Reports)
Program Report Received Date
Program Report Event ID ........
Start Date of Reporting Period
(Program Report).
End Date of Reporting Period
(Program Report).
NPDES Data Group Number
(Program Report).
The date the program report was received. The
date must be provided in YYYY–MM–DD format
where YYYY is the year, MM is the month, and
DD is the day.
The unique identifier for each program report submission. This will provide for unique tracking of
program report submissions. This data element
can be system generated.
The start date of the reporting period for the program report. The date must be provided in
YYYY–MM–DD format where YYYY is the year,
MM is the month, and DD is the day. For the
Sewer Overflow/Bypass Event Report this is the
start or best estimate of the start date for each
Sewer Overflow/Bypass Identifier.
The end date of the reporting period for the program report. The date must be provided in
YYYY–MM–DD format where YYYY is the year,
MM is the month, and DD is the day. For the
Sewer Overflow/Bypass Event Report this is the
end or best estimate of the end date for each
Sewer Overflow/Bypass Identifier.
This data element identifies the NPDES Data
Group for each program report submission.
This corresponds to Table 1 in this appendix
{e.g., 7 = Pretreatment Program Reports [40
CFR 403.12(i)]}.This data element also applies
to Significant Industrial User Compliance Reports in Municipalities Without Approved
Pretreatment Programs [40 CFR 403.12(e) and
(h)], which is NPDES Data Group Number 8
(Table 1 in this appendix). This can be a system generated data element.
These are data elements that
are common to reports required in parts 122, 123,
403, and 503.
These are data elements that
are common to reports required in parts 122, 123,
403, and 503.
These are data elements that
are common to reports required in parts 122, 123,
403, and 503.
1.
These are data elements that
are common to reports required in parts 122, 123,
403, and 503.
4, 5, 6, 7, 9, 10.
These are data elements that
are common to reports required in parts 122, 123,
403, and 503.
4 through 10.
1.
4, 5, 6, 7, 9, 10.
Compliance Monitoring Activity Information (Data Elements Specific to Sewage Sludge/Biosolids Annual Program Reports)
Biosolids or Sewage Sludge
Treatment Processes.
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Biosolids or Sewage Sludge
Analytical Methods.
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The one or more unique codes/descriptions that
identify the biosolids or sewage sludge treatment process or processes at the facility. For
example, this data element uses codes to identify treatment processes in the following categories: preliminary operations (e.g., sludge
grinding and degritting), thickening (concentration), stabilization, anaerobic digestion, aerobic
digestion, composting, conditioning, disinfection
(e.g., beta ray irradiation, gamma ray irradiation, pasteurization), dewatering (e.g., centrifugation, sludge drying beds, sludge lagoons),
heat drying, thermal reduction, and methane or
biogas capture and recovery.
The one or more unique codes/descriptions that
identify each of the analytic methods used by
the facility to analyze enteric viruses, fecal coliforms, helminth ova, Salmonella sp., and other
regulated parameters. For example, EPA requires facilities to monitor for the certain parameters, which are listed in Tables 1, 2, 3, and 4
at 40 CFR 503. 13 and Tables 1 and 2 at 40
CFR 503.23. This data element stores each
analytic methods used by the facility only once
for each annual report (not for each parameter
measurement).
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503.18, 503.28, 503.48 ..........
4.
503.8(b), 503.18, 503.28,
503.48.
4.
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TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued
Data description
CWA, regulatory (40 CFR), or
other citation
The one or more unique codes/descriptions that
identify the nature of each biosolids and sewage sludge material generated by the facility in
terms of whether the material is a biosolid or
sewage sludge and whether the material is ultimately conveyed off-site in bulk or in bags. The
facility will separately report the form for each
biosolids or sewage sludge management practice or practices used by the facility and pathogen class.
The one or more unique codes/descriptions that
identify the type of biosolids or sewage sludge
management practice or practices (e.g., land
application, surface disposal, incineration) used
by the facility. The facility will separately report
the management practice for each biosolids or
sewage sludge form and pathogen class. This
data element will also identify the management
practices used by surface disposal site owners/
operators (see 40 CFR 503.24).
The one or more unique codes/descriptions that
identify the pathogen class or classes [e.g.,
Class A, Class B, Not Applicable (Incineration)]
for biosolids or sewage sludge generated by
the facility. The facility will separately report the
pathogen class for each biosolids or sewage
sludge management practice used by the facility and by each biosolids or sewage sludge
form.
This is the amount (in dry metric tons) of biosolids
or sewage sludge applied to the land, prepared
for sale or give-away in a bag or other container for application to the land, or placed on
an active sewage sludge unit. This identification
will be made for each biosolids or sewage
sludge management practice used by the facility and by each biosolids or sewage sludge
form as well as by each biosolids or sewage
sludge pathogen class.
The one or more unique codes/descriptions that
identify the options used by the facility to control pathogens (e.g., Class A—Alternative 1,
Class A—Alternative 2, Class A—Alternative 3,
Class A—Alternative 4, Class A—Alternative 5,
Class A—Alternative 6, Class B—Alternative 1,
Class B—Alternative 2, Class B—Alternative 3,
or pH Adjustment (Domestic Septage). The facility will separately report the pathogen reduction options for each biosolids or sewage
sludge management practice used by the facility and by each biosolids or sewage sludge
form as well as by each biosolids or sewage
sludge pathogen class.
The one or more unique codes/descriptions that
identify the options used by the facility for vector attraction reduction. See a listing of these
vector attraction reduction options at 40 CFR
503.33(b)(1) through (11). The facility will separately report the vector attraction reduction options for each biosolids or sewage sludge management practice used by the facility and by
each biosolids or sewage sludge form as well
as by each biosolids or sewage sludge pathogen class.
503.18, 503.28, 503.48 ..........
4.
503.18, 503.28, 503.48 ..........
4.
503.18, 503.28, 503.48 ..........
4.
503.18, 503.28, 503.48 ..........
4.
503.18, 503.28, 503.48 ..........
4.
503.18, 503.28, 503.48 ..........
4.
Data name
Biosolids or Sewage Sludge
Form.
Biosolids or Sewage Sludge
Management Practice.
Biosolids or Sewage Sludge
Pathogen Class.
Biosolids or Sewage Sludge
Amount (Program Report).
Biosolids or Sewage Sludge
Pathogen Reduction Options.
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Biosolids or Sewage Sludge
Vector Attraction Reduction
Options.
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NPDES data group No.
(see Table 1)
Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations
64141
TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued
Data description
CWA, regulatory (40 CFR), or
other citation
This is the biosolids or sewage sludge parameter
that is monitored by the facility. If there is more
than one class, then the facility will separately
report each monitored parameter for each biosolids or sewage sludge management practice
used by the facility and by each biosolids or
sewage sludge form. EPA requires facilities to
monitor for the certain parameters, which are
listed in Tables 1, 2, 3, and 4 at 40 CFR 503.
13 and Tables 1 and 2 at 40 CFR 503.23,
pathogens (e.g., fecal coliform, Salmonella sp.,
enteric viruses, helminth ova), and vector attraction reduction parameters (e.g., specific oxygen uptake rate, and total, fixed, and volatile
solids).
This is the value of the Biosolids or Sewage
Sludge Monitored Parameter.
This is the measurement unit (e.g., mg/kg) associated with the Biosolids or Sewage Sludge Monitored Parameter Value.
This is the end date of the monthly monitoring period for the biosolids or sewage sludge sampling (e.g., 1/31/2015 for biosolids or sewage
sludge monitoring data in January 2015). This
data element is used to track the frequency of
biosolids or sewage sludge monitoring in the reporting period (e.g., annual, quarterly, bi-monthly, or monthly). For example, see Table 1 of 40
CFR 503.16 (Land Application), Table 1 of 40
CFR 503.26 (Surface Disposal).
This data element is applicable to facilities that
use an active surface disposal sites (e.g.,
monofills, surface impoundments, lagoons,
waste piles, dedicated disposal sites, and dedicated beneficial use sites) without a liner. This
data element identifies the maximum allowable
pollutant concentration for each of the three
pollutants: Arsenic, chromium, and nickel (in
units of mg/kg). This data element will use Tables 1 and 2 of 40 CFR 503.23 or the procedures identified in 40 CFR 503.23(b).
This data element is applicable to facilities that
use land application and/or an active surface
disposal site (e.g., monofills, surface impoundments, lagoons, waste piles, dedicated disposal
sites, and dedicated beneficial use sites). This
data element uses one or more unique codes/
descriptions to identify all deficiencies in the
biosolids or sewage sludge program within the
reporting period. For example, this data element uses a unique code/description to identify
when a biosolids or sewage sludge pollutant
concentration exceed a ceiling concentration
(e.g., Table 1 of 40 CFR 503.13 for facilities utilizing land application). This data element also
uses a unique code/description to identify when
the facility failed to properly collect and analyze
its biosolids or sewage sludge in accordance
with the approved analytical methods (including
appropriate method holding times). This data
element also uses a unique code/description to
identify deficiencies with pathogen reduction
and/or vector attraction reduction. For facilities
that use an active surface disposal site this
data element will use a unique code/description
to identify any deficiencies in meeting the applicable surface disposal requirements [see 40
CFR 503.24(a) through (n)].
503.18, 503.28, 503.48 ..........
4.
503.18, 503.28, 503.48 ..........
4.
503.18, 503.28, 503.48 ..........
4.
503.18, 503.28, 503.48 ..........
4.
503.23, 503.28 .......................
4.
503.18, 503.28 .......................
4.
Data name
Biosolids or Sewage Sludge
Monitored Parameter.
Biosolids or Sewage Sludge
Monitored Parameter Value.
Biosolids or Sewage Sludge
Monitored Parameter Units.
Biosolids or Sewage Sludge
Monitored Parameter End
Date.
Biosolids or Sewage Sludge—
Surface Disposal Maximum
Allowable Pollutant Concentration.
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Biosolids or Sewage Sludge—
Land Application or Surface
Disposal Deficiencies.
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NPDES data group No.
(see Table 1)
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TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued
Data name
CWA, regulatory (40 CFR), or
other citation
Data description
NPDES data group No.
(see Table 1)
Compliance Monitoring Activity Information (Data Elements Specific to CAFO Annual Program Reports)
CAFO Animal Types (Program
Report).
CAFO Animal Maximum Number (Program Report).
CAFO Animal Maximum Number in Open Confinement
(Program Report).
CAFO MLPW (Program Report).
CAFO MLPW Amounts (Program Report).
CAFO MLPW Amounts Units
(Program Report).
CAFO MLPW Transferred (Program Report).
Total Number of Acres for
Land Application Covered by
the Nutrient Management
Plan (Program Report).
Total Number of Acres Used
for Land Application (Program Report).
Discharge Type (Program Report).
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Discovery Dates of Discharges
from Production Area (Program Report).
Duration of Discharges from
Production Area (Program
Report).
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The unique code/description that identifies the
permittee’s applicable animal sector(s) in the
previous 12 months. This includes (but not limited to) beef cattle, broilers, layers, swine
weighing 55 pounds or more, swine weighing
less than 55 pounds, mature dairy cows, dairy
heifers, veal calves, sheep and lambs, horses,
ducks, and turkeys.
The estimated maximum number of each type of
animal in open confinement or housed under
roof (either partially or totally) which are held at
the facility for a total of 45 days or more in the
previous 12 months.
The estimated maximum number of each type of
animal in open confinement which are held at
the facility for a total of 45 days or more in the
previous 12 months.
The unique code/description that identifies the
type of CAFO manure, litter, and process
wastewater generated by the facility i.e. in the
previous 12 months.
The estimated total amount of CAFO manure, litter, and process wastewater generated by the
facility in the previous 12 months.
The unit (e.g., tons, gallons) for the estimated
total amount of CAFO manure, litter, and process wastewater generated by the facility i.e.in
the previous 12 months.
The estimated total amount of CAFO manure, litter, and process wastewater generated by the
facility i.e. in the previous 12 months that is
transferred to other persons. The units for this
data element will be the same as the units for
the ‘‘CAFO MLPW Amounts (Program Report)’’
data element.
Total number of acres for land application covered by the current nutrient management plan.
122.42(e)(4)(i) ........................
5.
122.42(e)(4)(i) ........................
5.
122.42(e)(4)(i) ........................
5.
122.42(e)(4)(ii) .......................
5.
122.42(e)(4)(ii) .......................
5.
122.42(e)(4)(ii) .......................
5.
122.42(e)(4)(iii) ......................
5.
122.42(e)(4)(iv) ......................
5.
The total number of acres under control of the
CAFO and used for land application in the previous 12 months.
The unique code/description that identifies for
each discharge from the permittee’s production
area in the previous 12 month whether a 25year, 24-hour rainfall event was the cause for
the discharge. These data are optional if permittee uses a Discharge Monitoring Report
(DMR) to provide the permitting authority with
information on their discharges.
The date of each discharge from the permittee’s
production area in the previous 12 months. The
date must be provided in YYYY–MM–DD format
where YYYY is the year, MM is the month, and
DD is the day. These data are optional if permittee uses a Discharge Monitoring Report
(DMR) to provide the permitting authority with
information on their discharges.
The estimated duration time (in hours) of each
discharge from the permittee’s production area
in the previous 12 months. These data are optional if permittee uses a Discharge Monitoring
Report (DMR) to provide the permitting authority with information on their discharges.
122.42(e)(4)(v) .......................
5.
122.42(e)(4)(vi), 412 ..............
5.
122.42(e)(4)(vi) ......................
5.
122.42(e)(4)(vi) ......................
5.
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TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued
Data name
Data description
CWA, regulatory (40 CFR), or
other citation
Approximate Volume of Discharge from Production Area
(Program Report).
The approximate volume (in gallons) of each discharge from the permittee’s production area in
the previous 12 months. These data are optional if permittee uses a Discharge Monitoring
Report (DMR) to provide the permitting authority with information on their discharges.
The unique code/description that identifies whether the current version of the NMP was approved or developed by a certified nutrient
management planner.
The nitrogen content of CAFO manure, litter, and
process wastewater used or generated by the
facility i.e. in the previous 12 months.
The phosphorus content of CAFO manure, litter,
and process wastewater used or generated by
the facility i.e. in the previous 12 months.
The unit(s) (e.g., lbs/tons, lbs/1,000-gallons) for
the nitrogen and phosphorus content of CAFO
manure, litter, and process wastewater used or
generated by the facility i.e. in the previous 12
months.
The form (e.g., total nitrogen, ammonium-nitrogen, total phosphorus) for the nitrogen and
phosphorus content of CAFO manure, litter,
and process wastewater used or generated by
the facility i.e.in the previous 12 months.
A unique field number to which CAFO MLPW was
applied in the previous 12 months. This data
element will be used when the term ‘‘for each
field’’ is used in the CAFO Annual Program Report.
Actual crop(s) planted for each field ......................
122.42(e)(4)(vi) ......................
5.
122.42(e)(4)(vii) .....................
5.
122.42(e)(4)(viii) .....................
5.
122.42(e)(4)(viii) .....................
5.
122.42(e)(4)(viii) .....................
5.
122.42(e)(4)(viii) .....................
5.
122.42(e)(4)(viii) .....................
5.
122.42(e)(4)(viii) .....................
5.
Actual crop yield(s) for each field ..........................
122.42(e)(4)(viii) .....................
5.
The unit(s) for the actual crop yield(s) for each
field (e.g., bushels per acre).
The unique code/description that identifies whether the CAFO used the Linear Approach [40
CFR 122.42(e)(5)(i)] or the Narrative Rate Approach [40 CFR 122.42(e)(5)(ii)].
The unique code/description that identifies for
each field the type of CAFO manure, litter, and
process wastewater i.e. in the previous 12
months and used for land application.
The maximum amount of CAFO manure, litter,
and process wastewater for each field in the
previous 12 months and used for land application. The maximum amounts of CAFO manure,
litter, and process wastewater is calculated in
accordance with procedures in the Linear Approach [40 CFR 122.42(e)(5)(i)(B)] or the Narrative
Rate
Approach
[40
CFR
122.42(e)(5)(ii)(D)].
The actual amount of CAFO manure, litter, and
process wastewater for each field in the previous 12 months and used for land application.
The unit (e.g., tons, gallons) for the maximum and
actual amount of CAFO manure, litter, and
process wastewater for each field in the previous 12 months and used for land application.
For each field used for land application, the results of the most recent soil nitrogen analysis
for any soil test taken in the preceding 12
months (i.e., amount of nitrogen in the soil).
This data element is only applicable to facilities
using the Narrative Rate Approach as described in 40 CFR 122.42(e)(5)(ii).
122.42(e)(4)(viii) .....................
5.
122.42(e)(4)(viii) .....................
5.
122.42(e)(4)(viii) .....................
5.
122.42(e)(4)(viii) .....................
5.
122.42(e)(4)(viii) .....................
5.
122.42(e)(4)(viii) .....................
5.
122.42(e)(4)(viii) .....................
5.
Whether NMP Approved or Developed by Certified Planner
(Program Report).
CAFO MLPW Nitrogen Content
(Program Report).
CAFO MLPW Phosphorus
Content (Program Report).
CAFO MLPW Nitrogen or
Phosphorus Units (Program
Report).
CAFO MLPW Nitrogen or
Phosphorus Form (Program
Report).
Field Identification Number
(Program Report).
Actual Crop(s) Planted for
Each Field (Program Report).
Actual Crop Yield(s) for Each
Field (Program Report).
Actual Crop Yield(s) for Each
Field Units (Program Report).
Method for Calculating Maximum Amounts of Manure,
Litter, and Process Wastewater (Program Report).
CAFO MLPW Land Application
For Each Field (Program Report).
CAFO MLPW Land Application
Maximum Amount For Each
Field (Program Report).
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CAFO MLPW Land Application
Actual Amount For Each
Field (Program Report).
CAFO MLPW Land Application
For Each Field Unit (Program Report).
Nitrogen Soil Test Measurement (Narrative Rate Approach) (Program Report).
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NPDES data group No.
(see Table 1)
64144
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TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued
Data name
Data description
CWA, regulatory (40 CFR), or
other citation
Phosphorus Soil Test Measurement (Narrative Rate Approach) (Program Report).
For each field used for land application, the results of the most recent soil phosphorus analysis for any soil test taken in the preceding 12
months (i.e., amount of phosphorus in the soil).
This data element is only applicable to facilities
using the Narrative Rate Approach as described in 40 CFR 122.42(e)(5)(ii).
The form (e.g., total nitrogen, ammonium-nitrogen, total phosphorus) for each soil test measurement. This data element is only applicable to
facilities using the Narrative Rate Approach as
described in 40 CFR 122.42(e)(5)(ii).
The unit(s) for the amounts of nitrogen and/or
phosphorus for any soil test results. This data
element is only applicable to facilities using the
Narrative Rate Approach, as described in 40
CFR 122.42(e)(5)(ii).
For each field used for land application, provide
the amount of nitrogen in supplemental fertilizer
applied in the previous 12 months. This data
element is only applicable to facilities using the
Narrative Rate Approach as described in 40
CFR 122.42(e)(5)(ii).
For each field used for land application, provide
the amount of phosphorus in supplemental fertilizer applied in the previous 12 months. This
data element is only applicable to facilities that
are using the Narrative Rate Approach as described in 40 CFR 122.42(e)(5)(ii).
The unit(s) for the amount(s) of nitrogen and/or
phosphorus in any supplemental fertilizer applied in the previous 12 months (e.g., ppm,
pounds per acre). This data element is only applicable to facilities using the Narrative Rate
Approach,
as
described
in
40
CFR
122.42(e)(5)(ii).
122.42(e)(4)(viii) .....................
5.
122.42(e)(4)(viii) .....................
5.
122.42(e)(4)(viii) .....................
5.
122.42(e)(4)(viii) .....................
5.
122.42(e)(4)(viii) .....................
5.
122.42(e)(4)(viii) .....................
5.
Soil Test Measurement Form
(Narrative Rate Approach)
(Program Report).
Soil Test Measurement Unit(s)
(Narrative Rate Approach)
(Program Report).
Nitrogen Amount of Any Supplemental Fertilizer Applied
(Program Report).
Phosphorus Amount of Any
Supplemental Fertilizer Applied (Program Report).
Supplemental Fertilizer Applied
Units (Program Report).
NPDES data group No.
(see Table 1)
Compliance Monitoring Activity Information (Data Elements Specific to Municipal Separate Storm Sewer System Program Reports)
[Note: The MS4 permit may require one report for each unique governmental entity or one report per permit].
MS4 Reliance on Other Government Entities Status.
MS4 Reliance on Other Government Entities: Permit
Component Status.
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MS4 Permit Components Descriptions and Measurable
Goals.
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This is a unique code (e.g., ‘‘Yes’’, ‘‘No’’) that
identifies whether the permittee relies on another unique governmental entity to satisfy any
of the permit requirements.
For each MS4 permit component this data element identifies the responsible government entity. This data element uses the ‘Unique Identifier
for Each Municipality Covered Under MS4 Permit’ data element. Use of this identifier allows
for greater geographic resolution for the MS4
components being tracked. This unique identifier does not change over time. The number
identifies the entity taking responsibility for complying with each MS4 permit component.
The one or more codes/descriptions that identify
for each unique municipality all of the permitted
components and measurable goals that are included in the MS4 permit. For Phase II MS4s,
these components will be pre-populated from
the BMPs each Phase II MS4 permittee indicated it will implement in its NOI or permit application. The groupings of these MS4 components will include public education and outreach
on stormwater impacts; public involvement/participation; illicit discharge detection and elimination; construction site stormwater runoff;
post-construction stormwater management in
new development and redevelopment; and pollution prevention/good housekeeping for municipal operations.
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122.26(d)(2)(vii), ....................
122.34(g)(3)(v) .......................
6.
122.34(g)(3)(i) and (v),
122.35(a) and 122.42(c).
6.
122.34(g)(3) and 122.42(c) ....
6.
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TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued
Data name
Data description
CWA, regulatory (40 CFR), or
other citation
Changes to MS4 Permit Components and Measurable
Goals.
The one or more codes/descriptions that describe
for each unique municipality any changes made
to MS4 permit components (e.g., BMPs) during
the reporting period.
The unique code (e.g., ‘‘Yes’’, ‘‘No’’) that identifies
if the permittee has completed each
measureable goal associated with each MS4
permit component.
This is a text summary describing the permittee’s
compliance and progress toward meeting each
measurable goal including a summary of results
for each unique municipality.
For each unique municipality covered under a
Phase I MS4 permit, this data element identifies
the one or more types of enforcement actions
taken during the past reporting period (e.g., notice of violations, stop work orders, administration orders, administrative fines, civil penalties,
criminal actions). The unique municipality covered under the MS4 permit will identify ‘‘No Authority’’ for this data element if the municipality
does not have the authority to conduct enforcement actions. This data element is optional for
Phase II MS4s.
For each unique municipality covered under a
Phase II MS4 permit and for each MS4 Enforcement Action Type, this data element identifies the number of enforcement actions taken
by responsible MS4 Municipal Enforcement
Agency. The unique municipality covered under
the MS4 permit will identify ‘‘No Authority’’ for
this data element if the municipality does not
have the authority to conduct enforcement actions. For Phase II MS4s this data element will
be the total number of enforcement actions
taken during the reporting period.
For each unique municipality covered under the
MS4 permit and for each MS4 Enforcement Action Type, this data element identifies the corresponding MS4 Municipal Enforcement Agency
by its unique municipality number (‘‘Unique
Identifier for Each Municipality Covered Under
MS4 Permit’’). This data element is only required for permittees that have co-permittees
under their unique MS4 permit.
122.34(g)(3)(iv) and 122.42(c)
6.
122.34(g)(3) and 122.42(c) ....
6.
122.34(g)(3) and 122.42(c) ....
6.
122.34(g)(3) and 122.42(c) ....
6.
122.34(g)(3) and 122.42(c) ....
6.
122.34(g)(3) and 122.42(c) ....
6.
Status of Compliance with
each Minimum Control
Measure.
Progress and Summary of Results with Each Minimum
Control Measure.
MS4 Enforcement Action Type
MS4 Enforcement Action Number.
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MS4 Municipality Enforcement
Agency.
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NPDES data group No.
(see Table 1)
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TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued
Data name
MS4 Industrial Stormwater
Control.
CWA, regulatory (40 CFR), or
other citation
Data description
The one or more unique codes/descriptions that
identify how the MS4 permittee will comply with
industrial stormwater control requirements, including (at a minimum): (1) Status of the ordinance or other regulatory mechanism to control
the contribution of pollutants by stormwater discharges associated with industrial activity, including authority to carry out all inspection, surveillance and monitoring procedures necessary
to determine compliance and noncompliance,
and including sanctions to ensure compliance;
(2) status of the MS4 permittee industrial
stormwater inventory, which identifies facilities
with industrial activities and assesses the quality of the stormwater discharged from each facility with an industrial activity; (3) status of program to monitor and control pollutants in
stormwater discharges from municipal landfills,
hazardous waste treatment, disposal and recovery facilities, industrial facilities that are subject
to Toxics Release Inventory (TRI) reporting requirements (Emergency Planning and Community Right-To-Know Act Section 313), and industrial facilities that are contributing a substantial pollutant loading to the MS4; and (4) status
of monitoring program for discharges associated with industrial facilities. This data element
is optional for Phase II MS4s.
40 CFR 122.26(d)(2)(i)(A, B,
C, E, and F) and 40 CFR
122.26(d)(2)(ii) and
(iv)(A)(5) and (iv)(C),
122.42(c).
NPDES data group No.
(see Table 1)
6.
Compliance Monitoring Activity Information (Data Elements Specific to Pretreatment Program Reports, SIU Periodic Compliance
Reports in Municipalities without an Approved Pretreatment Program)
[Note: These data elements do not apply to the development, evaluation, or compliance monitoring activities supporting wastewater surcharge
rates.]
SNC Published .........................
SNC with Pretreatment Enforceable Compliance
Schedule Status.
Local Limits Adoption Date ......
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Local Limits Evaluation Date ...
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A unique code (e.g., ‘‘Yes’’, ‘‘No’’) that identifies
for each Significant Industrial User (SIU) and
Non-Significant Categorical Industrial Users
(NSCIU) in SNC whether the Control Authority
published a public notice within the reporting
period.
The unique code/description that identifies for
each Significant Industrial User (SIU) and NonSignificant Categorical Industrial User (NSCIU)
in SNC whether the industrial user in SNC is
subject to one or more enforceable compliance
schedules within the reporting period.
This is the most recent date on which the Control
Authority adopted new local limits within the reporting period. The date must be provided in
YYYY–MM–DD format where YYYY is the year,
MM is the month, and DD is the day. The Control Authority can leave this data element blank
on the Pretreatment Program Report if the Control Authority did not adopt any new local limits
within the reporting period.
This is the most recent date on which the Control
Authority completed an evaluation on the potential need for local limits within the reporting period. The date must be provided in YYYY–MM–
DD format where YYYY is the year, MM is the
month, and DD is the day. The Control Authority can leave this data element blank on the
Pretreatment Program Report if the Control Authority did not evaluate any local limits within
the reporting period.
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403.8(f)(2)(viii), 403.12(i)(2) ...
7.
403.8(f)(2)(viii), 403.12(i)(2) ...
7.
122.44(j)(2)(ii), 403.5(c),
403.8(f)(4) and (5),
403.12(i)(4).
7.
122.44(j)(2)(ii), 403.5(c),
403.8(f)(4) and (5),
403.12(i)(4), 403.8(f)(4).
7.
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64147
TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued
Data name
Data description
CWA, regulatory (40 CFR), or
other citation
Local Limits Pollutants .............
This is the list of the pollutants for which the Control Authority adopted local limits. The Control
Authority will only need to enter each pollutant
once no matter how many treatment works are
managed by the Control Authority. The Control
Authority can leave this data element blank on
the Pretreatment Program Reports if the Control Authority did not change the pollutants for
which the Control Authority derived local limits.
The one or more unique codes/descriptions that
identify any problems (e.g., pass-through, interference, violation of NPDES permit limits) with
the receiving POTW’s effluent discharge within
the reporting period. See 40 CFR 403.3(k) and
(p). EPA regulations require the Control Authority to develop and enforce local limits when the
discharge from an IU causes or contributes to
any problems at the receiving POTW.
The one or more unique codes/descriptions that
identify any problems (e.g., interference with
the use or disposal of biosolids or sewage
sludge, violation of NPDES permit requirements
or EPA’s regulations at 40 CFR part 503) with
the receiving POTW’s biosolids or sewage
sludge within the reporting period. See 40 CFR
403.3(k). EPA regulations require any Control
Authority that must develop a Pretreatment Program also to develop and enforce local limits to
ensure that the discharge from an IU does not
cause or contribute a disruption of biosolids’
use or disposal at the receiving POTW.
A unique code/description that identifies whether
the Industrial User is subject to an effective
Control Mechanism within the reporting period.
The date when the active Control Mechanism for
the Industrial User became effective. The date
must be provided in YYYY–MM–DD format
where YYYY is the year, MM is the month, and
DD is the day.
The date when the active Control Mechanism for
the Industrial User will expire. The date must be
provided in YYYY–MM–DD format where YYYY
is the year, MM is the month, and DD is the
day.
This data element will identify for each Significant
Industrial User (SIU) and Non-Significant Categorical Industrial User (NSCIU) whether the IU
was in Significant Non-Compliance (SNC) with
any pretreatment standard or local limits applicable to the industrial user’s discharge within
the reporting period.
This data element will identify for each Significant
Industrial User (SIU) and Non-Significant Categorical Industrial User (NSCIU) the pollutants
that related to the industrial user’s Significant
Non-Compliance (SNC) status with any applicable pretreatment standard or local limits within
the reporting period.
This data element will identify for each Significant
Industrial User (SIU) and Non-Significant Categorical Industrial User (NSCIU) whether the IU
was in Significant Non-Compliance (SNC) with
reporting requirements (including baseline monitoring reports, notice of potential problems,
periodic self-monitoring reports, notice of
change in Industrial User discharge, hazardous
waste notification and BMP certification) within
the reporting period.
403.5(c), 403.12(i)(4) .............
7.
403.8(f), 403.12(i) ..................
7.
403.8(f), 403.12(i) ..................
7.
403.3(k), 403.5(c), 403.8(f),
403.12(i).
7.
403.8(f)(1)(iii)(B)(1), 403.12(i)
7.
403.8(f), 403.12(i) ..................
7.
403.8(f), 403.12(i) ..................
7.
403.8(f), 403.12(i) ..................
7.
123.26, 123.41(a), 123.45,
403.8(f), 403.10, 403.12(i).
1, 7.
POTW Discharge Contamination Indicator (Program Report).
POTW Biosolids or Sewage
Sludge Contamination Indicator (Program Report).
Industrial User Control Mechanism Status.
Industrial User Control Mechanism Effective Date.
Industrial User Control Mechanism Expiration Date.
SNC With Pretreatment Standards or Limits (Program Report).
SNC With Pretreatment Standards or Limits Pollutants
(Program Report).
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SNC With Reporting Requirements (Program Report).
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NPDES data group No.
(see Table 1)
64148
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TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued
Data name
Data description
CWA, regulatory (40 CFR), or
other citation
SNC with Other Control Mechanism Requirements (Program Report).
This data element will identify for each Significant
Industrial User (SIU) and Non-Significant Categorical Industrial User (NSCIU) whether the IU
was in Significant Non-Compliance (SNC) with
any other control mechanism requirements
within the reporting period. This data element
does not include instances of SNC that relate to
the industrial user’s applicable discharge standards or local limits or reporting requirements.
This data element will identify for each Significant
Industrial User (SIU) and Non-Significant Categorical Industrial User (NSCIU) the month or
months the IU is in SNC within the reporting
period. These data must be provided in YYYY–
MM format where YYYY is the year and MM is
the month.
This data element will identify for each Significant
Industrial User (SIU) the number of inspections
conducted by the Control Authority within the
reporting period.
This data element will identify for each Significant
Industrial User (SIU) the number of complete
sampling events conducted by the Control Authority within the reporting period.
This data element will identify for each Significant
Industrial User (SIU) the number of required
self-monitoring sampling events within the reporting period that must be reported to the Control Authority.
This data element will identify for each Significant
Industrial User (SIU) the actual number of selfmonitoring sampling events within the reporting
period submitted to the Control Authority.
This data element will identify for each Significant
Industrial User (SIU) the type(s) of formal enforcement action(s) (e.g., formal notices of violation or equivalent actions, administrative orders, civil suits, criminal suits) issued by the
Control Authority within the reporting period.
The Control Authority can also optionally use
this data element to track informal actions that
they issued within the reporting period.
This data element will identify for each Significant
Industrial User (SIU) and for each type of enforcement action the total number of formal enforcement actions issued by the Control Authority within the reporting period. The Control Authority can also optionally use this data element
to track informal actions that they issued within
the reporting period.
For civil judicial Enforcement Actions, the dollar
amount of the penalty assessed against each
Significant Industrial User (SIU) and Non-Significant Categorical Industrial User (NSCIU)
within the reporting period as specified in the
final entered Consent Decree or Court Order.
For Administrative Enforcement Actions, it is
the dollar amount of the penalty assessed in
the Consent/Final Order.
For civil judicial Enforcement Actions, the dollar
amount of the penalty collected from each Significant Industrial User (SIU) and Non-Significant Categorical Industrial User (NSCIU) within
the reporting period. For Administrative Enforcement Actions, it is the dollar amount collected of the penalty assessed in the Consent/
Final Order.
123.26, 123.41(a), 123.45,
403.8(f), 403.10, 403.12(i).
1, 7.
123.26, 123.41(a), 123.45,
403.8(f), 403.10, 403.12(i).
1, 7.
403.8(f), 403.12(i) ..................
7.
403.8(f), 403.12(i) ..................
7.
403.8(f), 403.12(i) ..................
7.
403.8(f), 403.12(i) ..................
7.
403.8(f), 403.12(i) ..................
7.
403.8(f), 403.12(i) ..................
7.
CWA section 309 ...................
7.
CWA section 309 ...................
7.
Listing of Months in SNC .........
Number of Industrial User Inspections by Control Authority.
Number of Industrial User
Sampling Events by Control
Authority.
Number of Required Industrial
User Self-Monitoring Events.
Actual Number of Industrial
User Self-Monitoring Events.
Types of Industrial User Enforcement Action.
Number of Industrial User Enforcement Actions.
Industrial User Cash Civil Penalty Amount Assessed.
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Industrial User Cash Civil Penalty Amount Collected.
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NPDES data group No.
(see Table 1)
Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations
64149
TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued
Data name
Industrial User POTW Discharge Contamination Indicator (Program Report).
Industrial User Biosolids or
Sewage Sludge Contamination Indicator (Program Report).
Industrial User Wastewater
Flow Rate (Program Report).
Middle-Tier Significant Industrial User Reduced Reporting
Status.
Non-Significant Categorical Industrial User (NSCIU) Certification Submitted to Control
Authority.
Notification of Changed Discharge Submission.
CWA, regulatory (40 CFR), or
other citation
Data description
The one or more unique codes/descriptions that
identify for each Significant Industrial User
(SIU) and Non-Significant Categorical Industrial
User (NSCIU) whether the Industrial User
caused or contributed to any problems (e.g.,
pass-through, interference, violation of NPDES
permit limits) with the receiving POTW’s effluent
discharge in the previous reporting period. See
40 CFR 403.3(k) and (p). EPA regulations require the Control Authority to develop and enforce local limits when the discharge from an IU
causes or contributes to any problems e.g.at
the receiving POTW.
The one or more unique codes/descriptions that
identify for each Significant Industrial User
(SIU) and Non-Significant Categorical Industrial
User (NSCIU) whether the Industrial User
caused or contributed to any problems (e.g., interference with the use or disposal of biosolids
or sewage sludge, violation of NPDES permit
requirements or EPA’s regulations at 40 CFR
part 503) with the receiving POTW’s biosolids
or sewage sludge in the previous reporting period. See 40 CFR 403.3(k). EPA regulations require the Control Authority to develop and enforce local limits when the discharge from an IU
causes or contributes to any problems e.g.at
the receiving POTW.
This data element will identify for each Significant
Industrial User (SIU) and Non-Significant Categorical Industrial User (NSCIU) the maximum
monthly average wastewater flow rate (in gallons per day) in the previous reporting period.
The unique code/description that identifies for
each Middle-Tier Significant Industrial User
(MTSIU) whether the Control Authority has
granted reduced reporting requirements in accordance with 40 CFR 403.12(e)(3).
The unique code/description that identifies for
each Non-Significant Categorical Industrial User
(NSCIU) whether the facility has reported its required annual compliance certification to the
Control Authority within the reporting period.
The unique code (e.g., ‘‘Yes’’, ‘‘No’’) that identifies
for each Significant Industrial User (SIU) and
Non-Significant Categorical Industrial User
(NSCIU) whether the Industrial User submitted
a notification within the reporting period to the
Control Authority of a substantial change in the
volume or character of pollutants in their discharge, including the listing or characteristic
hazardous wastes for which the Industrial User
previously submitted notice.
NPDES data group No.
(see Table 1)
123.26, 123.41(a), 123.45,
403.5(c), 403.8(f), 403.10,
403.12(i).
1, 7.
123.26, 123.41(a), 123.45,
403.5(c), 403.8(f), 403.10,
403.12(i).
1, 7.
403.8(f), 403.12(e), 403.12(h),
403.12(i).
7, 8.
123.26, 123.41(a), 123.45,
403.10, 403.12(e)(3),
403.12(i)(2).
1, 7.
123.26, 123.41(a), 123.45,
403.10, 403.12(i)(2),
403.12(q).
1, 7.
403.8(f), 403.12 (i), 403.12(j)
1, 7.
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Compliance Monitoring Activity Information (Data Elements Specific to Sewer Overflow/Bypass Event Reports)
[Note: These data elements apply to sewer overflows and bypass events at POTWs. These data elements do not apply to industrial facilities.
This report uses the ‘Permitted Feature Identifier (Compliance Monitoring Activity)’ data element to identify the location of each sewer overflow or bypass at a permitted feature. Each bypass location should be permitted and have an identifier in the ‘Permitted Feature Identifier
(Permit)’ data element. This report will also identify the location of each sewer overflow at an unpermitted feature.]
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TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued
Data name
Data description
CWA, regulatory (40 CFR), or
other citation
Sewer Overflow/Bypass Identifier.
This data element will allow the reporting of multiple sewer overflows or bypasses on one report. Each individualized sewer overflow or bypass will be given a unique identifier (e.g., 1, 2,
3, and so on) for each Sewer Overflow/Bypass
Event Report. This field can be system generated to accommodate one or more individual
sewer overflows or bypasses. If the sewer overflows are caused by an extreme weather event
(e.g., hurricane) that floods the entire sewer
system the POTW can use this data element to
indicate that the number of sewer overflows
cannot be tabulated as they are too numerous
to count.
This data element is required for each Sewer
Overflow/Bypass Identifier without a corresponding identifier in the ‘Permitted Feature
Identifier (Permit)’ data element, which is reported on the NPDES permit application or Notice of Intent for NPDES permit coverage. This
data element is the measure of the angular distance on a meridian east or west of the prime
meridian for the sewer overflow location. The
format for this data element is decimal degrees
(e.g., ¥77.029289) and the WGS84 standard
coordinate system. The ‘Permitted Feature
Identifier (Compliance Monitoring Activity)’ data
element is used to identify the location of each
sewer overflow at a permitted feature. If the
sewer overflow is associated with a private residence the longitude of the nearest collection
system structure (e.g., manhole) can be used
for this data element to the extent that reporting
is required. The POTW can leave this data element blank on the Sewer Overflow/Bypass
Event Report if the sewer overflows are caused
by an extreme weather event (e.g., hurricane)
that floods the entire sewer system and are too
numerous to count. This data element can also
be system generated if the Sewer Overflow/Bypass Event Report collects the street location of
the sewer overflow and the street location can
be used to generate an accurate longitude
value. (Note: ‘‘Post Office Box’’ addresses and
‘‘Rural Route’’ addresses are generally not
geocodable).
122.41(l)(4), (6), and (7) and
122.41(m)(3).
3, 9.
122.41(l)(4), (6), and (7) ........
3, 9.
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Sewer Overflow Longitude for
Unpermitted Feature (Sewer
Overflow/Bypass Event Report).
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NPDES data group No.
(see Table 1)
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TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued
Data name
Data description
CWA, regulatory (40 CFR), or
other citation
Sewer Overflow Latitude for
Unpermitted Feature (Sewer
Overflow/Bypass Event Report).
This data element is required for each Sewer
Overflow/Bypass Identifier without a corresponding identifier in the ‘Permitted Feature
Identifier (Permit)’ data element, which is reported on the NPDES permit application or Notice of Intent for NPDES permit coverage. This
data element is the measure of the angular distance on a meridian north or south of the equator for the sewer overflow location. The format
for this data element is decimal degrees (e.g.,
-77.029289) and the WGS84 standard coordinate system. The Permitted Feature Identifier
(Compliance Monitoring Activity) data element
is used to identify the location of each sewer
overflow at a permitted feature. If the sewer
overflow is associated with a private residence
the latitude of the nearest collection system
structure (e.g., manhole) can be used for this
data element to the extent that reporting is required. The POTW can leave this data element
blank on the Sewer Overflow/Bypass Event Report if the sewer overflows are caused by an
extreme weather event (e.g., hurricane) that
floods the entire sewer system and are too numerous to count. This data element can also be
system generated if the Sewer Overflow/Bypass
Event Report collects the street location of the
sewer overflow and the street location can be
used to generate an accurate longitude value.
(Note: ‘‘Post Office Box’’ addresses and ‘‘Rural
Route’’
addresses
are
generally
not
geocodable).
A unique code/description that identifies the type
of sewer overflow or bypass (e.g., CSO or SSO
from the POTW’s collection system, anticipated
bypass from the treatment works, unanticipated
bypass from the treatment works) for each
Sewer Overflow/Bypass Identifier. For bypass
events the permittee will also use this data element to identify if any NPDES effluent limitations were violated as a result of the bypass.
A unique code/description that identifies the type
of sewer overflow or bypass structure (e.g.,
manhole, CSO outfall) for each Sewer Overflow/Bypass Identifier. The POTW can leave
this data element blank on the Sewer Overflow/
Bypass Event Report if the sewer overflows are
caused by an extreme weather event (e.g., hurricane) that floods the entire sewer system and
are too numerous to count.
The one or more unique codes/descriptions that
best represent the likely cause of the sewer
overflow or bypass (e.g., broken pipe, fats/oil/
grease, mechanical failure, pump station electrical failure, wet weather, vandalism) for each
Sewer Overflow/Bypass Identifier..
Estimated duration of the sewer overflow or bypass (in hours) for each Sewer Overflow/Bypass Identifier. If the discharge has not been
corrected, this is the best professional judgment
from the sewer owner or in the case of a bypass, the treatment plant owner, of the time the
sewer overflow or bypass is expected to continue. The POTW can leave this data element
blank on the Sewer Overflow/Bypass Event Report if the sewer overflows are caused by an
extreme weather event (e.g., hurricane) that
floods the entire sewer system and are too numerous to count.
122.41(l)(4), (6), and (7) ........
3, 9.
122.41(l)(4), (6), and (7) and
122.41(m)(3).
3, 9.
122.41(l)(4), (6), and (7) and
122.41(m)(3).
3, 9.
122.41(l)(4), (6), and (7) and
122.41(m)(3).
3, 9
122.41(l)(4), (6), and (7) and
122.41(m)(3).
3, 9.
Type of Sewer Overflow/Bypass (Sewer Overflow/Bypass Event Report).
Type of Sewer Overflow/Bypass Structure.
Sewer Overflow/Bypass Cause
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Duration of Sewer Overflow/Bypass (hours) (Sewer Overflow/Bypass Event Report).
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TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued
Data description
CWA, regulatory (40 CFR), or
other citation
Best professional judgment from the sewer owner
on the estimated number of gallons of sewer
overflow or bypass for each Sewer Overflow/
Bypass Identifier. If the discharge has not been
corrected, this is the best professional judgment
from the sewer owner or in the case of a bypass, the treatment plant owner, of the volume
of overflow or bypass prior to cessation. The
POTW can leave this data element blank on
the Sewer Overflow/Bypass Event Report if the
sewer overflows are caused by an extreme
weather event (e.g., hurricane) that floods the
entire sewer system and are too numerous to
count.
This data element identifies the receiving
waterbody name for each Sewer Overflow/Bypass Identifier that does not have a corresponding value in the ‘Permitted Feature
Identifier (Permit)’ data element. This data element will use the best professional judgment of
the sewer owner to identify the name of the
waterbody that is or will likely receive the discharge from each Sewer Overflow/Bypass Identifier. The POTW can leave this data element
blank on the Sewer Overflow/Bypass Event Report if the sewer overflows are caused by an
extreme weather event (e.g., hurricane) that
floods the entire sewer system and are too numerous to count.
The unique code (e.g., ‘‘Yes’’, ‘‘No’’) that represents the best professional judgment of the
sewer owner, or in the case of a bypass, the
treatment plant owner, regarding whether the
sewer overflow or bypass, by Sewer Overflow/
Bypass Identifier, occurred during wet weather.
The unique code/description that describes the
steps taken or planned to reduce, eliminate,
and prevent reoccurrence of future sewer overflows or bypasses for each Sewer Overflow/Bypass Identifier and the related impacts to health
and the environment. This data element can be
used to identify the portion of the sewer overflow or bypass that was contained and recovered prior to any discharge to waters of the
U.S. This data element will also identify if any
monitoring of the receiving waterbody was done
during and/or after the sewer overflow or bypass to gauge the potential impact to health
and the environment. The POTW can leave this
data element blank on the Sewer Overflow/Bypass Event Report if the sewer overflows are
caused by an extreme weather event (e.g., hurricane) that floods the entire sewer system and
are too numerous to count.
The unique code/description that describes the
type of potential health or environmental impact(s) (e.g., beach closure) for each Sewer
Overflow/Bypass Identifier. Under 40 CFR
122.41(l)(6), ‘‘the permittee shall report any
noncompliance which may endanger health or
the environment.’’ This data element provides
information regarding the nature of such potential endangerment. The POTW can leave this
data element blank on the Sewer Overflow/Bypass Event Report if the sewer overflows are
caused by an extreme weather event (e.g., hurricane) that floods the entire sewer system and
are too numerous to count.
122.41(l)(4), (6), and (7) and
122.41(m)(3).
3, 9.
122.41(l)(4), (6), and (7) ........
3, 9.
122.41(l)(4), (6), and (7) and
122.41(m)(3).
3, 9.
122.41(l)(4), (6), and (7) and
122.41(m)(3).
3, 9.
122.41(l)(4), (6), and (7) and
122.41(m)(3).
3, 9.
Data name
Sewer Overflow/Bypass Discharge Volume (gallons)
(Sewer Overflow/Bypass
Event Report).
Receiving Waterbody Name for
Unpermitted Feature (Sewer
Overflow/Bypass Event Report).
Wet Weather Occurrence for
Sewer Overflow/Bypass Status.
Corrective Actions Taken or
Planned for Sewer Overflow/
Bypass (Sewer Overflow/Bypass Event Report).
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Type of Potential Impact of
Sewer Overflow/Bypass
(Sewer Overflow/Bypass
Event Report).
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64153
TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued
Data name
CWA, regulatory (40 CFR), or
other citation
Data description
NPDES data group No.
(see Table 1)
Compliance Monitoring Activity Information (Data Elements Specific to CWA section 316(b) Annual Reports)
[Note: Where the Director requires additional measures to protect Federally-listed threatened or endangered species or critical habitat pursuant
to 40 CFR 125.94(g), the Director shall require reporting associated with those measures [see 40 CFR 125.97(g)]. The following data elements correspond to this reporting requirement. These data elements are only required for facilities that are required to report on their additional measures to protect Federally-listed threatened or endangered species or critical habitat.]
CWA Section 316(b) Biological
Monitoring—Species Name
(Program Report).
CWA Section 316(b) Biological
Monitoring—Species Number
(Program Report).
CWA Section 316(b) Biological
Monitoring—Threatened or
Endangered Status (Program
Report).
CWA Section 316(b) Biological
Monitoring—Species Impinged and Entrained (Program Report).
CWA Section 316(b) Biological
Monitoring—Applicable
Measures to Protect Designated Critical Habitat (Program Report).
For existing facilities, a listing of each Federallylisted threatened or endangered species (or relevant taxa) for all life stages that might be susceptible to impingement and entrainment at the
facility’s cooling water intake structure(s). Specific monitoring protocols and frequency of
monitoring will be determined by the Director.
For existing facilities, the number of each Federally-listed threatened or endangered species (or
relevant taxa) that might be susceptible to impingement and entrainment at the facility’s cooling water intake structure(s). Specific monitoring protocols and frequency of monitoring will
be determined by the Director.
For existing facilities, a unique code/description
that identifies for each Federally-listed threatened or endangered species (or relevant taxa)
whether the species is threatened, endangered,
or is an otherwise protected species that might
be susceptible to impingement and entrainment
at the facility’s cooling water intake structure(s).
Specific monitoring protocols and frequency of
monitoring will be determined by the Director.
For existing facilities, the number of each Federally-listed threatened or endangered species (or
relevant taxa) impinged and entrained per year
by the facility’s cooling water intake structure(s).
Specific monitoring protocols and frequency of
monitoring will be determined by the Director.
For existing facilities, a text summary of the
measures taken by the permittee to protect
designated critical habitat in the vicinity of impingement and entrainment at the facility’s cooling water intake structure(s).
125.96, 125.97(g), 125.98,
125.138(b), 401.14 and
CWA section 316(b).
10.
125.96, 125.97(g), 125.98,
125.138(b), 401.14 and
CWA section 316(b).
10.
125.96, 125.97(g), 125.98,
125.138(b), 401.14 and
CWA section 316(b).
10.
125.96, 125.97(g), 125.98,
125.138(b), 401.14 and
CWA section 316(b).
10.
125.96, 125.97(g), 125.98,
125.138(b), 401.14 and
CWA section 316(b).
10.
Information Common to Violations, Enforcement Actions, and Final Orders
[Note: Single Event Violation (SEV) data elements are mandatory for construction stormwater inspections that identify CWA violations that result in a regulatory authority taking a formal enforcement action. SEV data elements are optional for other construction stormwater inspections.]
Violation Code ..........................
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Violation Date ...........................
The unique code/description that identifies each
type of violation that has occurred at the facility
(e.g., D80 = Required Monitoring DMR Value
Non-Receipt, E90 = Effluent Violation, C20 =
Schedule Event Achieved Late). This includes
single event violations (SEVs) and violations
that are system generated based upon DMRs,
schedules, etc.
This is the date of the violation, which varies depending on the type of violation. The date must
be provided in YYYY–MM–DD format where
YYYY is the year, MM is the month, and DD is
the day. This data element may be system generated and does not apply to single event violation dates.
123.45 and CWA section 309
1.
123.45 and CWA section 309
1.
123.26, 123.41(a), 123.45 .....
1.
Violation Information
Agency Identifying the Single
Event Violation (SEV).
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The unique code/description that identifies the
agency that identified the single event violation
(SEV).
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TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued
Data description
CWA, regulatory (40 CFR), or
other citation
The date the single event violation (SEV) began.
If the SEV occurred on one date, this data element is optional as this date can be system
generated to equal ‘‘Single Event Violation End
Date’’ when left blank. The date must be provided in YYYY–MM–DD format where YYYY is
the year, MM is the month, and DD is the day.
The date the single event violation (SEV) ended.
This field will be left blank to denote an ongoing
or unresolved SEV. The date must be provided
in YYYY–MM–DD format where YYYY is the
year, MM is the month, and DD is the day.
The unique code/description that identifies the
type of reportable noncompliance (RNC) detected by the regulatory authority.
The date that reportable noncompliance (RNC)
was detected. This date may vary according to
the type of violation detected. The date must be
provided in YYYY–MM–DD format where YYYY
is the year, MM is the month, and DD is the
day.
The unique code/description that identifies the reportable noncompliance (RNC) status (e.g.,
noncompliant, resolved pending, waiting resolution, resolved) for each violation. This data element can be entered manually or system generated.
The date reportable noncompliance (RNC) was
marked to its current resolution status. This
data element is entered manually. The date
must be provided in YYYY–MM–DD format
where YYYY is the year, MM is the month, and
DD is the day.
123.26, 123.41(a), 123.45 .....
1.
123.26, 123.41(a), 123.45 .....
1.
123.26, 123.41(a), 123.45 .....
1.
123.26, 123.41(a), 123.45 .....
1.
123.26, 123.41(a), 123.45 .....
1.
123.26, 123.41(a), 123.45 .....
1.
Data name
Single Event Violation Start
Date.
Single Event Violation End
Date.
RNC Detection Code ...............
RNC Detection Date ................
RNC Resolution Code ..............
RNC Resolution Date ...............
NPDES data group No.
(see Table 1)
Enforcement Action Information
[Note: NPDES authorized programs will only need to share criminal action information with EPA when the criminal case is concluded.]
Enforcement Action Identifier ...
Enforcement Action Forum ......
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Enforcement Action Type .........
Programs Violated (Enforcement Action).
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The unique identifier for each enforcement action.
For EPA enforcement actions, this field will be
have three components, each separated by a
hyphen (e.g., 04–2014–4509). These three
components are: (1) the EPA Region responsible for the enforcement action as identified by
the EPA Region code (e.g., 04); (2) the fourdigit fiscal year during which the enforcement
action is initiated (e.g., 2014); and (3) a fourdigit, user-assigned sequence number between
0001 and 9999 (e.g., 4509). States will be able
to use this same structure, or they will be able
to use a different structure of their choosing
provided that the first two characters of the
identifier constitute the state code (e.g., Alabama = ‘‘AL’’).
This identifies the forum of the formal enforcement action (e.g., administrative formal, judicial). This can be system generated.
The unique code/description that identifies the
type for each formal or informal enforcement
action. This code/description identifies, for example, whether the enforcement action is a civil
judicial referral, a notice of violation, an administrative penalty order, administrative order, or
criminal prosecution.
The unique code/description that identifies each
program (e.g., pretreatment, biosolids/sewage
sludge, MS4s, Core NPDES program) associated with each enforcement activity.
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123.27, 123.41(a), and CWA
section 309.
1.
123.27, 123.41(a), and CWA
section 309.
1.
123.27, 123.41(a), and CWA
section 309.
1.
123.27, 123.41(a), and CWA
section 309.
1.
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64155
TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued
Data name
Data description
CWA, regulatory (40 CFR), or
other citation
Enforcement Action Sub-activity Type.
A unique code/description that identifies the type
for each sub-activity associated with each enforcement activity (e.g., COMPS = compliance
achieved, MECDJ = motion to enforce consent
agreement, AHRG = administrative hearing,
AMNCA = amended complaint). Some of these
sub-activities are system required and some
can be system generated. Data on sub-activities that are not milestones are optional.
The date on which the sub-activity was completed. This data element is required for each
sub-activity provided. The date must be provided in YYYY–MM–DD format where YYYY is
the year, MM is the month, and DD is the day.
Some of these dates can be system generated.
123.27, 123.41(a), and CWA
section 309.
1.
123.27, 123.41(a), and CWA
section 309.
1.
Enforcement Action Sub-activity Completion Date.
NPDES data group No.
(see Table 1)
Final Order Information
[Note: These data elements are linked to the ‘‘Enforcement Action Identifier’’. NPDES authorized programs will only need to share criminal action
information with EPA when the criminal case is concluded.]
Final Order Identifier ................
Final Order Type ......................
Final Order Issued/Entered
Date.
NPDES Closed Date ................
The unique identifier for each final order. This
data element can be system generated.
A unique code that identifies the legal process
used by the authorized NPDES program to settle the enforcement action (e.g., administrative
compliance order, an administrative penalty
order, consent decree, Federal facility agreement, criminal conviction or plea agreement).
For a judicial enforcement action this is the date
the Clerk of the Court stamps the document
after it is signed by the presiding Judge. For an
administrative formal enforcement action this is
the date the Final Order was issued. For a
criminal enforcement action, this is the date the
sentence was imposed. The date must be provided in YYYY–MM–DD format where YYYY is
the year, MM is the month, and DD is the day.
The date of closure for each NPDES final order.
The date must be provided in YYYY–MM–DD
format where YYYY is the year, MM is the
month, and DD is the day.
123.27, 123.41(a), and CWA
section 309.
123.27, 123.41(a), and CWA
section 309.
1.
123.27, 123.41(a), and CWA
section 309.
1.
123.27, 123.41(a), and CWA
section 309.
1.
1.
Penalty Information
[Note: These data elements are linked to the ‘‘Enforcement Action Identifier’’. NPDES authorized programs will only need to share criminal action information with EPA when the criminal case is concluded.]
Penalty Amount Assessed .......
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Penalty Amount Collected ........
Supplemental Environmental
Project Identifier.
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For civil judicial enforcement actions, the dollar
amount of the penalty assessed against the defendant(s) as specified in the final entered Consent Decree or Court Order. For administrative
enforcement actions, it is the dollar amount of
the penalty assessed in the Consent Decree or
Final Order. For criminal enforcement actions, it
is the dollar amount of the fine agreed to by the
defendant or sentenced by the Court and
should include fields for prison time, probation,
home confinement or monitoring periods, restitution, and special assessments.
For civil judicial enforcement actions, the dollar
amount of the penalty collected from the defendant(s). For administrative enforcement actions, it is the dollar amount collected of the
penalty assessed in the Consent Decree or
Final Order. For criminal enforcement actions, it
is the dollar amount of the fine paid by the defendant as well as restitution and special assessments.
The unique identifier for each supplemental environmental project. This data element can be
system generated.
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123.27, 123.41(a), and CWA
section 309.
1.
123.27, 123.41(a), and CWA
section 309.
1.
123.27, 123.41(a), and CWA
section 309.
1.
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TABLE 2—REQUIRED NPDES PROGRAM DATA—Continued
Data description
CWA, regulatory (40 CFR), or
other citation
The assessed cost, in dollars, of the one or more
of the defendant’s Supplemental Environmental
Projects (SEPs). This is the dollar amount that
is assessed either in addition to civil penalties
or in lieu of civil penalties. This data element is
only required if there is a SEP and may be entered at a later date when the data is available.
This text field summarizes the Supplemental Environmental Projects (SEPs) that the respondent
has completed in response to an enforcement
action. This data element is only required if
there is a SEP and may be entered at a later
date when the data is available.
123.27, 123.41(a), and CWA
section 309.
1.
123.27, 123.41(a), and CWA
section 309.
1.
Data name
Supplemental Environmental
Project Amount.
Supplemental Environmental
Project Description.
NPDES data group No.
(see Table 1)
Compliance Schedule Information
[Note: These data elements are linked to the ‘‘Enforcement Action Identifier’’.]
Compliance Schedule Number
Compliance Schedule Type .....
Compliance Schedule Description.
Compliance Schedule Event
Code.
Compliance Schedule Due
Date.
Compliance Schedule Actual
Date.
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Compliance Schedule Report
Received Date.
This number that in combination with the Compliance Schedule Type and NPDES ID uniquely
identifies a compliance schedule.
The unique code/description that identifies the
type of compliance schedule (e.g., an administrative formal action = ‘‘A’’, a judicial action =
‘‘J’’).
The unique code/description that identifies each
type of condition or requirement (e.g., best
management practices plan development) for
the compliance schedule.
The unique code/description that identifies each
event that is added within a compliance schedule.
The date the compliance schedule event is
scheduled to be completed (i.e., the due date).
The date must be provided in YYYY–MM–DD
format where YYYY is the year, MM is the
month, and DD is the day.
The actual date on which the compliance schedule event was completed or achieved. The date
must be provided in YYYY–MM–DD format
where YYYY is the year, MM is the month, and
DD is the day.
The date the regulatory agency received the report required by the compliance schedule report. The date must be provided in YYYY–MM–
DD format where YYYY is the year, MM is the
month, and DD is the day.
Notes:
(1) The NPDES program authority may prepopulate these data elements and other data
elements (e.g., Federal Registry System ID) in
the NPDES electronic reporting systems in
order to create efficiencies and
standardization. For example, the NPDES
program authority may configure their
electronic reporting system to automatically
generate NPDES IDs for control mechanisms
for new facilities reported on a Pretreatment
Program Report [40 CFR 403.12(i)].
Additionally, the NPDES program authority
can decide whether to allow NPDES
regulated entities to override these prepopulated data.
(2) The data elements in this table conform
to EPA’s policy regarding the application
requirements for renewal or reissuance of
NPDES permits for discharges from
municipal separate storm sewer systems (see
61 FR 41698; 6 August 1996).
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123.27, 123.41(a), and CWA
section 309.
1.
123.27, 123.41(a), and CWA
section 309.
1.
123.27, 123.41(a), and CWA
section 309.
1.
123.27, 123.41(a), and CWA
section 309.
1.
123.27, 123.41(a), and CWA
section 309.
1.
123.27, 123.41(a), and CWA
section 309.
1.
123.27, 123.41(a), and CWA
section 309.
1.
(3) The data elements in this table are also
supported by the Office Management and
Budget approved permit applications and
forms for the NPDES program.
(4) These data will allow EPA and the
NPDES program authority to link facilities,
compliance monitoring activities,
compliance determinations, and enforcement
actions. For example, these data will provide
several ways to make the following linkages:
linking violations to enforcement actions and
final orders; linking single event violations
and compliance monitoring activities; linking
program reports to DMRs; linking program
reports to compliance monitoring activities;
and linking enforcement activities and
compliance monitoring activities.
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PART 403—GENERAL
PRETREATMENT REGULATIONS FOR
EXISTING AND NEW SOURCES OF
POLLUTION
24. The authority citation for part 403
continues to read as follows:
■
Authority: 33 U.S.C. 1251 et seq.
25. Amend § 403.10 by adding
paragraph (f)(2)(viii) to read as follows:
■
§ 403.10 Development and submission of
NPDES State pretreatment programs.
*
*
*
(f) * * *
(2) * * *
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*
Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations
(viii) Regularly notify all Control
Authorities of electronic submission
requirements of 40 CFR part 127.
*
*
*
*
*
■ 26. Amend § 403.12 by revising
paragraphs (e)(1), (h), and (i)
introductory text to read as follows:
§ 403.12 Reporting requirements for
POTW’s and industrial users.
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*
*
*
*
*
(e) * * *
(1) Any Industrial User subject to a
categorical Pretreatment Standard
(except a Non-Significant Categorical
User as defined in § 403.3(v)(2)), after
the compliance date of such
Pretreatment Standard, or, in the case of
a New Source, after commencement of
the discharge into the POTW, shall
submit to the Control Authority during
the months of June and December,
unless required more frequently in the
Pretreatment Standard or by the Control
Authority or the Approval Authority, a
report indicating the nature and
concentration of pollutants in the
effluent which are limited by such
categorical Pretreatment Standards. In
addition, this report shall include a
record of measured or estimated average
and maximum daily flows for the
reporting period for the Discharge
reported in paragraph (b)(4) of this
section except that the Control
Authority may require more detailed
reporting of flows. In cases where the
Pretreatment Standard requires
compliance with a Best Management
Practice (or pollution prevention
alternative), the User shall submit
documentation required by the Control
Authority or the Pretreatment Standard
necessary to determine the compliance
status of the User. At the discretion of
the Control Authority and in
consideration of such factors as local
high or low flow rates, holidays, budget
cycles, etc., the Control Authority may
modify the months during which the
above reports are to be submitted. For
Industrial Users for which EPA or the
authorized state, tribe, or territory is the
Control Authority, as of December 21,
2020 all reports submitted in
compliance with this section must be
submitted electronically by the
industrial user to the Control Authority
or initial recipient, as defined in 40 CFR
127.2(b), in compliance with this
section and 40 CFR part 3 (including, in
all cases, subpart D to part 3), 40 CFR
122.22, and 40 CFR part 127. Part 127
is not intended to undo existing
requirements for electronic reporting.
Prior to this date, and independent of
part 127, the Industrial Users for which
EPA or the authorized state, tribe, or
territory is the Control Authority may be
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19:04 Oct 21, 2015
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required to report electronically if
specified by a particular control
mechanism or if required to do so by
state law.
*
*
*
*
*
(h) Reporting requirements for
Industrial Users not subject to
categorical Pretreatment Standards. The
Control Authority must require
appropriate reporting from those
Industrial Users with Discharges that are
not subject to categorical Pretreatment
Standards. Significant Non-categorical
Industrial Users must submit to the
Control Authority at least once every six
months (on dates specified by the
Control Authority) a description of the
nature, concentration, and flow of the
pollutants required to be reported by the
Control Authority. In cases where a
local limit requires compliance with a
Best Management Practice or pollution
prevention alternative, the User must
submit documentation required by the
Control Authority to determine the
compliance status of the User. These
reports must be based on sampling and
analysis performed in the period
covered by the report, and in
accordance with the techniques
described in part 136 of this chapter and
amendments thereto. This sampling and
analysis may be performed by the
Control Authority in lieu of the
significant non-categorical Industrial
User. For Industrial Users for which
EPA or the authorized state, tribe, or
territory is the Control Authority, as of
December 21, 2020 all reports submitted
in compliance with this section must be
submitted electronically by the
industrial user to the Control Authority
or initial recipient, as defined in 40 CFR
127.2(b), in compliance with this
section and 40 CFR part 3 (including, in
all cases, subpart D to part 3), 40 CFR
122.22, and 40 CFR part 127. Part 127
is not intended to undo existing
requirements for electronic reporting.
Prior to this date, and independent of
part 127, the Industrial Users for which
EPA or the authorized state, tribe, or
territory is the Control Authority may be
required to report electronically if
specified by a particular control
mechanism or if required to do so by
state law.
(i) Annual POTW reports. POTWs
with approved Pretreatment Programs
shall provide the Approval Authority
with a report that briefly describes the
POTW’s program activities, including
activities of all participating agencies, if
more than one jurisdiction is involved
in the local program. The report
required by this section shall be
submitted no later than one year after
approval of the POTW’s Pretreatment
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64157
Program, and at least annually
thereafter, and must include, at a
minimum, the applicable required data
in appendix A to 40 CFR part 127. The
report required by this section must also
include a summary of changes to the
POTW’s pretreatment program that have
not been previously reported to the
Approval Authority and any other
relevant information requested by the
Approval Authority. As of December 21,
2020 all annual reports submitted in
compliance with this section must be
submitted electronically by the POTW
Pretreatment Program to the Approval
Authority or initial recipient, as defined
in 40 CFR 127.2(b), in compliance with
this section and 40 CFR part 3
(including, in all cases, subpart D to part
3), 40 CFR 122.22, and 40 CFR part 127.
Part 127 is not intended to undo
existing requirements for electronic
reporting. Prior to this date, and
independent of part 127, the Approval
Authority may also require POTW
Pretreatment Programs to electronically
submit annual reports under this section
if specified by a particular permit or if
required to do so by state law.
*
*
*
*
*
PART 501—STATE SLUDGE
MANAGEMENT PROGRAM
REGULATIONS
27. The authority citation for part 501
continues to read as follows:
■
Authority: 33 U.S.C. 1251 et seq.
■
28. Revise § 501.21 to read as follows:
§ 501.21
Program reporting to EPA.
As of December 21, 2020, state sludge
management programs must comply
with 40 CFR part 3 and 40 CFR part 127
(including the applicable required data
elements in appendix A to part 127).
PART 503—STANDARDS FOR THE
USE OR DISPOSAL OF SEWAGE
SLUDGE
29. The authority citation for part 503
continues to read as follows:
■
Authority: Sections 405 (d) and (e) of the
Clean Water Act, as amended by Pub. L. 95–
217, sec. 54(d), 91 Stat. 1591 (33 U.S.C. 1345
(d) and (e)); and Pub. L. 100–4, title IV, sec.
406(a), (b), 101 Stat., 71, 72 (33 U.S.C. 1251
et seq.).
30. Amend § 503.18 by revising
paragraph (a) introductory text to read
as follows:
■
§ 503.18
Reporting.
(a) Class I sludge management
facilities, POTWs (as defined in § 501.2
of this chapter) with a design flow rate
equal to or greater than one million
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Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 / Rules and Regulations
■
31. Revise § 503.28 to read as follows:
§ 503.28
Reporting.
mstockstill on DSK4VPTVN1PROD with RULES2
Class I sludge management facilities,
POTWs (as defined in 40 CFR 501.2)
VerDate Sep<11>2014
19:54 Oct 21, 2015
Jkt 238001
with a design flow rate equal to or
greater than one million gallons per day,
and POTWs that serve 10,000 people or
more shall submit a report on February
19 of each year. As of December 21,
2016 all reports submitted in
compliance with this section must be
submitted electronically by the operator
to EPA when the Regional
Administrator is the Director in
compliance with this section and 40
CFR part 3 (including, in all cases,
subpart D to part 3), 40 CFR 122.22, and
40 CFR part 127. As of December 21,
2020 all reports submitted in
compliance with this section must be
submitted electronically in compliance
with this section and 40 CFR part 3
(including, in all cases, subpart D to part
3), 40 CFR 122.22, and 40 CFR part 127.
Part 127 is not intended to undo
existing requirements for electronic
reporting. Prior to the start dates for
electronic reporting (see Table 1 in 40
CFR 127.16), the Director may also
require operators to electronically
submit annual reports under this section
if required to do so by state law.
■ 32. Revise § 503.48 to read as follows:
chapter) with a design flow rate equal to
or greater than one million gallons per
day, and POTWs that serve a population
of 10,000 people or greater shall submit
a report on February 19 of each year. As
of December 21, 2016 all reports
submitted in compliance with this
section must be submitted electronically
by the operator to EPA when the
Regional Administrator is the Director
in compliance with this section and 40
CFR part 3 (including, in all cases,
subpart D to part 3), 40 CFR 122.22, and
40 CFR part 127. As of December 21,
2020 all reports submitted in
compliance with this section must be
submitted electronically in compliance
with this section and 40 CFR part 3
(including, in all cases, subpart D to part
3), 40 CFR 122.22, and 40 CFR part 127.
Part 127 is not intended to undo
existing requirements for electronic
reporting. Prior to the start dates for
electronic reporting (see Table 1 in 40
CFR 127.16), the Director may also
require operators to electronically
submit annual reports under this section
if required to do so by state law.
§ 503.48
gallons per day, and POTWs that serve
10,000 people or more shall submit a
report on February 19 of each year. As
of December 21, 2016 all reports
submitted in compliance with this
section must be submitted electronically
by the operator to EPA when the
Regional Administrator is the Director
in compliance with this section and 40
CFR part 3 (including, in all cases,
subpart D to part 3), 40 CFR 122.22, and
40 CFR part 127. As of December 21,
2020 all reports submitted in
compliance with this section must be
submitted electronically in compliance
with this section and 40 CFR part 3
(including, in all cases, subpart D to part
3), 40 CFR 122.22, and 40 CFR part 127.
Part 127 is not intended to undo
existing requirements for electronic
reporting. Prior to the start dates for
electronic reporting (see Table 1 in 40
CFR 127.16), the Director may also
require operators to electronically
submit annual reports under this section
if required to do so by state law.
*
*
*
*
*
[FR Doc. 2015–24954 Filed 10–21–15; 8:45 am]
Reporting.
Class I sludge management facilities,
POTWs (as defined in § 501.2 of this
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BILLING CODE 6560–50–P
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Agencies
[Federal Register Volume 80, Number 204 (Thursday, October 22, 2015)]
[Rules and Regulations]
[Pages 64063-64158]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2015-24954]
[[Page 64063]]
Vol. 80
Thursday,
No. 204
October 22, 2015
Part II
Environmental Protection Agency
-----------------------------------------------------------------------
40 CFR Parts 9, 122, 123, et al.
National Pollutant Discharge Elimination System (NPDES) Electronic
Reporting Rule; Final Rule
Federal Register / Vol. 80, No. 204 / Thursday, October 22, 2015 /
Rules and Regulations
[[Page 64064]]
-----------------------------------------------------------------------
ENVIRONMENTAL PROTECTION AGENCY
40 CFR Parts 9, 122, 123, 124, 127, 403, 501, and 503
[EPA-HQ-OECA-2009-0274; FRL-9930-70-OECA]
RIN 2020-AA47
National Pollutant Discharge Elimination System (NPDES)
Electronic Reporting Rule
AGENCY: Environmental Protection Agency (EPA).
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: The Environmental Protection Agency (EPA) is publishing this
final regulation that requires the electronic reporting and sharing of
Clean Water Act National Pollutant Discharge Elimination System (NPDES)
program information instead of the current paper-based reporting of
this information. This action will save time and resources for
permittees, states, tribes, territories, and the U.S. Government while
increasing data accuracy, improving compliance, and supporting EPA's
goal of providing better protection of the nation's waters. By
modernizing this Clean Water Act reporting program, permittees and
regulators will use existing, available information technology to
electronically report information and data related to the NPDES permit
program. This regulation will help provide greater clarity on who is
and who is not in compliance and enhances transparency by providing a
timelier, complete, more accurate, and nationally-consistent set of
data about the NPDES program. By providing improved data in a more
accessible form, this final rulemaking will improve the ability of EPA
and authorized NPDES programs to target the most serious water quality
and compliance problems. Furthermore, by reducing the time and
resources devoted to outdated data management activities, the rule
could allow authorized NPDES programs to shift limited resources to
important water quality and public health protection activities. The
transition from paper to electronic reporting will require close
coordination and cooperation between EPA and authorized NPDES programs.
This regulation provides important flexibility while still implementing
electronic reporting in a timely and effective fashion.
DATES: The final rule is effective on December 21, 2015. The
incorporation by reference of certain publications listed in this rule
was approved by the Director of the Federal Register as of February 7,
2000. In accordance with 40 CFR part 23, this regulation shall be
considered issued for purposes of judicial review at 1 p.m. Eastern
time on November 5, 2015. The start dates for electronic reporting are
provided in 40 CFR 127.16.
ADDRESSES: EPA has established a docket for this action under Docket ID
No. EPA-HQ-OECA-2009-0274. All documents in the docket are listed on
the www.regulations.gov Web site. Although listed in the index, some
information is not publicly available, e.g., confidential business
information or other information whose disclosure is restricted by
statute. Certain other material, such as copyrighted material, is not
placed on the Internet and will be publicly available only in hard copy
form. Publicly available docket materials are available either
electronically through www.regulations.gov or in hard copy at the EPA
Docket Center, EPA West Building, Room 3334, 1301 Constitution Avenue
NW., Washington, DC. The Public Reading Room is open from 8:30 a.m. to
4:30 p.m., Monday through Friday, excluding legal holidays. The
telephone number for the Public Reading Room is (202) 566-1744. For
additional information about EPA's public docket, please visit the EPA
Docket Center homepage at https://www.epa.gov/dockets.
FOR FURTHER INFORMATION CONTACT: For additional information, please
contact Messrs. John Dombrowski (202-566-0742) or Carey A. Johnston
(202-566-1014), Office of Compliance (mail code 2222A), Environmental
Protection Agency, 1200 Pennsylvania Avenue NW., Washington, DC 20460;
email addresses: dombrowski.john@epa.gov or johnston.carey@epa.gov.
SUPPLEMENTARY INFORMATION:
How is this document organized?
The outline of this document follows the following format:
I. General Information
II. Legal Authority
III. Legislative and Regulatory Background
IV. Rulemaking History
V. Summary of Decisions in the Final Rule
VI. Economic Analysis
VII. Regulatory Implementation
VIII. Statutory and Executive Order Reviews
I. General Information
A. Executive Summary
1. Purpose of the Regulatory Action
The final rule substitutes electronic reporting for paper-based
reports and, over the long term, saves time and resources for
permittees, states, tribes, territories, and EPA, while improving
compliance and better protecting the Nation's waters. The final rule
requires permittees and regulators to use existing, available
information technology to electronically report information and data
related to the NPDES permit program in lieu of filing paper-based
reports. Authorized NPDES programs may adopt EPA data systems or elect
to use their own data systems to collect NPDES program information as
the initial recipient. All authorized programs are required to
electronically transmit the federally-required data (identified in
appendix A to 40 CFR part 127) to EPA.
The purpose and need for this rule was highlighted in the
development of the Clean Water Act Enforcement Action Plan (Plan).
Announced by EPA Administrator Lisa Jackson in October 2009, the Plan
was a collaborative effort by EPA and state environmental agencies to
explore opportunities to improve water quality by emphasizing and
adopting new approaches that will improve how the NPDES permitting and
enforcement program is administered. The goals of the Plan include
improving transparency of the information on compliance and enforcement
activities in each state, connecting this information to local water
quality, and providing the public with real-time, easy access to this
information. The final NPDES Electronic Reporting Rule will make
achievement of these goals possible by requiring electronic reporting
of facility and operational data, as well as discharge monitoring,
compliance, and enforcement data.
In addition to substituting electronic reporting for paper-based
reports, the final rule requires authorized NPDES programs to share the
minimum set of NPDES program data (appendix A to 40 CFR part 127) with
EPA for all facilities including nonmajor facilities. Historically, EPA
and authorized NPDES programs have focused on major facilities as a way
of prioritizing resources for permitting, enforcement and data sharing.
Over time, there has been a growing recognition that these nonmajor
sources significantly impact water quality as well. Storm water
discharges, concentrated animal feeding operations, mines, and raw
sanitary sewage overflows could all be significant contributors to
water quality impairment; however, they have not been treated as NPDES
major facilities. The final rule is intended to improve data quality
collected from major and nonmajor facilities, thereby providing the
states, tribes, territories, and EPA with more complete and comparable
data on all NPDES permittees. These
[[Page 64065]]
data will improve the ability of existing state and federal programs to
target the most serious water quality and compliance problems, thus
supporting EPA's goal of protecting the nation's waters. A broader and
more in-depth discussion of the purpose and need for this rulemaking is
provided in Section III of the proposed rule (30 July 2013; 78 FR
46013).
2. Summary of the Key Provisions
This final rule requires NPDES regulated entities to electronically
submit NPDES compliance monitoring reports and notices [e.g., Discharge
Monitoring Reports (DMRs), Notices of Intent to discharge in compliance
with a general permit, other general permit waivers, certifications,
and notices of termination of coverage, and program reports] to their
authorized NPDES program or to EPA through the National Environmental
Information Exchange Network. Importantly, while the final rule changes
the mode of transmission of these data (i.e., electronic rather than
paper-based reporting), it does not change the information required
from NPDES-permitted facilities under existing regulations and
practices.
States, tribes, and territories that are authorized to implement
the NPDES program are the sources of certain key information regarding
the regulated facilities. For example, states have information from
NPDES permit applications, which includes information concerning
facility location, outfalls, effluent limits, and permit conditions, as
well as information from their compliance monitoring activities,
violation determinations, and enforcement actions. Under this final
regulation, NPDES permitting authorities are required to share
important components of this information electronically with EPA. The
list of data elements that must be electronically collected, managed,
and shared is provided in this final rule (appendix A to 40 CFR part
127). By ``NPDES program,'' this rule refers not only to the discharge
permit program, but also the pretreatment program and the biosolids
program, both of which are implemented in some ways without NPDES
permits.
Separate from this rulemaking, EPA intends to make this more
complete set of data available electronically to the public, to promote
transparency and accountability by providing communities and citizens
with easily accessible information on facility and government
performance. This can serve to elevate the importance of compliance
information and environmental performance within regulated entities,
providing opportunity for them to quickly address any noncompliance.
The ease of reviewing and assessing electronically submitted data will
help provide greater clarity on who is and who is not in compliance.
Currently, some noncompliance information is not easily reviewable by
the authorized NPDES programs or accessible to EPA and these
noncompliance events are sometimes not resolved in a timely manner. The
result of this uneven response to noncompliance by regulators means
that some facilities in noncompliance will not take immediate action,
which gives them a financial edge over other facilities in states where
there is a timelier response to noncompliance. This rule opens the
opportunity for two-way communication between authorized NPDES programs
or EPA and regulated facilities to immediately address data quality
issues and to provide compliance assistance or take other action when
potential problems are identified. Complete and accurate data also will
allow comparison of performance across authorized NPDES programs as
well as EPA's performance.
Key provisions of this final rule are identified in the
implementation schedule in Section VII of the preamble. This includes
the schedule of milestones for NPDES program data submission from
states, tribes, and territories regarding their implementation
activities, programs and permits as well as electronic NPDES program
data submissions from regulated entities.
3. Costs and Benefits
To fully implement this final regulation, there will be initial
investment costs associated with needed changes to information
technology and infrastructure. For example, EPA has developed a data
system called the [Integrated Compliance Information System for the
National Pollutant Discharge Elimination System (ICIS-NPDES) and two
NPDES electronic reporting systems to collect NPDES program data
(NetDMR and NPDES eReporting Tool (NeT)]. While all authorized NPDES
programs are welcome to use EPA's data systems, authorized NPDES
programs also have the flexibility to develop their own data systems
that meet the regulatory requirements of 40 CFR part 3 (including, in
all cases, subpart D), 40 CFR 122.22, and 40 CFR part 127. EPA will
continue to closely work with authorized NPDES programs to make EPA's
systems available and assist the development of their data systems in a
cost-effective manner.
The initial cost of implementing the final rule is $77.9 million in
undiscounted dollars (see Table 4-11: Total Initial Implementation
Costs of the Rule, DCN 0197). While most of these costs are incurred
within the first year after the effective date of the rule, this
estimate includes certain recurring activities that should cease once
full implementation is achieved. Five years after rule promulgation,
assuming all regulated facilities have converted to electronic
reporting (other than 1 percent that are assumed to receive waivers
from electronic reporting), the cost is estimated to be $20.3 million
per year in undiscounted dollars (see Table 4-10: Annual Cost of Data
Entry and Operations for the Updated System after Implementation, DCN
0197). However, one year after rule promulgation, annual savings
greatly outweigh annual costs, by approximately $23.9 million per year
[calculated by subtracting the projected costs in year one from the
projected savings; see Table 4-16: Schedule of Savings and Costs (3%
Discount Rate), DCN 0197]. Cumulative savings over a ten-year period
(using a 3 percent discount rate) are $406 million while cumulative
costs are $250 million. As a result the overall economic effect of this
rule is a net cumulative savings of $156 million over the ten years of
the projection.
The final rule will save money for states, tribes, and territories
authorized to administer the NPDES program as well as EPA and most
NPDES permittees, while resulting in a more complete, more accurate,
and nationally-consistent set of data about the NPDES program. With
full implementation (expected to be five years after the effective date
of the final rule), the anticipated annual net savings are expected to
be $22.6 million for NPDES programs, $0.5 million for regulated
entities, and $1.2 million for EPA, assuming a 3% discount rate
[calculated by subtracting the projected costs in year five from the
projected savings in year five; see Table 4-16: Schedule of Savings and
Costs (3% Discount Rate), DCN 0197]. The economic analysis supporting
this rule provides a more detailed description of the costs and savings
(see DCN 0197).
The electronic submittal of data will help support EPA's goal of
protecting and restoring water quality and will result in significant
cost savings for the authorized NPDES programs, as well as savings for
the permittees and EPA, when the rule is fully implemented. The final
rule will also reduce the reporting burden currently borne by the
authorized NPDES programs, improve overall facility compliance, allow
better
[[Page 64066]]
allocation and use of limited program resources, and enhance
transparency and public accountability by allowing EPA to provide the
public with timely information on potential sources of water pollution.
The final rule will also lighten the reporting burden currently
placed on the authorized NPDES programs. Upon successful
implementation, the final rule would provide authorized NPDES programs
with regulatory relief from reporting associated with the non-
compliance reporting [see 40 CFR 123.45--(a) Quarterly Non-Compliance
Report (QNCR), (b) Semi-Annual Statistical Summary Report, and (c)
Annual Non-Compliance Report (ANCR)] and the biosolids report submitted
to EPA annually by authorized NPDES programs with the Federal biosolids
program (40 CFR 501.21).
4. Compliance Dates for Final Rule
The implementation schedule for the final rule is divided in two
phases. Prior to the deadline for each phase, EPA will work with
authorized NPDES programs to collect the necessary facility, permit,
inspection, and enforcement action information that supports electronic
reporting. For example, EPA will work with authorized NPDES programs
which opt to use EPA's national NPDES data system (i.e., ICIS-NPDES) to
ensure that the necessary facility and permit data are entered no later
than nine months after the effective date of the final rule to allow
for the electronic reporting of DMR data and Sewage Sludge/Biosolids
Annual Program Report data, which are scheduled for the first phase.
Likewise, EPA will also work with authorized NPDES programs to collect
the necessary data to support electronic reporting for the second
phase. Regulated entities must report electronically prior to this
compliance schedule if required to do so in their permit or any other
enforcement instrument issued by the relevant NPDES program. This rule
reinforces existing electronic reporting efforts by authorized programs
and regulated entities. The rule also grandfathers any existing
requirements to report electronically.
The key compliance dates are set out below and set out in further
details in Section VII and in the final rule (see 40 CFR 127.16).
Phase 1 Data: Authorized NPDES programs must
electronically transmit to EPA basic facility and permit information
(see list of data elements in ``ICIS Addendum to the Appendix of the
1985 Permit Compliance System Policy Statement,'' 28 December 2007, DCN
0007, also known as Water Enforcement National Database or ``WENDB'')
for all permits as well as other data necessary for implementation of
Phase 1 data collection within nine months after the effective date of
the final rule. One year after the effective date of the final rule,
authorized NPDES programs must start electronically transmitting to EPA
their state performance data (subject to applicable waivers), which
includes information generated from compliance monitoring (e.g.,
inspections), violation determinations, and enforcement actions.
Additionally, one year after the effective date of the final rule,
NPDES regulated entities that are required to submit DMRs (including
majors and nonmajors, individually permitted facilities and facilities
covered by general permits) must do so electronically. EPA and
authorized NPDES programs will begin electronically receiving these
DMRs from all DMR filers and start sharing these data with each other.
One year after the effective date of the final rule, all NPDES
regulated entities in states where EPA is the authorized NPDES
biosolids program (currently 42 of 50 states and all other tribal lands
and territories) must electronically submit their Sewage Sludge/
Biosolids Annual Program Report to EPA.
Phase 2 Data: Authorized NPDES programs have five years to
begin electronically collecting, managing, and sharing the remaining
set of information in appendix A in 40 CFR part 127. This information
includes: General permit reports [e.g. Notice of Intent to be covered
(NOI); Notice of Termination (NOT); No Exposure Certification (NOE);
Low Erosivity Waiver and Other Waivers from Stormwater Controls (LEW)];
Sewage Sludge/Biosolids Annual Program Report (where the state is the
authorized NPDES biosolids program); and all other remaining NPDES
program reports (e.g., CAFO Annual Report, Pretreatment Program Annual
Report). Authorized NPDES programs will also share with EPA all data
necessary for implementation of Phase 2 data collection three months
before the Phase 2 deadline as defined in the data element analysis for
the final rule (see DCN 0200). Additionally, one year after the
effective date of the final rule, authorized NPDES programs will submit
an implementation plan (IP) for meeting the Phase 2 data requirements
for EPA to review. EPA will inform the state if its IP is inadequate.
NPDES Noncompliance Report (NNCR) and Other State
Reporting: EPA will replace a number of currently required state
reports (e.g., QNCR and ANCR) with the new NNCR when EPA has a timely,
complete, more accurate, and nationally-consistent set of data about
the NPDES program. Full implementation of the NNCR and phase out of
certain state reports will only be possible one full year after full
implementation of Phase 2 data collection (i.e., six years after the
effective date of this rule). A complete set of Phase 1 and 2 data are
necessary to develop and produce the NNCR.
As with any new regulation, some authorized NPDES programs may need
to update their regulations or statutes to make clear that electronic
reporting is required for the reports listed in Table 1 of appendix A
and that these electronic submissions must be compliant with 40 CFR
part 127 (including appendix A) and 40 CFR part 3 (including, in all
cases, subpart D) [Cross-Media Electronic Reporting Regulation
(CROMERR)--authentication and encryption standards]. Existing EPA
regulations at 40 CFR 123.62(e) require that any updates to the
authorized NPDES program take place within one year of the effective
date of the final rule (if no state statute change is required) and
within two years of the effective date of the final rule (if a state
statute change is required). Accordingly, all authorized NPDES programs
should complete any necessary updates to their state regulations within
one year and statutes within two years of the effective date of the
final rule.
B. Does this action apply to me?
Entities potentially affected by this action include all NPDES-
permitted facilities, whether covered by an individual permit or
general permit, industrial users located in cities without approved
local pretreatment programs, and governmental entities that have
received NPDES program authorization or are implementing portions of
the NPDES program in a cooperative agreement with EPA. These entities
include:
[[Page 64067]]
------------------------------------------------------------------------
Category Examples of regulated entities
------------------------------------------------------------------------
NPDES-permitted facilities........... Publicly-owned treatment works
(POTW) facilities, treatment
works treating domestic sewage
(TWTDS), municipalities,
counties, stormwater management
districts, state-operated
facilities, Federally-operated
facilities, industrial
facilities, construction sites,
and concentrated animal feeding
operations (CAFOs).
Facilities seeking coverage under Stormwater management districts,
NPDES general permits. construction sites, CAFOs,
POTWs, TWTDS, municipalities,
counties, stormwater management
districts, and state-operated
facilities.
Industrial users located in cities Industrial facilities discharging
without approved local pretreatment to POTWs and for which the
programs. designated pretreatment Control
Authority is EPA or the
authorized state, tribe, or
territory rather than an
approved local pretreatment
program.
State and territorial government..... States and territories that have
received NPDES program
authorization from EPA, that are
implementing portions of the
NPDES program in a cooperative
agreement with EPA, or that
operate NPDES-permitted
facilities.
Tribal government.................... Tribes that have received NPDES
program authorization from EPA,
that are implementing portions
of the NPDES program in a
cooperative agreement with EPA,
or that operate NPDES-permitted
facilities.
Federal government................... Federal facilities with a NPDES
permit and EPA Regional Offices
acting for those states, tribes,
and territories that do not have
NPDES program authorization or
that do not have program
authorization for a particular
NPDES subprogram (e.g.,
biosolids or pretreatment).
------------------------------------------------------------------------
This table is not intended to be an exhaustive list, but rather
provides some examples of the types of entities regulated by this
action. Other types of entities not listed in this table may also be
regulated.
II. Legal Authority
Pursuant to the Clean Water Act (CWA), 33 U.S.C. 1251 et seq., the
U.S. Environmental Protection Agency (EPA) is promulgating the National
Pollutant Discharge Elimination System (NPDES) Electronic Reporting
Rule, which adds a new part to title 40 (40 CFR part 127) as well as
making changes to existing regulations. The U.S. Environmental
Protection Agency is promulgating the NPDES Electronic Reporting Rule
under authority of the CWA sections 101(f), 304(i), 308, 402, and 501.
EPA notes that the Congressional Declaration of Goals and Policy of the
CWA specifies in section 101(f) that ``It is the national policy that
to the maximum extent possible the procedures utilized for implementing
this chapter shall encourage the drastic minimization of paperwork and
interagency decision procedures, and the best use of available manpower
and funds, so as to prevent needless duplication and unnecessary delays
at all levels of government.''
Harnessing information technology that is now a common part of
daily life is an important step toward reaching the goals of the CWA.
EPA is promulgating this rule under the authority of CWA section 304(i)
that authorizes EPA to establish minimum procedural and other elements
of state programs under section 402, including reporting requirements
and procedures to make information available to the public. In
addition, EPA is promulgating this rule under section 308 of the CWA.
Section 308 of the CWA authorizes EPA to require access to information
necessary to carry out the objectives of the Act, including sections
301, 305, 306, 307, 311, 402, 404, 405, and 504. Section 402 of the CWA
establishes the NPDES permit program for the control of the discharge
of pollutants into the nation's waters. EPA is promulgating this rule
under CWA sections 402(b) and (c), which require each authorized state,
tribe, or territory to ensure that permits meet certain substantive
requirements, and provide EPA information from point sources,
industrial users, and authorized programs in order to ensure proper
oversight. Finally, EPA is promulgating this rule under the authority
of section 501, which authorizes EPA to prescribe such regulations as
are necessary to carry out provisions of the Act.
Under section 509(b)(1) of the CWA, judicial review of this
regulation can be had only by filing a petition for review in the U.S.
Court of Appeals within 120 days after the regulation is considered
issued for purposes of judicial review. Under section 509(b)(2), the
requirements in this regulation may not be challenged later in civil or
criminal proceedings brought by EPA to enforce these requirements.
III. Legislative and Regulatory Background
A. The Clean Water Act
The 1948 Federal Water Pollution Control Act and subsequent
amendments are now commonly referred to as the Clean Water Act (CWA).
The CWA establishes a comprehensive program for protecting and
restoring our nation's waters. The CWA established the NPDES permit
program to authorize and control the discharges of pollutants to waters
of the United States [CWA section 402]. This final rule, which is
intended to reduce resource burdens associated with the paper-based
system and increase the timeliness, accuracy, completeness, and
usefulness of the information received by EPA, the states, tribes,
territories, and the public, echoes the goals of CWA section 101(f).
Implementation of information technology that is now a common part
of daily life is an important step toward reaching the goals of the
CWA. EPA is promulgating this rule under the authority of CWA section
304(i) that authorizes EPA to establish minimum procedural and other
elements of state programs under section 402, including reporting
requirements and procedures to make information available to the
public. In addition, EPA is promulgating this rule under the authority
of section 308 of the CWA. Section 308 of the CWA authorizes EPA to
require information to carry out the objectives of the Act, including
sections 301, 305, 306, 307, 311, 402, 404, 405, and 504. Section 402
of the CWA establishes the NPDES permit program for the control of the
discharge of pollutants into the nation's waters. EPA is promulgating
this rule under CWA sections 402(b) and (c), which require each
authorized state, tribe, or territory to ensure that permits meet
certain substantive requirements, and provide EPA information from
point sources, industrial users, and the authorized program in order to
ensure proper oversight. Finally, EPA is promulgating this rule under
the authority of section 501 of the Act, authorizing EPA to prescribe
such regulations as are necessary to carry out provisions of the Act.
[[Page 64068]]
B. National Pollutant Discharge Elimination System
As authorized by the CWA, the NPDES permit program protects the
nation's waters by controlling the discharge of pollutants into waters
of the United States. Such discharges are illegal unless authorized by
an NPDES permit. The NPDES permit program requires all point source
discharges of pollutants (other than dredged or fill material regulated
under Section 404 of the CWA) to waters of the United States to have a
permit, the term of which may not exceed five years. The term ``NPDES-
regulated facilities,'' as used in this rule, refers broadly to
entities regulated under the Clean Water Act, including permittees
under CWA section 402 along with the biosolids program, indirect
dischargers, and non-discharging entities with permits. NPDES permits
may be issued by EPA or by a state, tribe, or territory authorized by
EPA to implement the NPDES program. As of May 1, 2015, EPA has
authorized 46 states and the Virgin Islands to implement the base NPDES
program as well as the general permits program; as of that same date,
no tribe was currently authorized to implement the NPDES program. There
are several subprograms of the NPDES program that states, tribes, and
territories may also receive authorization from EPA to administer,
including the pretreatment and the biosolids programs. As of May 1,
2015, 36 states are authorized to implement the pretreatment program
and eight states are authorized to implement the biosolids program as
part of the NPDES program.
Authorization to discharge may be provided under an individual
NPDES permit, which is developed after a process initiated by the
facility's submission of a permit application (40 CFR 122.21), or under
a general NPDES permit (for example, most oil and gas extraction
facilities and most construction sites operate under NPDES general
permits). See 40 CFR 122.28(a)(2). Authorization to discharge under a
general NPDES permit typically occurs following the submission of an
NOI by the facility seeking authorization to discharge under the permit
[40 CFR 122.28(b)(2)] and approval of that NOI by the permitting
authority. Submission of an NOI is not required for specified types of
discharges under certain circumstances [40 CFR 122.28(b)(2)(v)]. Most
NPDES-permitted sources are regulated under general permits.
EPA has developed criteria to determine which sources should be
considered ``major'' facilities (see DCN 0195). The distinction was
made initially to assist EPA, states, tribes, and territories in
setting priorities for permitting, compliance, and enforcement
activities. Historically, EPA has placed greater priority on major
facilities and has required NPDES-authorized states, tribes, and
territories to provide more information about these dischargers. EPA's
previous regulations establish annual, semi-annual, and quarterly
reporting requirements, which mostly focused on major facilities. These
previous reporting requirements provided violation information and
facilitated EPA's assessment of the effectiveness of authorized
programs and EPA regional program activities (e.g., permitting,
compliance monitoring, and enforcement). This information has guided
EPA in the management and oversight of program activities. More
background information regarding the NPDES program is in the docket
supporting this rulemaking (see DCN 0005).
C. Evolution of the NPDES Program and Data Sharing
In order to support development of appropriate permit limits and
conditions, issuance of effective permits, compliance monitoring, and
appropriate enforcement actions, EPA has developed requirements along
with policies, guidance, and expectations to track, measure, evaluate,
and report on these efforts on a nationwide basis. Over the past 30
years, these efforts to establish significant pollutant controls
focused primarily on major facilities and resulted in important
pollutant discharge reductions from traditional major sources.
Although major municipal and industrial point sources continue to
be significant sources of pollution, permitting experience with more
diffuse sources shows that these point sources also contribute
significant amounts of pollutants to our nation's waters. About 40,000
nonmajor facilities have individual permits which have requirements
similar to the permits for major facilities (e.g., requirements to
submit DMRs) (source: ICIS-NPDES). As the understanding of water
quality issues has evolved, the universe of regulated nonmajor sources
has also expanded. In order to efficiently manage the growing universe
of regulated facilities, sources that are sufficiently similar are
often regulated under general permits rather than individual permits.
In many cases, nonmajor facilities use pollutant control measures based
on best management practices in operational activities rather than on
implementation of pollutant control technologies, which are measured
with numeric effluent limits on pollutant discharges and reported on
DMRs. Several hundred thousand nonmajor facilities are covered by NPDES
general permits; therefore, the number of nonmajor dischargers covered
by general permits is very large compared to the number of major or
nonmajor dischargers covered by individual permits. The universe of
nonmajor dischargers also includes some large volume dischargers (e.g.,
MS4s) that had not previously been regulated with the same types of
individual permits used to regulate discharges from major facilities.
The most recent state water quality assessment reports submitted
under CWA section 305(b) and compiled by EPA in the National Water
Quality Inventory Reports indicate the growing significance and link
between nonmajor sources and impairments in water quality of U.S.
waters, particularly from precipitation-induced or ``wet weather''
point sources of pollutants.\1\ These sources include discharges of
stormwater associated with construction, concentrated animal feeding
operations (CAFOs), overflows from combined sewer systems (CSSs) and
sanitary sewer systems (SSSs), and urban stormwater pollution from
Municipal Separate Storm Sewer Systems (MS4s). Stormwater discharges
include a variety of pollutants, such as sediment, oil and grease,
chemicals, nutrients, metals, and pathogens. Discharges from CAFOs
often include bacteria, nutrients, organic matter, pathogens, and trace
metals. Overflows from combined and separate sanitary sewer systems
pose a significant threat to public health and the environment due to
high concentrations of bacteria from fecal contamination, as well as
disease-causing pathogens. Common pollutants discharged from MS4s
include oil and grease from roadways, pesticides from lawns, sediment
from construction sites, and carelessly discarded trash, such as
cigarette butts, paper wrappers, and plastic bottles. The pollution
controls for wet-weather sources are often best management practices
(BMPs) rather than traditional end-of-pipe controls. These wet-weather
[[Page 64069]]
sources are high priorities for EPA and authorized NPDES programs and
have been for almost over two decades.
---------------------------------------------------------------------------
\1\ The link provides access to the 2004 Water Quality Report to
Congress, which was the last hard-copy version of this report. Since
2004 these data are made available directly via the ATTAINS database
(link provided at above site). The ATTAINS database provides state
information showing the water quality impairments and the likely
causes of impairments. In particular, ``Urban-Related Runoff/
Stormwater'' ranks high among the list of impairment causes. See:
https://ofmpub.epa.gov/waters10/attains_nation_cy.control.
---------------------------------------------------------------------------
In the past, states, tribes, and territories generally did not
consistently share information with EPA on most wet-weather sources.
Therefore, EPA and the public do not have complete information on these
pollution sources. Electronic reporting from all NPDES permittees will
efficiently provide these data and will assist EPA and authorized NPDES
programs in focusing their limited resources on the most significant
water pollution sources and violations, whether from major or nonmajor
facilities.
Transitioning to electronic reporting and data sharing will bring
the NPDES program into the 21st century. Tracking data electronically
is less expensive, more efficient, more accurate, and better able to
support program management decisions than paper tracking (see July 30,
2013; 78 FR 46015-17, DCN 0015). In particular, Congress and the public
expect environmental program managers at every level of government--
local, state, tribal, territorial, and federal--to design and implement
programs that deliver environmental and public health results. To
target the most important pollution problems, better ensure
environmental protection and public health, and enable more integrated
program assessment and planning at the national level, the data that
are electronically collected, managed, and shared between authorized
NPDES programs and EPA should have the following characteristics:
I. The data should be current. Recent data are more likely to be
representative of current conditions. Although historical data may be
useful in identifying trends and patterns, outdated data are not as
reliable for drawing conclusions as to the current level of discharge,
the compliance status at permitted facilities, or for making plans for
improvements.
II. The data should generally be comparable in format, reporting
units, frequency, etc. In order to aggregate and compare data across
the states, tribes, and territories for national program planning and
reporting purposes, it is important that the data from the individual
states, tribes, and territories be reported in a similar format (e.g.,
reporting units are the same and the metrics being measured are defined
identically) and with the same minimum frequency. For example, for EPA
to assess the volume of waste discharged by POTWs nationally, those
providing the data would need to consistently provide data to EPA,
share the same definition of POTWs, the same definition of volume (per
day, per week, per month) and express the measure in the same units
(gallons, million gallons, cubic feet, liters, etc.). However,
authorized NPDES programs can certainly institute more stringent
reporting requirements than EPA (if shared data remain nationally
consistent).
III. The data should be accurate and complete. Incomplete,
inaccurate data can lead to wrong conclusions. For example, the
significant noncompliance rate for major facilities is a key indicator
of the effectiveness of the NPDES compliance and enforcement program.
This rate is derived in large part from effluent data self-reported in
DMRs to EPA, the states, tribes, and territories by major facilities.
These data are then entered into or provided to ICIS-NPDES by the
states, tribes, territories, or EPA. Incomplete compliance data in
ICIS-NPDES prevent EPA from adequately assessing industry, state, and
national noncompliance rates and identifying any potential corrective
actions. Consequently, program planning and authorized program
evaluation resulting from such incomplete data can be unreliable.
Similarly, incomplete data may result in inaccurate conclusions as
to noncompliance rates for nonmajor permittees. EPA found through the
Annual Noncompliance Report (ANCR) (see DCN 0016) \2\ for NPDES
Nonmajor Permittees that the reported noncompliance rate for serious
violations is much higher for those authorized NPDES programs with
detailed compliance data in EPA's national data systems than it is for
authorized NPDES programs that only provide summary data. These
findings suggest that instances of noncompliance may be higher than
reported by states, tribes, and territories that do not routinely
provide facility-specific compliance data to EPA's national data
systems. The final rule will ensure that DMR information from
facilities and ANCR data from authorized NPDES programs would be
received electronically, allowing the data system to identify
violations and thereby reducing the burden on states, tribes,
territories, and EPA to independently identify effluent violations.
---------------------------------------------------------------------------
\2\ 2008 ANCR, available at https://www.epa-echo.gov/echo/ancr/us/docs/ancr_report_2008.pdf.
---------------------------------------------------------------------------
IV. The data should be nationally consistent. EPA needs nationally
consistent data to make program evaluation and subsequent planning
transparent and replicable. The basis for EPA's planning and
conclusions about the status of program implementation needs to be
readily available to those affected, including the regulated community,
the general public, Congress, federal, state, tribal, and territorial
agencies. For example, the data that EPA needs to evaluate the
performance of an authorized program should be readily available to EPA
(and readily available from EPA to the state, tribe, or territory) and
the state, tribe, or territory should be able to easily duplicate EPA's
analysis.
These factors demonstrate the need for a shared definition and
central management of the information necessary to manage the NPDES
program, ready access to that information by states, tribes,
territories, and EPA, and assurance that the data across the authorized
NPDES programs are complete, more accurate, and timely reported. The
final rule provides parameters for the shared data, ensures the
accessibility of that information, and provides the basis for ensuring
that the data are nationally consistent, complete, more accurate, and
timely.
D. EPA's Next Generation Compliance Strategy
EPA's Next Generation Compliance is an integrated strategy to
improve regulations and permits with new monitoring and information
technology and expanded transparency.\3\ It is designed to motivate the
regulated community to increase compliance, inform the public about
performance, and help ensure the public has access to information about
their communities that allows them to more fully engage in
environmental protection efforts.
---------------------------------------------------------------------------
\3\ See https://www2.epa.gov/compliance/next-generation-compliance.
---------------------------------------------------------------------------
In addition to converting reporting from a paper to electronic
format, the electronic system guides the user through the reporting
process with integrated compliance assistance and data quality checks.
From a compliance perspective, electronic reporting will allow
regulated entities, governmental agencies, and the public to more
quickly identify violations, and then more quickly address them.
Electronic reporting is a key component of the Next Generation
Compliance Strategy (see DCN 0192). This strategy and rulemaking record
shows that the shift from paper reporting toward electronic reporting
is easier, more efficient, and costs less for the facility and for
regulatory agencies. Electronic systems are used in the modern era for
almost every kind of transaction. For the user, these systems offer
speed, convenience, expanded
[[Page 64070]]
information choices and filing capabilities. For government, they offer
the ability to increase transparency and an opportunity to improve the
ability to spot pollution and compliance issues and respond quickly to
emerging problems. Under EPA policy, electronic reporting is now the
default assumption for new regulations (see DCN 0193).
IV. Rulemaking History
A. Proposed Rule
Since 2002, EPA and the authorized NPDES programs have worked
together to update the information and data that states, tribes,
territories, and EPA need to successfully implement, manage, and
oversee the NPDES program. Various iterations of critical data elements
were discussed by the state and EPA members of the Permit Compliance
System (PCS) Steering Committee, the PCS Modernization Executive
Council, and the Expanded PCS Steering Committee, which added
representatives from the Environmental Council of the States (ECOS) and
the Association of Clean Water Administrators (ACWA).\4\ Those efforts
led to the April 2007 issuance by EPA of a draft ICIS-NPDES Policy
Statement that included the list of NPDES data elements that states,
tribes, and territories would report to EPA (see DCN 0056).
---------------------------------------------------------------------------
\4\ Formerly known for 50 years as the Association of State and
Interstate Water Pollution Control Agencies (ASIWPCA).
---------------------------------------------------------------------------
After receiving numerous comments on the draft ICIS-NPDES Policy
Statement from the states, EPA began to develop a federal regulation
that would require electronic reporting of specific NPDES information
from the regulated permittees, states, tribes, and territories (see DCN
0215 and 0216). In 2010, EPA initiated an effort to carefully review
the data needs and uses, identify the types of information and specific
data elements that would allow EPA to meet those needs and uses, and
evaluate whether some information should be sought directly from NPDES-
regulated facilities or from states, tribes, and territories. This was
done with full acknowledgement that for certain activities (such as
permit issuance, inspections, compliance determinations, and issuance
of enforcement actions), the states, tribes, and territories are the
unique source of the identified NPDES information. During the summer of
2010, EPA conducted a series of concurrent technical analyses of
various data types and facility types, which examined the feasibility
of electronic reporting, various regulatory options, the existing
regulatory data and reporting requirements, key considerations, and
preliminary information regarding costs and benefits (see DCN 0018,
0019, 0020, 0021, 0022). After significant deliberations and
consultations with states, EPA published the proposed rule on 30 July
2013 (78 FR 46006) and opened a 135 day public comment period.
EPA received 170 public comments on the proposed rule from a
variety of stakeholder groups. The comments were generally supportive
of electronic reporting as modern and efficient, but raised issues
regarding aspects of the proposed implementation and operation of the
rule. Table 1 provides an overview of the public comments EPA received
during the proposed rule comment period. The largest number of public
comments (by pages) came from state government agencies with industrial
stakeholders contributing most of the remaining comments. Many of the
industrial comments came from the agricultural sector.
Table 1--Number of Proposal Public Comments
------------------------------------------------------------------------
Number of Number of
Commenter type submissions comment pages
------------------------------------------------------------------------
Anonymous or Individual Person.......... 32 44
Environmental Advocacy Organization..... 3 22
Government (Local)...................... 28 114
Government (State)...................... 39 308
Government (Federal).................... 2 5
Industry (Misc.)........................ 39 188
Industry (Agriculture).................. 25 163
Industry (Software Vendors)............. 2 6
-------------------------------
Total............................... 170 850
------------------------------------------------------------------------
EPA considered all of these comment submissions and identified the
key issues raised by commenters. EPA has responded to these comments in
the comment response document supporting this rulemaking (see DCN
0218).
B. Supplemental Notice of Proposed Rulemaking (SNPR)
On 1 December 2014, EPA published a supplemental notice to the 2013
proposed NPDES Electronic Reporting Rule and opened a 60-day public
comment period (79 FR 71066). EPA used this document to identify many
of the issues raised by commenters during the public comment period for
the proposed rule, clarify misunderstandings about the proposal, and
discuss possibilities for how EPA might modify the rule to address
issues raised by stakeholders.
EPA received 58 public comments on the supplemental notice to the
proposed rule from a variety of stakeholder groups. The comments were
again generally supportive of electronic reporting as modern and
efficient and provided meaningful comments on alternative means for
implementing the final rule. Table 2 provides an overview of the public
comments EPA received during the SNPR comment period. As with the
proposed rule, the largest number of public comments (by pages) came
from state government agencies.
[[Page 64071]]
Table 2--Number of Supplemental Notice of Proposed Rulemaking Public
Comments
------------------------------------------------------------------------
Number of Number of
Commenter type submissions comment pages
------------------------------------------------------------------------
Anonymous or Individual Person.......... 1 1
Environmental Advocacy Organization..... 2 9
Government (Local)...................... 4 12
Government (State)...................... 28 179
Government (Federal).................... 1 6
Industry (Misc.)........................ 17 75
Industry (Agriculture).................. 4 19
Industry (Software Vendors)............. 1 4
-------------------------------
Total............................... 58 305
------------------------------------------------------------------------
EPA considered all of these comment submissions and has responded
to these comments in the comment response document supporting this
rulemaking (see DCN 0218).
C. Outreach
Section VI of the proposed rule details EPA's extensive outreach
efforts prior to the proposed rule. EPA continued this outreach during
the public comment period on the proposed rule (DCN 0111). In
particular, EPA held over 30 webinars and meetings with over 1,200
people to discuss the proposed rule. In addition to two public comment
periods, EPA has conducted additional stakeholder meetings to further
discuss and refine particular aspects of the rule prior to
promulgation.
Many states expressed concerns with the proposed rule. EPA held
teleconferences with authorized NPDES programs to obtain their
individual views on various aspects of the proposed rule. EPA met with
over twenty five states, ECOS, ACWA, and New England Interstate Water
Pollution Control Commission to take into account their individual
comments and concerns about the rule (see DCN 0128 to 0142, 0181, 0219
to 0229). Additionally, EPA separately contacted each authorized NPDES
program to individually assess its readiness for these new electronic
reporting requirements. This extensive outreach helped inform the
implementation process of the final rule and the additional
flexibilities that authorized states, tribes, and territories need for
a measured and orderly conversion from paper to electronic reporting.
As noted elsewhere in this preamble, EPA has extended the time for full
implementation of this final rule from two years to five years. EPA has
also provided authorized NPDES programs with more flexibility in how
they administer electronic reporting waivers. EPA will continue its
outreach to NPDES regulated entities and authorized NPDES programs
during the implementation of this final rule.
V. Summary of Decisions in the Final Rule
This section identifies the regulatory changes made by this final
rule and the significant decisions made by EPA in response to public
comments. EPA has responded to all public comments in the comment
response document supporting this rulemaking (see DCN 0218).
A. Overview of Existing Regulations Modified by the Final Rule
EPA is amending the following NPDES regulations to require
electronic reporting by NPDES-regulated facilities, to require
electronic reporting of NPDES information by the states, tribes, and
territories to EPA, and to eliminate some existing reporting
requirements, particularly those for states, tribes, and territories.
In addition to the creation of a new 40 CFR part 127, the final rule
adds or modifies the following existing regulations:
40 CFR 122.22. Signatories to permit applications and
reports;
40 CFR 122.26(b)(15), (c)(1)(ii), and (g)(1)(iii).
Stormwater discharges (applicable to State NPDES programs, see 40 CFR
123.25);
40 CFR 122.28(b)(2). General Permits (applicable to State
NPDES programs, see 40 CFR 123.25);
40 CFR 122.34(g)(3). Reporting [as related to small
Municipal Separate Storm Sewer Systems (MS4s)];
40 CFR 122.41(l)(4)(i). Monitoring reports [Discharge
Monitoring Reports];
40 CFR 122.41(l)(6). Twenty-four hour reporting
[Noncompliance which may endanger health or the environment];
40 CFR 122.41(l)(7). Other noncompliance;
40 CFR 122.41(l)(9). Identification of the Initial
Recipient for the Electronic Reporting of NPDES Program Data [a new
standard condition added by this final rule];
40 CFR 122.41(m)(3). Notice [as related to Bypass sewer
overflows];
40 CFR 122.42(c). Municipal separate storm sewer systems
[as related to medium or large MS4s];
40 CFR 122.42(e)(4). Annual reporting requirements for
CAFOs;
40 CFR 122.43. Establishing permit conditions (applicable
to State NPDES programs, see 40 CFR 123.25);
40 CFR 122.44(i). Monitoring requirements;
40 CFR 122.48(c). Requirements for recording and reporting
of monitoring results (applicable to State NPDES programs, see 40 CFR
123.25);
40 CFR 122.63(f). Minor modifications of permits [a new
option that explicitly states that NPDES programs may use the minor
modification process to incorporate electronic reporting into NPDES
permits];
40 CFR 122.64(c). Termination of permits (applicable to
State NPDES programs, see 40 CFR 123.25);
40 CFR 123.22. Program description;
40 CFR 123.24(b)(3). Memorandum of Agreement with the
Regional Administrator;
40 CFR 123.25(a). Requirements for permitting;
40 CFR 123.26. Requirements for compliance evaluation
programs;
40 CFR 123.41(a). Sharing of information;
40 CFR 123.43(d). State data transmission of information
from states to EPA;
40 CFR 123.45. Noncompliance and program reporting by the
Director; [this replaces several state reports of noncompliance with
the NNCR];
40 CFR 403.10(f). State Pretreatment Program requirements;
40 CFR 403.12(e). Periodic reports on continued compliance
[Pretreatment program reports for Categorical Industrial Users];
[[Page 64072]]
40 CFR 403.12(h). Reporting requirements for Industrial
Users not subject to categorical Pretreatment Standards [Pretreatment
program reports for Significant Industrial Users not subject to EPA
categorical pretreatment standards];
40 CFR 403.12(i). Annual POTW reports [Pretreatment
program report];
40 CFR 501.21. Program Reporting to EPA (State Sludge
Management Program) [the final rule eliminates the state annual
biosolids report to EPA];
40 CFR 503.18. Reporting [Sewage Sludge/Biosolids Annual
Program Report for land application];
40 CFR 503.28. Reporting [Sewage Sludge/Biosolids Annual
Program Report for surface disposal]; and
40 CFR 503.48. Reporting [Sewage Sludge/Biosolids Annual
Program Report for incineration].
EPA has grouped the existing NPDES reporting requirements into
``NPDES Data Groups,'' which are defined and listed in 40 CFR 127.2(c)
and in Table 1 to appendix A of 40 CFR part 127. As defined in 40 CFR
127.2(c), the term ``NPDES data group'' means the group of related data
elements identified in Table 1 in appendix A to 40 CFR part 127. These
NPDES data groups have similar regulatory reporting requirements and
have similar data sources. The final rule uses the NPDES Data Groups to
identify the minimum set of data elements for each type of NPDES
reporting (e.g., DMRs, NOIs, program reports) and to help permittees
and regulated entities identify the initial recipient, as defined below
in Section B.1, of electronic NPDES data submissions.
B. Implementation
1. Initial Recipient Status
Under the final rule, NPDES-regulated entities are required to
submit NPDES program data to the designated initial recipient, as
defined in 40 CFR 127.2(b). For this rule, the term ``initial
recipient'' means the governmental entity, either the state or EPA, who
first receives the NPDES program data listed in appendix A to 40 CFR
part 127. The initial recipient designation is made separately for each
state and by each NPDES data group, which is defined in 40 CFR
127.2(c). EPA is using the initial recipient term to help NPDES
regulated entities properly identify the recipient for their electronic
NPDES program data submissions. The initial recipient provision will
also help ensure that authorized NPDES programs and EPA are properly
sharing these NPDES program data with each other. EPA is required by
the rule to maintain the initial recipient list for each state and by
each NPDES data group and publish this list on its Web site and in the
Federal Register. Identification of the initial recipient for each
NPDES data group is included as a new NPDES permit standard condition
as is the URL to the above Web site [see 40 CFR 122.41(l)(9)]. EPA will
work with authorized NPDES programs that would like more flexibility
with the initial recipient designation (e.g., a state may want to be
designated for NOIs for CAFOs but not MS4s).
As necessary, the initial recipient designation can switch back and
forth between the authorized state, tribe, or territory NPDES programs
and EPA. EPA's goal is to help all authorized NPDES programs be the
initial recipient for any data group (e.g., DMRs) for which they would
like to first receive the data.
As of the effective date of the final rule, the Initial
Recipient determination is an `opt-out' process for authorized state,
tribe, or territory NPDES programs. Per Sec. 127.27(a), an authorized
NPDES program must notify EPA within 120 days of the effective date of
the final rule if it wishes EPA to be the Initial Recipient for a
particular NPDES data group. If EPA receives no such notification, EPA
will designate the authorized state, tribe, or territorial NPDES
program as the Initial Recipient for all NPDES data groups.
An authorized NPDES program can initially elect for EPA to
be the initial recipient and then, at a later date, seek EPA approval
to change the initial recipient status for one or all of the NPDES data
groups from EPA to the authorized state, tribe, or territory. To make
this switch, the authorized state, tribe, or territory must send a
request to EPA. This request shall identify the specific NPDES data
groups for which the state, tribe, or territory would like to be the
initial recipient of electronic NPDES information, include a
description of how its data system will be compliant with 40 CFR part 3
(including, in all cases, subpart D) and 40 CFR part 127, and the date
or dates when the state, tribe, or territory will be ready to start
receiving this information. Section 127.27 outlines the process for
requesting the designation of initial recipient. After EPA approval of
the request, EPA will update the initial recipient list and will
publish the revised initial recipient listing on its Web site and in
the Federal Register.
An authorized NPDES program can initially elect to be the
Initial Recipient for one or all of the NPDES data groups and then at a
later date request that EPA become the initial recipient for one or all
of the NPDES data groups. To make this switch the authorized state,
tribe, or territory will send a request to EPA. After coordination with
the state, EPA will update the initial recipient list and will publish
the revised initial recipient listing on its Web site and in the
Federal Register [see Sec. 127.27(a)].
There is also a process in Sec. 127.27(d) for ensuring
that authorized NPDES programs share the minimum set of NPDES program
data with EPA (see Appendix A to 40 CFR part 127). This process will
switch the initial recipient status from the authorized state, tribe,
or territory to EPA if the authorized NPDES program is not sharing the
minimum set of NPDES program data with EPA. As noted in the proposed
Sec. 127.27(d)(4), EPA will work with the Director of the authorized
NPDES program to remediate all issues identified by EPA that prevent
the authorized NPDES program from being the initial recipient. When all
issues identified by EPA are determined by EPA to be satisfactorily
resolved, EPA is required to update the initial recipient listing in
Sec. 127.27(c) in order to list the authorized state, tribe, or
territory as the initial recipient.
An authorized NPDES program will continue to retain its
responsibilities to facilitate electronic reporting even if it elects
for EPA be the Initial Recipient for a particular NPDES data group. For
example, an authorized NPDES program will still be expected to continue
to provide support to NPDES regulated entities to facilitate electronic
reporting (e.g., provide registration support, electronic reporting
system training and user support) even when the authorized NPDES
programs elects for EPA to be the initial recipient. EPA will assist
authorized NPDES programs by providing training and support to
authorized NPDES programs so that they can fully understand and use
EPA's electronic reporting systems and thereby provide effective
support to NPDES regulated entities.
It is important to note the interaction between the CROMERR
requirements and the Initial Recipient requirements in the final
rule.\5\ For example, if the initial recipient status for a particular
state for a particular data group switches from the state to EPA, then
the NPDES-regulated entities in that data group in
[[Page 64073]]
that state would need to ensure they register with the appropriate
CROMERR-compliant system. In this example, NPDES-regulated entities
will switch from using the state electronic reporting systems to EPA's
electronic reporting systems (e.g., NetDMR, NeT). This means that these
regulated entities will need to register and obtain the necessary
signing credentials for EPA's electronic reporting systems. Similarly,
if the initial recipient status for a particular state for a particular
data group switches from EPA to the state, then those NPDES-regulated
entities in that data group in that state would switch from using an
EPA electronic reporting system to a state electronic reporting system.
Under this scenario, regulated entities will need to register and
obtain the necessary signing credentials for the authorized NPDES
program's electronic reporting systems. However, if a state is using
EPA's electronic reporting systems, the regulated entities would not
need to register again.
---------------------------------------------------------------------------
\5\ EPA seeks to ensure that electronic reporting has at least
the same level of legal defensibility and dependability as
information that EPA would obtain through hard-copy paper
submission. The Cross-Media Electronic Reporting Regulation
(CROMERR), promulgated October 13, 2005, provides the legal
framework for electronic reporting requirements established under
all EPA environmental regulations (40 CFR part 3). See the proposed
rule for more background detail on CROMERR (30 July 2013; 78 FR
46035).
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2. Implementation Plan Schedule
EPA initially proposed two phases for the implementation of
electronic reporting with the first phase starting one year after the
effective date of the final rule and a second phase starting two years
after the effective date of the final rule. EPA proposed full
implementation of electronic reporting within two years after the
effective date of the final rule. Many authorized NPDES programs
indicated that they would likely not be able to implement electronic
reporting for all data within two years of the effective date of the
final rule. One commenter suggested that EPA consider working with
authorized NPDES programs to develop individual state plans with a
schedule for implementation based on state readiness and resources to
implement electronic reporting. Other commenters suggested extending
the IP beyond two years. After significant consultation with authorized
NPDES programs EPA is adopting the implementation schedule described in
Section VII.A.
EPA is providing additional time (five years from the effective
date of the final rule) for authorized NPDES programs to switch their
processing of Phase 2 NPDES program data (e.g., general permit reports,
program reports) from paper to electronic format in this final rule.
This additional implementation time for Phase 2 data collection,
management, and sharing will help authorized NPDES programs build or
adopt electronic reporting systems for Phase 2 data as well as register
and train NPDES regulated entities. EPA is keeping the proposed one-
year schedule for the DMR data flow to be switched from paper to
electronic format since nearly all authorized NPDES programs and many
tens of thousands of NPDES permittees are already using NetDMR and
other electronic Discharge Monitoring Report (eDMR) systems. The
proposed rule also had the Federal general permit reports (NOIs, NOTs,
LEWs, NOEs) included in Phase 1 implementation. These permits are now
included in Phase 2 of the final rule so that the implementation is
consistent for all general permits. EPA will incorporate the
requirements of this final rule into re-issued general permits so that
EPA can expedite electronic reporting as soon as possible.
In accordance with the final rule [40 CFR 127.26(h)], authorized
NPDES programs will also need to submit an IP to EPA for EPA's review.
The content of these plans must provide enough detail (e.g., key tasks
and end dates) to ensure successful implementation of electronic
reporting for Phase 2 data. These plans must include key tasks and the
related end dates necessary for implementing this final rule, such as:
(1) Describing key tasks for electronically collecting all Phase 2 data
from NPDES-regulated facilities (e.g., developing and deploying
electronic reporting systems and applications); (2) describing key
tasks for updating state NPDES data systems to manage and share Phase 2
data with EPA's ICIS-NPDES (e.g., adding new data elements to state
NPDES data systems, updating the state's electronic data transmission
capabilities, which includes incorporating new data schemas and
Environmental Information Exchange Network node plug-ins); (3) CROMERR
compliance status for electronic reporting systems (e.g., approval
dates or anticipated approval end dates for each NPDES data group); (4)
schedule end dates for updating state statutes, regulations, and NPDES
permits; (5) summary of outreach and training necessary to alert and
educate NPDES regulated entities on how to utilize electronic reporting
systems; (6) alternative options for converting to electronic reporting
(e.g., utilization of EPA services and systems like NetDMR or NeT) if
the state continually misses its own scheduled milestones end dates;
and (7) temporary and permanent waiver approval processes. EPA will
provide authorized NPDES programs with additional guidance on the
content of these plans after promulgation of the final rule. EPA will
inform the state if its implementation plan is inadequate.
These plans should be sent to EPA within one year of the effective
date of the final rule. EPA will review each IP and work with the
corresponding authorized NPDES program to identify potential weaknesses
and suggest potential revisions. EPA will finish its review of all IPs
and inform the authorized NPDES program if its implementation plan is
inadequate no later than six months after receipt. EPA plans to post
these IPs on its Web site to provide the public with greater
transparency on the milestones and tasks each state will be taking to
move towards electronic reporting.
3. Ensuring Compliance With the Implementation Schedule
As noted in Section V.B.2, EPA is phasing in the electronic
reporting requirements of this final rule over five years. In
accordance with the schedule, and as a means to ``fill in the gaps''
where NPDES-regulated entities are not yet reporting electronically,
EPA will use its authority, as appropriate, to issue targeted
individual notices requiring NPDES-regulated entities to electronically
report their NPDES program data (appendix A to 40 CFR part 127). EPA
initially proposed to have these data come directly to EPA. Authorized
NPDES programs suggested that instead EPA should require NPDES
regulated entities to use state, tribe, or territorial electronic
reporting systems that are in compliance with the final rule, as this
would be more efficient. In this final rule, EPA is adopting the
approach recommended by authorized NPDES programs and will use its
existing authority under the CWA along with current technology and an
Information Collection Request (ICR) to require NPDES-regulated
entities to report electronically. EPA is using its authority under CWA
sections 101, 304(i), 308, 402(b), and 501 to require NPDES-regulated
entities to electronically report NPDES program data. Section 308 of
the CWA authorizes EPA to require access to information necessary to
carry out the objectives of the Act, including Section 402, which
establishes the NPDES program. EPA provided examples in the SNPR
regarding when it would use this authority to send notices to NPDES
regulated entities to start electronic reporting (1 December 2014; 79
FR 71070).
EPA also notes that authorized NPDES programs can use their
enforcement discretion to refrain from enforcing conditions in the
permit or other control mechanisms that explicitly require paper
reporting as long as the regulated entity successfully reports its data
electronically using the appropriate CROMERR-approved electronic
[[Page 64074]]
reporting system. This would enable EPA and authorized states, tribes,
and territories to realize the benefits of electronic reporting without
requiring double reporting from regulated entities and coordinating two
separate submissions. The following are the main methods by which
electronic reporting requirements will most likely be implemented by
authorized NPDES programs and NPDES regulated entities under the final
rule. As shown in Table 3, authorized programs have several mechanisms
to minimize the potential for dual reporting (paper and electronic
submissions of the same data).
------------------------------------------------------------------------
Potential for dual
Method Description reporting (paper
and electronic)
------------------------------------------------------------------------
Electronic Reporting Allowable Existing reporting No.
in Existing NPDES Permit. requirements in
some NPDES
permits may
already allow for
permittees to
switch to
electronic
reporting (e.g.,
no explicit
requirement to
report DMRs on
paper forms to
the state).
NPDES Permit Issuance.......... NPDES permit No.
issuances are
staggered. This
means that some
NPDES permits
will be
incorporating
electronic
reporting
requirements
before the
implementation
schedule
deadlines.
Enforcement Discretion......... Authorized NPDES No.
programs can
issue an
enforcement
letter that
allows NPDES
permittees to
forgo filing
paper forms as
long as they use
the approved
electronic
reporting systems.
Minor Modification............. With the consent No.
of the permittee,
the NPDES
permitting
authority can
incorporate
electronic
reporting
requirements
through a minor
modification.
This is usually
done permit-by-
permit but there
are no
restrictions on a
state that would
like to take one
action to change
multiple permits
at once. These
minor
modifications are
very specific
updates and do
not require
public notice.
The NPDES
regulated entity
can use these
minor
modifications to
eliminate the
potential for
dual reporting
(paper and
electronic).
Dual Reporting................. The state can also Yes.
require
electronic
reporting in
addition to paper
reporting, which
is required by
existing permit
language. The
dual reporting
would last only
until the permit
expires and the
next permit is
issued with
electronic
reporting
requirements.
This is EPA's
least preferred
option to phase
in electronic
reporting.
------------------------------------------------------------------------
Under the implementation schedule for this final rule, EPA will
assess the electronic reporting participation rate of NPDES regulated
entities in each state and by each data group to determine when it
would be appropriate to send individual notices. For example, EPA may
send individual notices to compel electronic reporting when the
authorized state, tribe, or territory has less than 90-percent
participation rate for one or more data groups (e.g., MS4 program
reports), calculated after the required time for electronic reporting
of the particular data group. EPA will separately calculate the
participation rate for each state and for each data group no later than
six months after the deadline for conversion from paper to electronic
submissions (e.g., 18 months after the effective date of the final rule
for DMRs). As appropriate, EPA will then send notice to the NPDES
regulated entities that are not utilizing electronic reporting (e.g.,
21 months after the effective date of the final rule for DMRs). This
notice will direct NPDES regulated entities to use their authorized
NPDES program's electronic reporting system. Failure to comply with
this notice will result in noncompliance with the CWA and may result in
penalties. EPA will repeat its review of the participation rate for
each state and for each data group on an annual basis as needed and
send out notices as appropriate. EPA will coordinate the distribution
of these notices with the authorized NPDES program.
EPA anticipates that it may use individual notices to compel
electronic reporting will likely be minimal as electronic reporting,
over the long term, reduces burden for the reporter. It is also
important to note that many facilities have already made the switch to
electronic reporting (e.g., most DMR filers in Ohio are using Ohio's e-
DMR system).
EPA solicited comment on this 90-percent participation rate metric.
Commenters noted difficulties in outreach and training for the large
number of NPDES-regulated entities that will need to switch from paper
to electronic reporting. As described above, EPA is providing more time
for
[[Page 64075]]
authorized NPDES programs to switch their processing of Phase 2 NPDES
program data (e.g., general permit reports, program reports) from paper
to electronic. This additional three years will help authorized NPDES
programs build or adopt electronic reporting systems for Phase 2 data
as well as register and train NPDES regulated entities. EPA is keeping
the proposed one-year schedule for the DMR data flow since DMR
electronic reporting tools are already deployed in 42 states, with an
additional six states actively developing similar systems. This
existing electronic reporting capacity has allowed tens of thousands of
NPDES regulated entities to electronically report their DMRs over a
number of years.\6\ EPA is also retaining the 90 percent participation
rate as this single simple measure will be an effective system to track
progress and prompt NPDES regulated entities and authorized NPDES
programs to switch from paper to electronic reporting within a
reasonable time period. While the 90-percent figure is not codified in
the final regulation [see 40 CFR 127.26(i)], EPA is including the 90-
percent figure in this preamble to the final rule and the accompanying
ICR as a goal to promote electronic reporting and as a reasonable
estimate of the number of entities that EPA may directly contact. EPA
will work with states if there is a significant delay in the adoption
of electronic reporting and re-assess the 90-percent participant rate
goal as part of its ICR renewal (ICRs are typically approved by OMB for
three years) or as appropriate.
---------------------------------------------------------------------------
\6\ See: https://netdmr.zendesk.com/entries/45318090-For-New-Users-Who-Can-Report-.
---------------------------------------------------------------------------
Another state commenter also suggested that EPA calculate for each
authorized NPDES program one DMR electronic submission participant rate
for individually permitted facilities and another DMR electronic
submission participant rate for facilities covered under general
permits. The commenter suggested that there are important differences
between individually permitted facilities, which tend to be the larger
facilities with a continuous discharge like POTWs, and facilities
covered under general permits, which tend to be more numerous. Some
authorized NPDES programs also use different agencies to manage
specific industrial sectors (e.g., oil and gas facilities, mines,
CAFOs) and these industrial sectors are often covered by general
permits. EPA agrees with the commenters that there are important
differences between individually permitted facilities and facilities
covered by general permits. Having one DMR electronic submission
participant rate for individually permitted facilities and another DMR
electronic submission participant rate for facilities covered under
general permits will allow EPA to more accurately target only those
facilities and sectors with the poorest electronic reporting
participation rates. In this final rule, EPA is adopting the approach
recommended by some authorized NPDES programs and will use one DMR
electronic submission participant rate for individually permitted
facilities and another DMR electronic submission participant rate for
facilities covered under general permits.
EPA will also work with states to evaluate how best to assess
electronic reporting participation for general permit reports (e.g.,
NOIs) for different sectors (e.g., oil and gas facilities, mines,
CAFOs). The authorized NPDES program will document how to assess
electronic reporting participation rates for general permit reports in
their IP.
Another important consideration is that NPDES-regulated entities
with temporary waivers are excluded from the participation
calculations. For example, if state X has 1,020 individually permitted
facilities that are required to submit DMRs and 20 of these facilities
are granted temporary waivers from electronic reporting, then as a
group at least 900 of the 1,000 individually-permitted facilities
without waivers [= 0.9 x (1,020 - 20)] need to electronically submit
DMRs to state X in order to meet the 90-percent participation rate.
Examples of how EPA will use individual notices to ``fill in the gaps''
where NPDES-regulated entities are not yet fully electronically
reporting their NPDES program data are provided in the supplemental
notice to the proposed rule (1 December 2014; 79 FR 71070) and more
examples are in the docket (see DCN 0106).
4. Hybrid Approach for Construction Stormwater NOIs
As an alternative to use of a CROMERR-compliant electronic
reporting system, one commenter suggested that EPA allow the initial
recipient the option of using data capture technology [e.g., two
dimensional barcodes such as Quick Response (QR) codes, optical
character recognition] (see DCN 0178). In particular, authorized NPDES
programs have noted their difficulty in getting construction operators
to apply for and maintain electronic signatures for use with CROMERR-
compliant electronic reporting systems for stormwater related
discharges. Authorized NPDES programs suggested that EPA provide some
flexibility in the final rule that would allow construction operators
the ability to electronically submit data from construction stormwater
general permit reports [e.g., Notice of Intent (NOI) to discharge;
Notice of Termination (NOT); and Low Erosivity Waiver and Other Waivers
from Stormwater Controls (LEW)] but without an electronic signature.
EPA solicited comment on this approach in the supplemental notice to
the proposed rule (1 December 2014; 79 FR 71076). Several comments
expressed support for EPA to include this option in the final rule as a
means to provide authorized NPDES programs with more options in
implementing the final rule. In this final rule, EPA is providing the
option for the initial recipient to use data capture technology for
construction stormwater general permit reports (i.e., NOIs, NOTs, NOEs,
LEWs). The following discussion provides more detail on this optional
method for authorized NPDES programs to comply with this final rule for
construction stormwater general permit reports.
The final rule provides the initial recipient the option of
allowing data capture technologies for construction stormwater general
permit reports. This is defined in the final rule as the ``Hybrid
Approach.'' For example, under the Hybrid Approach, the initial
recipient may allow construction operators to complete an online
construction stormwater general permit report, which simultaneously
produces a paper copy of the report and electronically transmits a copy
of the data from the report to the initial recipient. The construction
operator will sign and date the paper copy of the construction
stormwater general permit report with a handwritten signature and this
paper document will be the ``copy of record.'' The paper document will
be managed in accordance with 40 CFR 122.28. It is important to note
that EPA general permit regulations (40 CFR 122.28) do not require all
general permit covered facilities to submit NOIs for all general
permits as some general permits provide for automatic coverage. The
final rule does not change EPA's general permit regulations with
respect to the discretion of the authorized NPDES program in deciding
when a notice of intent requirement would be inappropriate [see 40 CFR
122.28(b)(2)(v)]. Under the Hybrid Approach, the paper copy of the
construction stormwater general permit report with a handwritten
signature must be submitted to the authorized NPDES program.
[[Page 64076]]
Under the Hybrid Approach, the initial recipient must have the
ability to definitively and uniquely link the signed and dated paper
document with the electronic submission from the NPDES regulated
entity. This could be done through use of a unique code or mark on the
signed and dated paper document that is also embedded in the electronic
submission. See Figure 1.
[GRAPHIC] [TIFF OMITTED] TR22OC15.000
Under the Hybrid Approach, the initial recipient can also use
automated data capture technology (e.g., Optical Character Recognition)
to allow a NPDES-regulated entity to submit NPDES program data on paper
with a handwritten signature and date in a structured format that
allows for easy data importation into the authorized program's NPDES
data system. It is likely in this example that the initial recipient
will also be the authorized state, tribe, or territory since the paper
form will be sent by the construction operator to the authorized NPDES
program.
EPA notes that using the Hybrid Approach will require the
procurement and management of the necessary data capture technology,
maintenance of the signed and dated paper submission, and the training
of potential users; however, some authorized NPDES programs have
suggested the Hybrid Approach may be less burdensome than requiring all
construction operators to register and submit using standard CROMERR-
compliant identity-proofing and electronic reporting services.
Finally, EPA notes that it is limiting this approach to the
construction sector due to the large and transient number of permittees
that are reporting each year for new locations (approximately 200,000
new construction sites each year). Use of the Hybrid Approach
eliminates the need for construction operators to obtain and maintain a
digital signature and the need for authorized NPDES programs to oversee
and troubleshoot the process for these construction operators to obtain
these digital signatures.
EPA encourages state, local, or municipal government that make the
Hybrid Approach available to regulated entities in the construction
sector to also make CROMERR-complaint, fully-electronic reporting
available as well, reducing to the degree possible any reliance on
paper.
C. Waivers
In the preamble to the proposed rule, EPA introduced the concept of
temporary waivers from electronic reporting of NPDES program data. EPA
proposed to limit the availability of these temporary waivers to
regulated facilities in areas that lacked sufficient broadband
availability. Under the proposal, temporary waivers would be available
for one year at a time. Authorized NPDES programs would be required to
enter the hard-copy NPDES program data submitted by facilities with
waivers into the state or federal NPDES data system and share it with
EPA. EPA requested comment on the need for such temporary waivers,
possible options for such waivers, and on the possibility of permanent
waivers for religious reasons.
1. Temporary Waivers
During the two public comment periods, EPA received several
comments on temporary waivers. The majority of the comments on this
topic supported the overall concept of temporary waivers from NPDES
electronic reporting. Commenters expressed support for waivers that
would have a longer duration than the one-year renewable timeframe
identified in the proposed rule. Several commenters suggested that
waivers should also be
[[Page 64077]]
made available for certain circumstances beyond broadband availability
issues, such as undue burden or cost to the authorized NPDES program.
For example, it may be more efficient for the state to manually enter
data into an electronic system, than to train a NPDES regulated entity
when there are numerically few of a certain category of permittees or
when the sector is known to have limited computer skills even if the
entity potentially has access to broadband internet.
In the final rule, EPA is providing authorized NPDES programs with
more flexibility in how they may grant temporary waivers. Per Sec.
127.15 of the final rule, each authorized NPDES program will describe
in its IP how it will implement the NPDES Electronic Reporting Rule
waiver provision. Authorized NPDES programs will review and update, as
necessary, their implementation of the NPDES Electronic Reporting Rule
waiver provision once every five years and submit any changes to EPA
for review. EPA will inform the state if its waiver process description
is inadequate. The duration of a temporary waiver may not exceed five
years, which is the normal period for an NPDES permit term. EPA also
notes that these waivers are not transferrable.
Additionally, authorized NPDES programs may issue episodic waivers
to address large-scale national disasters (e.g., hurricanes) or
prolonged electronic reporting system outages (i.e., outages longer
than 96 hours). The authorized NPDES program will describe in the IP
how it plans to issue episodic waivers in these extreme situations as
part of its implementation of the NPDES Electronic Reporting Rule
waiver provision.
2. Permanent Waivers
Commenters suggested that EPA should make permanent waivers for
NPDES-regulated entities owned or operated by members of religious
communities (e.g., Amish, Mennonite, and Hutterite). EPA agrees that it
would be appropriate for the final rule to accommodate the religious
practices of individuals that choose not to use certain technologies
(e.g., computers, electricity) in accordance with their religion. In
the final rule, authorized NPDES programs may issue permanent waivers
to facilities owned or operated by members of religious communities
that choose not to use certain technologies. Authorized NPDES programs
will document their procedures for issuing permanent waivers as part of
their implementation of the NPDES Electronic Reporting Rule waiver
provision, which is described above. EPA notes that a NPDES regulated
entity will need to re-apply for a permanent waiver upon any change in
facility ownership and that these waivers are not transferrable.
D. Summary of Changes to Appendix A
Appendix A to the final rule (40 CFR part 127) is the minimum set
of NPDES program data that must be electronically collected, managed,
and shared between NPDES-regulated facilities, authorized NPDES
programs, and EPA.\7\ Authorized programs that are the ``initial
recipient'' of these data must electronically transfer these data to
EPA on a regular schedule (within 40 days of completed action). EPA
worked extensively with NPDES program experts from across the Agency
and with authorized NPDES programs to develop and refine Appendix A.
The purpose of Appendix A is to ensure that there is consistent and
complete reporting nationwide, and to expedite the collection and
processing of the data, thereby reducing burden and making the data
more timely, accurate, complete, useful, and transparent for everyone.
EPA recognizes that there may be certain instances where appendix A
data do not apply directly to particular permitted activities as
written and will work with states to accommodate any necessary
differences. For instance, there may not be a fixed address for the
application of pesticides, so, in this instance, the NOI may not
include facility physical address, latitude, and longitude information
as described in Appendix A, but would likely contain equivalent
information as required by the permit.
---------------------------------------------------------------------------
\7\ Authorized NPDES programs may grant electronic reporting
waivers to NPDES-regulated facilities. In these cases, states
perform the data entry from the paper submissions.
---------------------------------------------------------------------------
When reviewing the list of Appendix A data elements, it is
important to note the following concepts:
Frequency: Reporting frequency varies based on the type of
data (e.g., permit issuance would likely be every five years; DMR data
may be monthly).
Applicability: Many of the data elements are only
applicable to certain NPDES sectors (e.g., CAFO data elements do not
apply to POTWs).
Efficiency: Many of the data elements use codes or unique
descriptions to facilitate easier data entry.
These concepts highlight the fact that there is a direct
relationship between the amount of data that will be reported,
collected, and managed and the overall burden of the rulemaking. The
amount of data generated by each data element is directly tied to how
frequently the data element is reported, the number of regulated
entities that are covered by the data element (i.e., applicability),
and the ease of reporting (i.e., efficiency). The amount of data
generated by a data element directly increases with more frequent data
reporting of the data element, more entities subject to the data
element, and decreases with simplified data reporting (e.g., using text
fields instead of use of codes or unique descriptions, which facilitate
easier data entry). Consequently, it is important to focus on the
amount of data that will be collected by this final rule and not the
number of data elements listed in appendix A. EPA used the following
process to create the initial draft of appendix A:
Identify current candidate reports and information from
authorized NPDES programs and NPDES regulated entities that are
practical to standardize and electronically process and have important
value to the permitting and compliance and enforcement programs and the
public.
Identify the required data elements for each candidate
data flow and report based on the CWA or existing EPA regulations.
Minimize the number of data elements to create
efficiencies without losing the utility of the data.
During 2014 and 2015, EPA met with state technical experts to
discuss all the data elements in appendix A. EPA summarized these
discussions for the Docket (see DCN 0128 to 0142, 0181, 0219 to 0229).
In general, EPA simplified appendix A to help make implementation
of the final rule easier for authorized NPDES programs and NPDES
regulated entities. The data elements in appendix A support the
electronic collection, management, and sharing of Phase 1 and Phase 2
data.
EPA also noted that authorized NPDES programs can require NPDES
regulated entities to submit more data than what is listed in appendix
A. The authorized NPDES program can require NPDES regulated entities to
submit these ``non-appendix A'' data on paper, electronically, or as
attachments (e.g., PDF files, CSV files) to electronic notices and
reports filed in compliance with this final rule. Some commenters
requested clarification on how EPA's electronic reporting tools will be
configured to separately handle appendix A and non-appendix A data.
EPA's electronic reporting tools allow for non-Appendix A data to be
collected and shared with authorized NPDES programs. EPA will continue
to work
[[Page 64078]]
with authorized NPDES programs to configure these data systems such
that the non-appendix A data are collected in the format needed by the
authorized NPDES program. These implementation efforts will ensure that
NPDES regulated entities only need to make one electronic submission
with EPA's electronic reporting tools and that these submissions may
contain a mix of appendix A and non-appendix A data. EPA will work with
authorized NPDES programs that build their own electronic reporting
tools to ensure that their tools have similar capabilities.
E. Unpermitted Facilities
Current EPA regulations and policy set forth expectations for
authorized NPDES programs to provide compliance monitoring data on all
permitted facilities, both major and nonmajor facilities, and a limited
group of unpermitted facilities. See 40 CFR 123.41, DCN 0007, DCN 0037,
and DCN 0188. Under the 2014 Clean Water Act National Pollutant
Discharge Elimination System Compliance Monitoring Strategy (``2014
CMS''), authorized NPDES programs can propose an alternative Compliance
Monitoring Strategy (CMS) plan, which may include the state's plan to
conduct ``focused inspections'' or ``off-site desk audits'' instead of
``comprehensive inspections'' for certain facilities (see DCN 0188). An
alternative NPDES CMS plan is a plan that includes one or more
compliance monitoring commitments that deviate from the national goals
and flexibilities (see Part 2 of the 2014 CMS for detailed description
of the national goals). As compared to the national goals, an
alternative plan could include modified frequency of comprehensive
inspections, modified compliance monitoring activities (e.g., offsite
desk audit), or a combination of the two. As a condition for EPA
approval of the alternative CMS plan, the state must commit to share
with EPA's ICIS-NPDES compliance monitoring data on all facilities
(including unpermitted facilities) subject to a ``focused inspection''
or an ``off-site desk audit'' instead of ``comprehensive inspection''
(see Part 1 of the 2014 CMS). Additionally, EPA regulations require
authorized NPDES programs to share compliance monitoring data with EPA
on unpermitted facilities found to be in violation of the Clean Water
Act (e.g., discharging without an NPDES permit) (see 40 CFR 123.41).
This final rule does not change the existing requirements for NPDES
programs to report information on certain unpermitted facilities to
EPA. See 40 CFR 123.41(a); 123.43(d). In order to provide clarity, the
following examples clarify when authorized NPDES programs are required
to share NPDES program data on unpermitted facilities with EPA by
entering these data in to EPA's national NPDES data system (i.e., ICIS-
NPDES).
Example #1: As part of an approved alternative CMS plan, an
authorized NPDES program evaluated ten unpermitted facilities with a
focused inspection or an off-site desk audit. As a condition of EPA's
approval of the alternative CMS plan, the authorized NPDES program is
required to share NPDES program data on these ten unpermitted
facilities with EPA by entering these data in to EPA's national NPDES
data system (i.e., ICIS-NPDES).
Example #2: The same authorized NPDES program in Example #1
responds to a citizen complaint of an unpermitted facility by
conducting an inspection of the unpermitted facility. This inspection
is not part of the authorized NPDES program's approved alternative CMS
plan. The authorized NPDES program determines that this unpermitted
facility is discharging pollutants to waters of the U.S. without an
NPDES permit in violation of the CWA. In accordance with this rule, the
authorized NPDES program is required to share NPDES program data on
this unpermitted facility with EPA by entering these data in to EPA's
national NPDES data system (i.e., ICIS-NPDES).
Example #3: The same authorized NPDES program in Example #1
responds to a citizen complaint of another unpermitted facility by
conducting an inspection of the unpermitted facility. This inspection
is not part of the authorized NPDES program's approved alternative CMS
plan. The state determines that this unpermitted facility is not in
violation of the CWA. The authorized NPDES program is not required to
share NPDES program data on this unpermitted facility with EPA's
national NPDES data system (i.e., ICIS-NPDES).
Example #4: An authorized NPDES program responds to a citizen
complaint of an unpermitted facility by conducting an inspection of the
unpermitted facility. The inspection is not conducted pursuant to the
authorized NPDES program's approved CMS plan. The authorized NPDES
program determines that this unpermitted facility is discharging
pollutants to waters of the U.S. without an NPDES permit in violation
of the CWA. In accordance with this rule, the authorized NPDES program
is required to share NPDES program data on this unpermitted facility
with EPA by entering these data in to EPA's national NPDES data system
(i.e., ICIS-NPDES).
Example #5: The same authorized NPDES program in Example #4
responds to a citizen complaint of another unpermitted facility. The
inspection is not conducted pursuant to the authorized NPDES program's
approved CMS plan. The state determines that this unpermitted facility
is not in violation of the CWA. The authorized NPDES program is not
required to share NPDES program data on this unpermitted facility with
EPA's national NPDES data system (i.e., ICIS-NPDES).
Example #6: An authorized NPDES program inspects a facility with
both an NPDES permit and state groundwater protection permit. During a
compliance monitoring activity the inspector does not evaluate
compliance with the NPDES permit but does determine that the facility
is in violation of several state groundwater permit requirements (i.e.,
these violations are not violations of the CWA). The authorized NPDES
program is not required to share NPDES program data from this
compliance monitoring activity on this facility with EPA's national
NPDES data system (i.e., ICIS-NPDES) because it was not an NPDES
program inspection.
Example #7: An authorized NPDES program performs a comprehensive
inspection of an unpermitted facility to determine if it is discharging
without an NPDES permit. The inspection is conducted pursuant to the
authorized NPDES program's approved CMS plan. During the comprehensive
inspection the authorized NPDES program determines that the unpermitted
facility is violating two state permit requirements; however, the
authorized NPDES program also determines that the unpermitted facility
is not violating the CWA. The authorized NPDES program is not required
to share NPDES program data on this unpermitted facility with EPA's
national NPDES data system (i.e., ICIS-NPDES).
In summary, the final rule does not require authorized NPDES
programs to share NPDES program data on unpermitted facilities with
EPA's national NPDES data system (i.e., ICIS-NPDES) with the following
exceptions:
a. The approved alternative CMS plan includes compliance monitoring
of unpermitted facilities through use of a ``focused inspection'' or an
``off-site desk audit'' instead of a ``comprehensive inspection.''
b. Unpermitted facilities were subject to compliance monitoring and
found to be in violation of the CWA (e.g., discharging pollutants to
waters of the
[[Page 64079]]
U.S.) and thus required to have an NPDES permit.
c. Unpermitted facilities were subject to a formal enforcement
action, an administrative penalty order, or an informal enforcement
action (if such informal action addressed significant noncompliance).
d. Authorized NPDES programs must share with EPA NPDES program data
on industrial users regulated by the Federal pretreatment program (40
CFR part 403).
e. Authorized NPDES programs must share with EPA NPDES program data
on entities regulated by the Federal biosolids program (40 CFR part
503).
Basic facility data on these unpermitted facilities and the related
compliance monitoring data must be shared with EPA's national NPDES
data system (i.e., ICIS-NPDES). For the first three types of exceptions
identified above, EPA Regions, authorized states, tribes, and
territories would be required to electronically provide the following
information to EPA's national NPDES data system: basic facility
information; compliance monitoring related information; and, if
applicable, violations, and information regarding enforcement actions.
Facilities included in the fourth group would be operating under a
control mechanism, which may or may not be a permit (see 40 CFR 403.8).
In accordance with the final rule, these facilities will electronically
submit their bi-annual compliance reports [40 CFR 403.12(e) and (h)] to
their Control Authority (when the state or EPA is the Control
Authority). Additionally, the Control Authority will summarize the
compliance and enforcement action data for industrial users as part of
the Pretreatment Program Report [40 CFR 403.12(i)].
Facilities included in the fifth group would be operating under
EPA's Standards for the Use or Disposal of Sewage Sludge (40 CFR part
503), which are directly applicable to ``any person who prepares sewage
sludge, applies sewage sludge to the land or fires sewage sludge in a
sewage sludge incinerator and to the owner/operator of a surface
disposal site'' (see 40 CFR 503.1). This means that the annual
reporting requirements in 40 CFR 503.18, 503.28, and 503.48 are
applicable even in the absence of an NPDES permit.
F. Nonmajor Facility Inspection Single Event Violation (SEV) Data
Single Event Violations (SEVs) include one-time events as well as
violations with longer durations. These are violations that are
generally not automatically flagged by the data system (e.g.,
inspection identified violations, sewer overflow, spill of industrial
waste, discharges without an NPDES permit). These violation
determinations are often manually generated by the authorized NPDES
program as opposed to violations that can be system created or
generated (e.g., effluent exceedances of permit limits are
automatically flagged by ICIS-NPDES).
SEV data are generated from inspection reports and other compliance
monitoring activities by authorized NPDES programs. Currently
approximately ten percent of facilities designated as majors in ICIS-
NPDES have a SEV in any given year. These are important violations that
are not automatically identified through self-monitoring data like
DMRs, and these data are important for targeting, transparency, and
state oversight. The availability of such compliance determination
information from states, tribes, territories, and EPA is critical to
determining the compliance status of NPDES regulated facilities. This
information is needed on a facility-specific basis to better identify
potential problems; ensure that appropriate action is taken to address
noncompliance; better quantify national or state noncompliance rates;
and to provide a more complete and transparent picture to permitting
authorities, the public, Congress, and other stakeholders of the
overall implementation and effectiveness of the authorized NPDES
program. There are two to three data elements associated with SEVs:
Violation Code (this uniquely identifies the type of
violation)
Date Data which includes: Single Event Violation Date
(used when violation occurs on one date) or Single Event Violation
Start Date and Single Event Violation End Date (used when violation
spans multiple dates)
Prior to this final rule, EPA only required authorized NPDES
programs to share with EPA SEV data on facilities designated as majors.
In the proposed rule, EPA discussed requiring authorized NPDES programs
to also share with EPA SEV data on facilities designated as nonmajors
(see 30 July 2013; 78 FR 46041). EPA received comments from authorized
NPDES programs suggesting that EPA rely on the Performance Partnership
Agreements (PPA) and Performance Partnership Grants (PPG) process to
manage SEV data sharing expectations.\8\ EPA has decided not to use the
PPA and PPG process to manage SEV data sharing between authorized NPDES
programs and EPA for the following reasons.
---------------------------------------------------------------------------
\8\ Individual PPAs can range from general statement about how
the state and EPA will work together as partners (perhaps
identifying joint priorities that will be addressed) to
comprehensive, multi-program documents that detail each party's
roles and responsibilities. Some PPAs meet relevant statutory and
regulatory requirements and also serve as the work plans for
Performance Partnership Grants (PPGs) or other EPA grants. In a few
cases, the PPA contains a more general discussion of the working
relationship between EPA and the state rather than a discussion of
priorities and programs.
---------------------------------------------------------------------------
PPAs and PPGs are often voluntary and all authorized NPDES programs
use these documents to govern data sharing between authorized NPDES
programs and EPA. Several states with PPAs have not updated them since
the mid to late 1990s, and the degree of specificity of PPA commitments
such as data entry, inspections, and enforcement actions varies widely.
This highly variable, voluntary process is not sufficient to encourage
and evaluate national consistency in meeting national program
expectations for NPDES data entry and tracking, compliance evaluations
and determinations, and timely and appropriate enforcement response.
Additionally, an authorized NPDES program is only required to share
with EPA SEV data from a construction stormwater inspection when the
authorized NPDES program also issues a formal enforcement action
against the inspected construction site. As noted in the proposal, EPA
made this distinction based on the large number of facilities in this
segment of the NPDES universe (approximately new 200,000 construction
sites each year). This distinction is made in appendix A to 40 CFR part
127.
Finally, EPA notes that data from some SEVs will be self-reported
by the permitted facilities. For example, a sewer overflow is an SEV
but the permittee will be collecting and electronically sharing these
data with the permitting authority (i.e., it will be the permittee that
will electronically report these SEV data to the authorized NPDES
program who will then electronically share these data with EPA). There
are similar examples of permitted facilities reporting on SEVs in other
program reports (e.g., CAFO Annual Report, Biosolids Annual Report).
EPA has included in the Economic Analysis and Information Collection
Request supporting the final rule the cost and burden of expanding the
requirement on authorized NPDES programs to share with EPA SEV data on
nonmajors (see DCN 0197).
[[Page 64080]]
VI. Economic Analysis
A. Regulatory Requirements Addressed by the Economic Analysis
Executive Order 12866 directs federal agencies to perform an
economic analysis (EA) to give decision makers information to determine
that there is a need for the rule and that benefits of the rule justify
the costs of the rule. Further, Executive Order 12866 requires that the
rule maximize the net benefits to society, be cost effective and be
based on the best reasonably obtainable information.\9\ E.O. 12866
defines the threshold for economically significant rules as one that is
expected to create impacts to the economy of $100 million or more or
otherwise adversely affect the economy, a sector of the economy,
productivity, competition, jobs, the environment, public health or
safety, or State, local, or tribal governments or communities in a
material way.\10\ The EA also addresses the requirements of the
Unfunded Mandates Reform Act (UMRA) and the Regulatory Flexibility Act
(RFA).
---------------------------------------------------------------------------
\9\ Economic Analysis of Federal Regulations Under Executive
Order 12866, Office of Management and Budget, January 11, 1996, DCN
0064.
\10\ Id.
---------------------------------------------------------------------------
The Regulatory Flexibility Act (RFA) of 1980 (5 U.S.C. 601 et seq.)
requires Federal agencies to review their proposed rules and
regulations to determine if they will have ``a significant economic
impact on a substantial number'' of small entities. But the RFA does
not define ``significant economic impact'' or ``substantial number.''
In its regulatory flexibility analysis EPA adopted the Small Business
Administration's (SBA) definition of small entities, and used a
threshold of 1% of revenue to determine economic significance. Using
the SBA definition, EPA estimated that 108,000 small entities would
incur costs under the final rule.\11\
---------------------------------------------------------------------------
\11\ Note that fewer facilities are considered in the small
entity analysis (164,093 unique facilities, reflecting the number of
facilities in ICIS-NPDES at the time of this analysis) than were
estimated in Chapter Two of the EA (393,359 unique facilities) due
to data limitations. As a result, the estimated number of small
entities incurring costs under the rule is likely underestimated.
However, the assumption is made that facilities affected by the rule
but not currently in ICIS-NPDES will experience small entity impacts
similar to the facilities currently in ICIS-NPDES. See the Economic
Analysis for the Final Rule for more details.
---------------------------------------------------------------------------
EPA estimates initial implementation costs for the regulated
facilities to be no more than $314 per facility, with an additional
intermittently recurring cost of approximately $6 for some permittees.
EPA also estimates that a limited number of small entities might be
required to report both electronically and on paper to their permitting
authority during the first five years after the effective date of the
rule, each incurring as much as $86 in additional annual costs. Only
one entity is expected to incur a cost impact of 1% or greater
associated with the annualized compliance costs resulting from the
final rule. While impacts of greater than 1% are estimated to be
incurred by one entity due to the rule, impacts of greater than 1% are
incurred by far fewer than 100 small entities and considerably less
than 20% of all small entities for all sectors and for each sector
individually. Therefore, following EPA guidance on assessment of the
rule's direct adverse impact on any small entities, the rule is not
expected to significantly impact a substantial number of small
entities.
B. Economic Significance of This Rule
According to the threshold set out in E.O. 12866, this final rule
is not economically significant. The threshold for a finding of
economic significance is an annual effect, either costs or savings, of
$100 million annually. EPA estimates the largest annual economic
impacts to be $74.4 million in net costs during the first year after
the effective date of the rule [Year 0 in Table 4-16: Schedule of
Savings and Costs (3% Discount Rate) and Table 4-17: Schedule of
Savings and Costs (7% Discount Rate), see DCN 097]. EPA also estimates
$24.3 million in net savings five years after the effective date of the
rule [Year 5 in Table 4-16: Schedule of Savings and Costs (3% Discount
Rate), see DCN 0197].
Although this rule does not meet the economic significance
threshold, this economic analysis includes most of the elements that
would be required if the threshold were met--a statement of the need
for the rule, an examination of alternatives, and the costs and
benefits. The statement of need is located in Section II, and a
description of the alternative approaches that were considered is
located at Section IV. The non-monetary benefits were discussed in the
first portion of Section VI. The balance of this section summarizes the
estimated savings and costs of the selected approach.
C. Description of Key Factors Used in the Economic Analysis
The final rule would reduce the data entry burden on the states,
tribes, and territories while increasing the percentage of the NPDES
universe for which data are available electronically. Compared to the
current reporting guidance, known as WENDB, the rule would reduce the
data entry burden on states, tribes, and territories, increase the
number of NPDES-regulated facilities for which NPDES data is available
to EPA, and expand the scope of the available data for all NPDES-
regulated facilities covered by this rule.
The main elements of this EA are the reporting universe, reporting
frequencies, required data, changes in who reports the data, systems
and infrastructure changes to make the reporting possible, and the
schedule for implementation.
(a) Estimated Universe of Potentially Affected Permittees
This rule would change the universe of permit types for which EPA
will receive data. As described in Section II, the current reporting
guidance instructs the states to provide EPA with data on the major
dischargers (6,800 permittees) and nonmajor dischargers with individual
permits (approximately 40,000 permittees). Some states provide data on
a larger section of the permittee universe.
Under the final rule, EPA would receive data on the entire
permittee universe (approximately 400,000 permittees including
pesticides applicators and vessels), as represented in Table 4.
[[Page 64081]]
Table 4--Universe of NPDES Permits
------------------------------------------------------------------------
Number of NPDES permits
--------------------------------------
NPDES Subprogram Individual Individual General
majors nonmajors nonmajors
------------------------------------------------------------------------
Non-POTWs (Industrial, Agriculture, and Stormwater)
------------------------------------------------------------------------
Standard Industrial Dischargers 1,683 18,993 \a\ 118,073
(may also file CWA section
316(b) data)....................
------------------------------------------------------------------------
CWA section 316(b) Filers
------------------------------------------------------------------------
Permits with Cooling Water Intake 1,171 0 0
Data............................
Permits with Thermal Variance 554 0 0
Data............................
Industrial Facilities Submitting 200 0 0
CWA section 316(b) Annual
Reports.........................
------------------------------------------------------------------------
Significant Industrial Users (SIUs) \b\
------------------------------------------------------------------------
SIUs in Municipalities with 0 29,060 0
Pretreatment Program............
SIUs in Municipalities without 0 2,487 0
Pretreatment Program............
Concentrated Animal Feeding 0 1,266 5,291
Operations......................
------------------------------------------------------------------------
Industrial and Construction Stormwater
------------------------------------------------------------------------
Industrial....................... 132 563 92,282
Construction..................... 1 638 243,227
------------------------------------------------------------------------
Municipal Stormwater \c\
------------------------------------------------------------------------
Phase I municipal separate storm 249 0 9
sewer systems (MS4s)............
Phase II MS4s.................... 0 204 5,093
------------------------------------------------------------------------
POTWs and TWTDSs (may have a CSS or a SSS, may also file more than one
report)
------------------------------------------------------------------------
POTWs with Combined Sewer Systems 462 244 68
(CSSs) \d\......................
POTWs with Sanitary Sewer Systems 3,533 9,197 1,281
(SSSs) only \d\.................
TWTDSs........................... 779 7,510 655
------------------------------------------------------------------------
POTW NPDES Report Filers
------------------------------------------------------------------------
Biosolids/Sewage Sludge Report 4,209 694 0
Filers..........................
Pretreatment Program Report 1,462 114 0
Filers..........................
Sewer Overflow Event Report 4,774 16,950 2,003
Filers \d\......................
------------------------------------------------------------------------
\a\ Includes 9,125 pesticide applicators and 63,000 vessels that are
already filing electronically.
\b\ These industrial facilities discharge to POTWs and are regulated by
the NPDES program through EPA's General Pretreatment Regulations (40
CFR part 403) and Categorical Pretreatment Standards (40 CFR parts 405
through 471). They do not have NPDES permits, but those in
municipalities without pretreatment programs would report
electronically under the rule.
\c\ Nearly all Phase I MS4s are individually permitted facilities. For
purposes of cost estimating, the analysis treats all individually
permitted Phase I MS4s as majors and all Phase II MS4s as nonmajors.
\d\ The analysis divides the total universe of POTWs into CSSs and SSSs
and treats those that are only partially composed of CSSs as CSSs.
Table 4 shows the types and estimated numbers of permits in each of
the applicable categories. Note, however, that some facilities have
reporting requirements under more than one subprogram, in which case
they are counted in each applicable group because that is the basis for
regulation and reporting. Specifically, CWA section 316(b) filers are a
subset of standard industrial dischargers and POTW NPDES report filers
are a subset of the group of POTWs and TWTDSs. Also note that SIUs do
not have a NPDES permit but are included in the EA.
Changes in the reportable universe affect virtually every aspect of
the EA, including data entry costs, training costs, the need for
electronic signatures and system registration, savings in paper and
postage, and the potential impact of dual reporting. The majority of
the savings due to the final rule result from electronic reporting of
DMRs. Note, however, that not all of the regulated entities enumerated
in Table 4 submit DMRs. To clarify this point, Table 5 shows the number
of filers under each subprogram for each type of report, including
DMRs.
[[Page 64082]]
Table 5--Number of Filers by NPDES Subprogram and Report Type
----------------------------------------------------------------------------------------------------------------
Program report
Subprogram Permit type NOI filers DMR filers filers
----------------------------------------------------------------------------------------------------------------
Non-POTWs (Industrial, Agriculture, and Stormwater)
----------------------------------------------------------------------------------------------------------------
Standard Industrial Dischargers....... Individual Major........ 0 1,683 0
Individual Nonmajor..... 0 18,993 0
General Nonmajor........ 45,948 41,353 0
----------------------------------------------------------------------------------------------------------------
CWA section 316(b) Filers \a\................................... 0 0 200
----------------------------------------------------------------------------------------------------------------
Significant Industrial Users (SIUs) In Municipalities without 0 0 2,487
Pretreatment Program \b\.
----------------------------------------------------------------------------------------------------------------
Concentrated Animal Feeding Operations Individual Nonmajor..... 0 0 1,266
General Nonmajor........ 5,291 0 5,291
----------------------------------------------------------------------------------------------------------------
Industrial & Construction Stormwater
----------------------------------------------------------------------------------------------------------------
Industrial............................ Individual Major........ 0 132 0
Individual Nonmajor..... 0 563 0
General Nonmajor........ 92,282 92,282 0
Construction.......................... Individual Major........ 0 0 0
Individual Nonmajor..... 0 6 0
General Nonmajor........ \c\ 83,871 2,432 0
----------------------------------------------------------------------------------------------------------------
Municipal Stormwater \d\
----------------------------------------------------------------------------------------------------------------
Phase I MS4s.......................... Individual Major........ 0 249 249
General Nonmajor........ 9 9 9
Phase II MS4s......................... Individual Nonmajor..... 0 0 204
General Nonmajor........ 5,093 0 5,093
----------------------------------------------------------------------------------------------------------------
POTWs and TWTDSs (may have a CSS or a SSS, may also file more than one report)
----------------------------------------------------------------------------------------------------------------
POTWs with CSSs \e\................... Individual Major........ 0 462 \f\ 462
Individual Nonmajor..... 0 244 \f\ 244
General Nonmajor........ 68 68 \f\ 68
POTWs with SSSs only and TWTDSs \e\... Individual Major........ 0 4,312 \f\ 4,312
Individual Nonmajor..... 0 16,706 \f\ 16,706
General Nonmajor........ 1,935 1,935 \f\ 1,935
----------------------------------------------------------------------------------------------------------------
POTW NPDES Report Filers
----------------------------------------------------------------------------------------------------------------
Biosolids/Sewage Sludge Report Filers Individual Major........ 0 0 4,209
\a\. Individual Nonmajor..... 0 0 694
Pretreatment Program Report Filers.... Individual Major........ 0 1,462 1,462
Individual Nonmajor..... 0 114 114
----------------------------------------------------------------------------------------------------------------
\a\ DMR filings by these facilities are captured by CSS POTWs, SSS POTWs, TWTDSs, or standard industrial
dischargers.
\b\ These industrial facilities discharge to POTWs and are regulated by the NPDES program through EPA's General
Pretreatment Regulations (40 CFR part 403) and Categorical Pretreatment Standards (40 CFR parts 405 through
471). They do not have NPDES permits, but those in municipalities without pretreatment programs would report
electronically under the rule.
\c\ Assumes 2.9 construction stormwater general permits per firm.
\d\ Nearly all Phase I MS4s are individually permitted facilities. For purposes of cost estimating, the analysis
treats all individually permitted Phase I MS4s as majors and all Phase II MS4s and nonmajors.
\e\ The analysis divides the total universe of POTWs into CSSs and SSSs and treats those that are only partially
composed of CSSs as CSSs.
\f\ Accounts for the submission of sewer overflow and bypass event reports.
(b) Data Elements and Data Systems
Section V describes how and why the inventory of reportable data is
changed by this rule. For the EA, the biggest impacts of the change in
reportable data are the costs of enhancing the database structures to
store the additional data and the costs of data entry. Estimating the
cost of modifying the databases involves several factors, chiefly the
number of additional data elements, the number of NPDES data groups
those data elements fall into (e.g., DMR, CAFO Annual Report), the
number of data entry screens that will be needed, and the completeness
of various state, tribe, territory, and EPA data systems prior to the
final rule.
Based on the number of data elements and their planned structure,
EPA developed a detailed estimate of its own costs to modify ICIS to
accommodate the additional data elements. Because EPA does not have
independent estimates of the comparable system costs for each state,
tribe, and territory, EPA's estimate of system costs for those NPDES-
authorized programs is based on EPA's costs to modify ICIS.
Data entry costs are one of the major aspects of the EA, and
involve several additional factors, such as who generates the data,
changes in the need for the states, tribes, and territories to enter
permittee-created data into an information system, the number of
permittees to which each data element applies, the frequency with which
each type of data element is reported, the time required to enter each
type of data element, and the labor costs associated with data entry.
[[Page 64083]]
(c) Responsibility for Creating Data
``Responsibility for creating data'' refers to the act of initially
determining the value of any particular required data element and
writing it on paper or entering it into an electronic storage system.
Each data element required by this rule has exactly one creator,
although the identity of the creator can be affected by the nature of
the permit. For example, DMR data is always created by a permittee, and
enforcement data is always created by the permitting authority, but
basic facility data might be created by either the permitting authority
or the permittee, depending on the type of permit that will be used.
The EA uses a detailed understanding of responsibility for data
creation to estimate and assign data entry costs and savings for
permittees, states, tribes, and territories.
(d) Changes in the Need for State, Tribes, and Territories To Enter
Permittee-Created Data
Under the current system of operations, states, tribes, and
territories are responsible for collecting data from their permittees
and providing the WENDB data to EPA. Paper submissions are the primary
means by which permittees submit data to the states, tribes, and
territories. This means the states, tribes, and territories are
required to enter large amounts of data created by permittees into the
permitting authority's information systems, or into ICIS-NPDES. Several
types of reports are affected by this rule, but DMRs comprise a
substantial majority of the permittee-created data that the states,
tribes, and territories enter into data systems. As a result, a
significant portion of the data collected is essentially being entered
twice. The first is when permittees commit it to a paper form. The
second is when the states enter the permittee-created data into an
information system.
One of the chief benefits of this rule is that it virtually
eliminates the need for such double entry of data in this sense: When
DMRs and other reports are submitted electronically by permittees,
these reports can be received electronically by the states, tribes, and
territories, transmitted directly to the applicable information
systems, and shared with EPA through the National Environmental
Information Exchange Network.
There is generally no difference between the time required for a
permittee to fill out a paper form and the time required for them to
enter the same data on an electronic form. Therefore, permittee data
creation costs and savings are not affected by the move to electronic
reporting. The permittees are required to supply the same data,
regardless of the media in which is it reported. However, during the
transition period, some permittees might be required to submit data
both electronically and on paper. The costs of such dual reporting are
estimated to range from zero to $86 per entity.
The impact on the states, tribes, and territories is very
different. Every data element a state, tribe, or territory does not
have to enter into a data system is a savings compared to the current
mode of operation. This does not mean, however, that every state,
tribe, and territory will experience the same savings from the rule.
Some permitting authorities have already begun shifting to electronic
reporting. Forty-eight states have either implemented EPA's NetDMR or
their own eDMR system or are in the process of doing so. Some
permitting authorities have also begun moving to electronic reporting
in other areas, such as NOI. However, participation in most of the
state, tribe, or territory electronic reporting systems is voluntary,
so participation rates are highly variable. Ohio is one of a few states
that has a mandatory eDMR system and has achieved participation of over
99%. Other states have much lower participation rates, which mean they
are bearing the costs of operating both paper-based and electronic
reporting systems.
(e) Permittees Reporting Various Data Elements
As described in Section II, the current reporting guidelines
require states, tribes, and territories to provide EPA with data for
only a portion of the permittee universe. This rule expands the
universe of permittees for which required reporting must be shared with
EPA, primarily by requiring data on the so-called NPDES subprograms.
Subprogram data elements are specific to the permittees in each of the
subprogram universes. For example, the data elements applicable to
CAFOs apply only to CAFO permittees, biosolids data elements apply only
to biosolids permittees and so on.
(f) Frequency of Data Element Reporting
Another factor that affects the overall volume of data being
submitted, and therefore the data entry costs and savings, is the
variation in reporting frequencies. Reporting frequencies are dictated
by the types of reports containing the data elements and the compliance
monitoring strategy. DMR data elements are submitted on DMR forms,
which are generally submitted monthly. Furthermore, many permittees
submit multiple DMR forms per month, which explains (1) why DMR data
elements comprise the largest portion of total data volume, and (2) why
eliminating the need for the states, tribes, and territories to enter
DMR data produces most of the savings from the rule.
Facility data are submitted on initial permit applications or on
NOIs, and might be reviewed and updated every five years when the
permit is reviewed for reissuance. A large part of the facility data is
never changed. Portions that are subject to change are generally
addressed during the permit's reviews.
Permit data, such as limits and limit sets, are established when
the permit is issued, and reviewed and possibly revised on a five-year
cycle. Permit conditions are seldom modified except during the regular
five-year reviews, or as a result of enforcement actions.
Enforcement and compliance data are created on an as-needed basis.
For example, inspection data are created at the time a facility is
inspected. It is possible that some permittees will never have any
violations or enforcement actions against them, and therefore very
little enforcement data associated with them beyond routine compliance
monitoring.
Subprogram data elements can be found on any of the major
submissions, but are primarily contained in the applicable annual
reports. Each of the data types and possible submissions and their
frequencies has been evaluated for proper mapping into the EA.
(g) Time Required To Enter Data Elements
Understanding how long it takes to enter data elements is a
critical component of the EA. Nine states were surveyed to develop this
information. Each respondent was asked to estimate the time it took
them to enter various types of data elements. Respondents were grouped
according to whether they were in a direct entry, batch entry or hybrid
state, and average data entry times were computed for each data element
within each group of states. The EA uses the data entry times from the
survey to estimate how much time states, tribes, and territories will
spend entering different types of data elements.
(h) Labor Costs of Data Entry
Labor rates for the rulemaking are taken from the Bureau of Labor
Statistics. Several hourly rates are used, depending on the type of
work and whether the worker is a government or private sector worker.
[[Page 64084]]
(i) System Development Costs
As described in Section II, EPA intends to develop electronic
reporting systems for each of the reports covered by this rule--DMRs,
NOIs, and program reports. Those EPA-developed systems will be offered
to all of the states, tribes, territories, and permittees for their
use. The cost of developing those reporting systems by EPA and the
infrastructure to accommodate them were calculated and documented in a
series of technical reports, and comprise the majority of the EPA HQ
implementation costs as reported by the EA. EPA intends to encourage
third-party development of electronic reporting systems. Ultimately
each authorized state, tribe, and territory will decide whether to use,
and allow their permittees to use, the EPA-provided electronic
reporting systems or other systems. Each state, tribe, and territory
has the option of adopting one or more of the EPA systems and rejecting
the others. Although EPA is building, and making available, a
comprehensive set of systems, the EA includes certain state, tribe, and
territory costs to modify and expand their electronic reporting
systems.
The costs of modifying ICIS and the state, tribe, and territory
NPDES data systems are somewhat different. Each of the authorized
states, tribes, or territories either has its own data system, or uses
ICIS-NPDES. All of these data systems are thought to need some degree
of modification to accept the additional data elements, and in the case
of state, tribe, and territory data systems, to share that data with
EPA. EPA developed an estimate of its costs to modify ICIS. The EA
includes those EPA costs, and uses those costs to estimate the cost of
database changes in the states, tribes, and territories. The EA uses
this approach because EPA does not have detailed information about the
data structures in the states, tribes, and territories. The EA does
take the available information about state, tribe, and territory data
systems into consideration.
All of these system development expenditures are included in the
implementation costs of the rule, most of which are expended by EPA
prior to rule promulgation and by the states, tribes, and territories
within the first year after the effective date of the rule under the
implementation schedule described in Section VII.
The EA also estimates marginal operation and maintenance (O&M)
costs, over and above current annual costs, for EPA to support the
systems required by the rule. It assumes there are no incremental O&M
costs for states, tribes, and territories specifically to maintain the
upgraded electronic systems (although it does include other ongoing
costs, such as data entry). EPA estimates that most of the state
compliance costs will take place in the first few years after the final
rule.
(j) Additional Implementation Activities
In addition to system development costs, the EA includes the costs
to EPA and the states, tribes, and territories of the following
activities associated with the implementation of the rule:
Authorized NPDES programs making decisions regarding their
initial recipient status;
Authorized NPDES programs demonstrating their attorneys
general accept electronic signatures in lieu of physical signature,
thereby certifying compliance with CROMERR;
Authorized NPDES programs preparing IPs and EPA review of
those plans;
Authorized NPDES programs updating their Memoranda of
Agreement with their Regional Administrator;
Authorized NPDES program and EPA developing criteria for
temporary and permanent waivers from electronic reporting;
Authorized NPDES program and EPA coordination via training
webinars;
EPA assessing participation rates and, where appropriate,
conducting oversight using its CWA authority and ICR to compel NPDES-
regulated entities to utilize their NPDES program's electronic
reporting system; and,
Authorized NPDES programs and EPA modifying permits to
require electronic submissions.
The EA does not attempt to estimate the costs the states, tribes,
and territories will incur to revise their statutes or regulations to
implement the changes required by this rule.
(k) Consolidating Summary Reports
When the rule is fully implemented, EPA would essentially have
complete data on almost the entire NPDES universe of permittees. As a
result, EPA HQ will have all of the data necessary to prepare the
Annual Notice of Non-Compliance, the Quarterly Non-Compliance Report,
and the Semi-Annual Statistical Summary Report, all currently required
from NPDES-authorized states, tribes, and territories by 40 CFR 123.45.
For that reason, the rule replaces all of those reports with a
single report generated by EPA HQ using the data in the data systems
after implementation of the rule. The EA estimates the reduced burden
on the states, tribes, and territories as a result of this reporting
change.
(l) Paper and Postage Savings
As described in Section II, the majority of permittee submittals
are being sent to the states, tribes, and territories on paper. Each of
those submittals therefore requires paper, an envelope, and postage.
Converting to electronic reporting under this rule will eliminate
paper submittals of the covered reports for the vast majority of
permittees. The EA estimates the percentage of permittees that will be
required to use electronic reporting, the number and mix of reports
they submit annually, as well as the number of pages in each report,
and the required postage.
(m) Registration, Electronic Signatures Agreements and Training
Instituting electronic reporting will entail some effort from the
permittees. The EA assumes that every permittee will have to take
certain steps in order to begin reporting electronically, whether they
report directly to EPA or to their respective state, tribe, or
territory. The EA incorporates available data about the extent to which
regulated entities are using electronic reporting systems to submit
DMRs and assumes these entities will not bear additional registration
and training costs.
There are some differences in the costs to different permittees,
based on the activities they are engaged in, and these differences have
been included in the EA. To use the electronic reporting system for
NetDMR and NeT, individual regulated entities will need to register for
accounts, either on EPA's Central Data Exchange (CDX) or a similar data
portal provided by their authorized NPDES program. Most regulated
entities (excluding construction operators in states that allow a
Hybrid Approach, as discussed in Section V) will also need to mail
their authorized NPDES program an electronic signature agreement (ESA)
stating that their electronic personal identification number (PIN) is
the legal equivalent of their written signature.
NetDMR or authorized NPDES program eDMR systems are sufficiently
complex that many regulated entities will need training to effectively
use them. The EA assumes this training will be conducted online.
Experience with currently operating systems has shown that training is
not necessary for submitting NOIs or program reports electronically, as
these systems are less complicated. General permit facilities would
also use these less complicated systems to submit DMRs and, therefore,
not require training.
[[Page 64085]]
The EA also assumes that some permittees would bear additional
minor implementation costs associated with electronic reporting
registration to satisfy EPA's CROMERR requirements. Specifically, some
entities would need to acquire a new business email address and
entities that report less frequently than every 90 days would need to
reset their password when they report. Including registration, ESA,
training, and these minor costs, the EA estimates total initial
implementation costs for individual permittees of $314 or less, with an
additional recurring cost for some permittees of approximately $6 when
the permittee must reset their password. The EA also assumes that EPA
would take over initial recipient status under 40 CFR 127.27(d) in two
states during the ten year period covered by the analysis. Permittees
in these states would need to re-register at an additional cost of $277
or less as most electronic signing credentials are not transferrable
from one electronic reporting system to another.
(n) Reporting During the Transition Period
As discussed in Section V, during the initial implementation
period, certain regulated entities might be required to submit data to
their authorized state program both electronically and on paper. This
dual reporting during the transition would involve copying information
from paper forms into the appropriate state electronic reporting system
and would occur only under certain conditions (e.g., the regulated
entity's permit conditions explicitly require paper reporting, the
authorized state does not use its enforcement discretion, and the
permittee does not consent to a minor modification of its permit). The
EA incorporates the cost of such dual reporting for a portion of the
affected universe. It assumes the actual number of regulated entities
affected and the resulting cost will decrease over the course of the
transition period, as permits are modified to require electronic,
instead of paper reporting, either on the normal permit cycle or as a
result of state implementation activities. Therefore, the EA assumes
dual reporting will cease once the rule is fully implemented, five
years after the effective date of the rule. The EA estimates the
additional cost to permittees of such dual reporting at $86 or less per
affected entity per year.
D. Summary of Costs and Savings
The EA for this final rule estimates savings and costs over a ten-
year period, beginning on the date that the rule would become final.
Applying a 3% discount rate, and using 2014 dollars, the largest annual
savings are $44.0 million during the first year of electronic reporting
(Year 1 in Table 6 and Table 7). During the ten-year period, the
highest annual costs are $74.4 million during the first year after the
effective date of the rule (Year 0 in Table 6 and Table 7). Annual
costs are significantly less in all other years. Cumulative savings for
the ten-year period are $406.4 million while cumulative costs are
$250.4 million. As a result the overall economic effect of this rule is
a net cumulative savings of $156.0 million over the ten years of the
projection.
The following tables summarize the EA cost and savings using the 3%
(Table 6) and 7% (Table 7) discount rates as required by EPA's EA
guidance in 2014 dollars. Each table shows the annual costs and
savings. The ``breakeven point'' is the date after the final rule when
the cumulative savings exceed cumulative costs.
There are both qualitative and quantitative benefits associated
with this final rule. EPA has estimated some of the benefits of this
rule by performing calculations based on: the reporting universe;
reporting frequencies and required data; changes in who reports the
data; systems and infrastructure changes to make the reporting
possible; and the schedule for implementation. Using a 3% discount
rate, and 2014 dollars, the annual total net benefits at full
implementation (five years after the effective date of the rule)
associated with reduced paperwork and management of information are
approximately $26 million, with 93% of those savings going to the
states, tribes, and territories.
Additional benefits associated with the rule include the potential
for improved compliance and allow for better government and public
decision making; however, EPA was unable to monetize these benefits.
EPA was able to develop a rough monetary estimate of the benefits
associated with reductions in errors in the reported data resulting
from the rule that benefit both regulated entities and permitting
authorities. Using information on the number of errors typically
associated with DMR submissions, EPA developed a rough estimate of the
potential time and cost savings that permitted authorities might
experience annually from no longer having to correct errors in DMR
data. Specifically, EPA estimates total time and cost saving of 130
full-time equivalents (FTEs) and $9.3 million in wages.
The cost of implementing the final rule during the first year after
the effective date is approximately $74.4 million. The cost is
estimated to drop to a $20.1 million or less per year in subsequent
years, once electronic reporting begins (assuming a 3% discount rate).
During the first year of electronic reporting (Year 1 in Table 6 and
Table 7), annual savings greatly outweigh annual costs, resulting in
net savings of approximately $23.9 million per year, with similar net
savings in subsequent years.
Table 6--Ten-Year Projected Costs and Savings--3% Discount Rate
----------------------------------------------------------------------------------------------------------------
Regulated
Year EPA headquarters EPA regions States entities
----------------------------------------------------------------------------------------------------------------
Costs
----------------------------------------------------------------------------------------------------------------
0................................... $9,720,000 $400,000 $43,100,000 $21,160,000
1................................... 1,040,000 30,000 18,060,000 1,010,000
2................................... 1,230,000 30,000 17,530,000 930,000
3................................... 940,000 30,000 17,020,000 1,240,000
4................................... 850,000 30,000 16,520,000 800,000
5................................... 830,000 30,000 16,000,000 740,000
6................................... 1,330,000 30,000 15,440,000 710,000
7................................... 880,000 30,000 14,990,000 690,000
8................................... 760,000 30,000 14,550,000 1,000,000
9................................... 730,000 30,000 14,130,000 650,000
10.................................. 710,000 30,000 13,800,000 630,000
----------------------------------------------------------------------------------------------------------------
[[Page 64086]]
Cost Savings
----------------------------------------------------------------------------------------------------------------
0................................... ................. $-- $-- $--
1................................... ................. (2,280,000) (40,530,000) (1,210,000)
2................................... ................. (2,210,000) (39,350,000) (1,210,000)
3................................... ................. (2,150,000) (38,200,000) (1,210,000)
4................................... ................. (2,090,000) (37,090,000) (1,210,000)
5................................... ................. (2,040,000) (38,610,000) (1,250,000)
6................................... ................. (2,060,000) (38,210,000) (1,220,000)
7................................... ................. (2,000,000) (37,100,000) (1,180,000)
8................................... ................. (1,940,000) (36,020,000) (1,150,000)
9................................... ................. (1,890,000) (34,970,000) (1,110,000)
10.................................. ................. (1,830,000) (33,950,000) (1,080,000)
----------------------------------------------------------------------------------------------------------------
Table 7--Ten-Year Projected Costs and Savings--7% Discount Rate
----------------------------------------------------------------------------------------------------------------
Regulated
Year EPA headquarters EPA regions States entities
----------------------------------------------------------------------------------------------------------------
Costs
----------------------------------------------------------------------------------------------------------------
0................................... $9,720,000 $400,000 $43,100,000 $21,160,000
1................................... 1,000,000 30,000 17,380,000 970,000
2................................... 1,140,000 30,000 16,240,000 870,000
3................................... 840,000 20,000 15,180,000 1,100,000
4................................... 730,000 20,000 14,190,000 690,000
5................................... 680,000 20,000 13,220,000 610,000
6................................... 1,050,000 20,000 12,280,000 570,000
7................................... 680,000 20,000 11,480,000 530,000
8................................... 560,000 20,000 10,730,000 730,000
9................................... 520,000 20,000 10,030,000 460,000
10.................................. 490,000 20,000 9,430,000 430,000
----------------------------------------------------------------------------------------------------------------
Cost Savings
----------------------------------------------------------------------------------------------------------------
0................................... $-- $-- $-- $--
1................................... $-- (2,200,000) (39,010,000) (1,170,000)
2................................... $-- (2,050,000) (36,460,000) (1,120,000)
3................................... $-- (1,920,000) (34,070,000) (1,080,000)
4................................... $-- (1,790,000) (31,850,000) (1,040,000)
5................................... $-- (1,690,000) (31,910,000) (1,040,000)
6................................... $-- (1,640,000) (30,410,000) (970,000)
7................................... $-- (1,530,000) (28,420,000) (910,000)
8................................... $-- (1,430,000) (26,560,000) (850,000)
9................................... $-- (1,340,000) (24,820,000) (790,000)
10.................................. $-- (1,250,000) (23,200,000) (740,000)
----------------------------------------------------------------------------------------------------------------
VII. Regulatory Implementation
A. Overview of Regulatory Implementation Schedule
EPA developed the implementation schedule for this final rule after
careful analysis and extensive consultation with authorized NPDES
programs and many other stakeholders. This implementation schedule
balances the goals and benefits of electronic reporting with the
practical challenges facing authorized NPDES programs and regulated
entities. For example, some authorized NPDES programs noted that they
compete against other agencies for the time and resources of a central
shared information technology staff. For these authorized NPDES
programs the IP may need to be tailored to account for their unique
circumstances. The transition from paper to electronic reporting will
require close coordination and cooperation between EPA and authorized
NPDES programs. These IPs will provide an effective means for
documenting all necessary tasks for a timely and orderly transition to
electronic reporting.
As previously noted, the benefits of this final rule include
accelerated resource savings that states, tribes, and territories will
realize through reduced data entry burden and reduced effort in
responding to public requests for data, consistent requirements for
electronic reporting across all states, tribes, and territories,
increased data quality, and more timely access to NPDES program data in
an electronic format for EPA, states, tribes, and territories,
regulated entities, and the public. These benefits and savings will be
realized sooner the more quickly a state can implement the final rule.
Under the final rule, a complete set of information for the regulated
universe will be required no later than five years after the effective
date of the final rule. In this final rule, EPA is adopting the
timeline recommended by authorized NPDES programs and if participation
goals are not met, EPA will issue individual notices to require NPDES-
regulated entities to use the authorized NPDES program's electronic
reporting system. The combination of the deadlines in this
[[Page 64087]]
final rule, current technology, and EPA's plan to issue individual
notices will help maintain a steady and measurable pace towards
electronic reporting in a reasonable time period.
Given the different types of NPDES program data, EPA is phasing in
the electronic collection, management, and transfer of NPDES program
data (appendix A to 40 CFR part 127) on the following schedule. A
chronological listing of implementation activities are provided in
Table 8.
Phase 1 Data: Authorized NPDES programs are required to
transmit to EPA basic facility and permit information (see list of data
elements in DCN 0007) for all permits as well as other data necessary
for implementation of Phase 1 data collection within nine months after
the effective date of the final rule. One year after the effective date
of the final rule authorized NPDES programs will also start
electronically transmitting to EPA their state performance data, which
includes information generated from compliance monitoring (e.g.,
inspections), violation determinations, and enforcement actions.
Additionally, one year after the effective date of the final rule,
NPDES regulated entities that are required to submit DMRs (majors and
nonmajors, individually permitted facilities and facilities covered by
general permits) must do so electronically. EPA and authorized NPDES
programs will begin electronically receiving these DMRs from all DMR
filers and start sharing these data with each other. One year after the
effective date of the final rule, all NPDES regulated entities in
states where EPA is the authorized NPDES biosolids program (currently
42 of 50 states and all other tribal lands and territories) must
electronically submit their Sewage Sludge/Biosolids Annual Program
Report to EPA.
Phase 2 Data: Authorized NPDES programs have five years to
begin electronically collecting, managing, and sharing the remaining
set of information in appendix A in 40 CFR part 127. This information
includes: (1) General permit reports [Notice of Intent to be covered
(NOI); Notice of Termination (NOT); No Exposure Certification (NOE);
Low Erosivity Waiver and Other Waivers from Stormwater Controls (LEW)];
Sewage Sludge/Biosolids Annual Program Report (where the state is the
authorized NPDES biosolids program); and all other remaining NPDES
program reports (e.g., CAFO Annual Report, Pretreatment Program Annual
Report). Authorized NPDES programs will also share with EPA all data
necessary for implementation of Phase 2 data collection three months
before the Phase 2 deadline (e.g., general permit parameters).
Additionally, one year after the effective date of the final rule,
authorized NPDES programs are required to submit an IP for meeting the
Phase 2 data requirements to EPA for EPA to review.
NNCR and Other State Reporting: EPA will replace a number
of currently required state reports (e.g., QNCR and ANCR) with the new
NNCR when EPA has more a timely, complete, more accurate, and
nationally-consistent set of data about the NPDES program. Full
implementation of the NNCR and phase out of certain state reports will
only be possible one full year after full implementation of Phase 2
data collection. A complete set of Phase 1 and 2 data are necessary to
develop and produce the NNCR.
Table 8--Chronological Listing of Implementation Activities
------------------------------------------------------------------------
Key milestones Date
------------------------------------------------------------------------
Final NPDES Electronic Reporting Rule-- Sixty days after
Effective Date. publication in the Federal
Register.
Authorized NPDES programs will start Effective Date of Final
incorporating the new electronic reporting Rule.
requirements into new or re-issued NPDES
permits upon the effective date of this
final rule. Authorized NPDES programs can
incorporate electronic reporting
requirements into NPDES permits through
use of a minor modification process [see
40 CFR 122.63(f)].
A state, tribe, or territory that seeks 90 days after the Effective
authorization to implement an NPDES Date of Final Rule.
program must describe if it is requesting
to be the initial recipient of electronic
NPDES information from NPDES-regulated
facilities for specific NPDES data groups.
See 40 CFR 123.22(g) and appendix A to 40
CFR part 127.
Authorized NPDES programs will decide the 120 days after the
NPDES data groups for which they wish to Effective Date of Final
be the initial recipient of electronic Rule.
NPDES information from NPDES-regulated
entities. The final rule uses an `opt-out'
approach so these authorized programs will
need to provide notice to EPA if they wish
for EPA to be the initial recipient for
one or more of their NPDES data groups.
These notices should be sent to EPA within
120 days of the effective date of the
final rule.
EPA will publish on its Website and in the 210 days after the
Federal Register a listing of the initial promulgation date for the
recipients for electronic NPDES Final Rule.
information from NPDES-regulated entities
by state, tribe, or territory and by NPDES
data group. This listing will provide
NPDES-regulated entities the initial
recipient of their NPDES electronic data
submissions and the due date for these
NPDES electronic data submissions.
Authorized NPDES programs will Within nine months of the
electronically transmit to EPA basic Effective Date of Final
facility and permit information (see list Rule.
of data elements in DCN 0007) for all
permits as well as other data necessary
for implementation of Phase 1 data
collection within nine months after the
effective date of the final rule.
Authorized NPDES programs often collect
these data from paper individual NPDES
permit applications and forms submitted by
NPDES regulated entities; however, some
states collect these data from NPDES
regulated entities through electronic
reporting systems.
One year after the effective date of the Starting one year after the
final rule, authorized NPDES programs will Effective Date of Final
start sharing with EPA their state Rule.
performance data, which includes
information generated from compliance
monitoring (e.g., inspections), violation
determinations, and enforcement actions.
EPA and authorized NPDES programs will Starting one year after the
begin electronically receiving DMRs from Effective Date of Final
all DMR filers [40 CFR 122.41(l)(4)] and Rule.
start sharing these data with the
designated EPA and state NPDES data
systems.
All NPDES regulated entities in states Starting one year after the
where EPA is the authorized NPDES Effective Date of Final
biosolids program (currently 42 of 50 Rule.
states and all other tribal lands and
territories) must electronically submit
their Sewage Sludge/Biosolids Annual
Program Reports [40 CFR part 503] to EPA.
[[Page 64088]]
Authorized NPDES programs will submit an IP One year after the
to EPA for EPA's review to ensure that Effective Date of Final
authorized NPDES programs will meet the Rule.
Phase 2 electronic reporting deadline. The
content of these plans must provide enough
detail (e.g., tasks, milestones, roles and
responsibilities, necessary resources) to
ensure that EPA and authorized NPDES
programs can work together to successfully
implement electronic reporting. The IP
will also document the process for
evaluating and approving temporary and
permanent electronic reporting waivers
from NPDES regulated entities.
EPA will separately calculate the Eighteen months after the
electronic reporting participation rate Effective Date of Final
for each authorized NPDES program and for Rule and annually
DMRs and the Sewage Sludge/Biosolids thereafter.
Annual Program Reports. EPA will assess
the electronic reporting participation
rate for individually permitted facilities
separate from the electronic reporting
participation rate for general permit
covered facilities for DMRs.
Per existing NPDES regulations [see 40 CFR Two years after the
123.62(e)], authorized states, tribes, and Effective Date of Final
territories will finish any necessary Rule.
regulatory or statutory changes to their
NPDES programs.
Authorized NPDES programs will Within four years and nine
electronically transmit to EPA the data months of the Effective
necessary for implementation of Phase 2 Date of Final Rule.
data collection (three months prior to
Phase 2 deadline).
NPDES regulated entities will start Starting five years after
electronically submitting their Phase 2 the Effective Date of
data. This information includes: Final Rule.
General Permit Reports
[Notices of Intent to discharge
(NOIs); Notices of Termination (NOTs);
No Exposure Certifications (NOEs); Low
Erosivity Waivers or Other Waivers
from Stormwater Controls (LEWs)] [40
CFR 122.26(b)(15), 122.28 and 124.5];
Sewage Sludge/Biosolids Annual
Program Reports [40 CFR part 503]--
where the state is the authorized
NPDES program;
Concentrated Animal Feeding
Operation (CAFO) Annual Program
Reports [40 CFR 122.42(e)(4)];
Municipal Separate Storm Sewer
System (MS4) Program Reports [40 CFR
122.34(g)(3) and 122.42(c)];
Pretreatment Program Reports
[40 CFR 403.12(i)];
Significant Industrial User
Compliance Reports in Municipalities
Without Approved Pretreatment Programs
[40 CFR 403.12(e) and (h)];
Sewer Overflow/Bypass Event
Reports [40 CFR 122.41(l)(4), (l)(6)
and (7), (m)(3)]; and
CWA section 316(b) Annual
Reports [40 CFR part 125, subpart J]
Authorized NPDES programs will also need to Starting five years after
re-submit their waiver process the Effective Date of
descriptions to EPA for review on a five Final Rule.
year cycle. EPA will inform the state if
its waiver process description is
inadequate. This will allow EPA and
authorized NPDES programs to assess the
effectiveness of the waiver process
against advances in information technology.
EPA will separately calculate the Five years and six months
electronic reporting participation rate after the Effective Date
for each authorized NPDES program and for of Final Rule and annually
each NPDES data group. thereafter.
Upon successful implementation of Phase 1 Starting six years after
and 2, authorized NPDES programs will stop the Effective Date of
generating the Quarterly Non-Compliance Final Rule.
Report (QNCR), the Annual Non-Compliance
Report (ANCR), the Semi-Annual Statistical
Summary Report, and the part 501 annual
biosolids report.
EPA will starting publishing the NPDES Starting six years after
Noncompliance Report (NNCR). the Effective Date of
Final Rule with annual and
quarterly updates
thereafter.
------------------------------------------------------------------------
B. Roles and Responsibilities
1. Authorized NPDES Programs
This rule does not change the governing responsibilities of
authorized NPDES programs or EPA. Authorized NPDES programs will start
incorporating the new electronic reporting requirements into new or re-
issued NPDES permits upon the effective date of this final rule. For
example, changes to 40 CFR 122.41 must be incorporated into any NPDES
permit that is issued on or after the effective date of this final
rule.
Authorized NPDES programs will decide the NPDES data groups for
which they wish to be the initial recipient of electronic NPDES
information from NPDES-regulated entities. The final rule uses an `opt-
out' approach so these authorized programs will need to provide notice
to EPA if they wish for EPA to be the initial recipient for one or more
of their NPDES data groups. These notices should be sent to EPA within
120 days of the effective date of the final rule.
Authorized NPDES programs will electronically transmit to EPA basic
facility and permit information (see list of data elements in DCN 0007)
for all permits as well as other data necessary for implementation of
Phase 1 data collection within nine months after the effective date of
the final rule. Authorized NPDES programs often collect these data from
paper individual NPDES permit applications and forms submitted by NPDES
regulated entities; however, some states collect these data from NPDES
regulated entities through electronic reporting systems.
One year after the effective date of the final rule, authorized
NPDES programs will start sharing with EPA their state performance
data, which includes information generated from compliance monitoring
(e.g., inspections), violation determinations, and enforcement actions.
Additionally, no later than one year after the effective date of the
final rule, EPA and authorized NPDES programs will begin electronically
receiving DMRs from all DMR filers and start sharing these data with
the designated EPA and state NPDES data systems. To support the
electronic collection, management, and sharing of DMR data, authorized
NPDES programs will need to update their technology and infrastructure.
For example, authorized NPDES programs may elect to use EPA's NPDES
data system (ICIS-NPDES) and electronic reporting system (NetDMR) to
collect, manage, and share DMR data or authorized NPDES programs may
choose devote their resources to develop their own such
[[Page 64089]]
data systems while meeting the regulatory requirements of 40 CFR part 3
(including, in all cases, subpart D), 40 CFR 122.22, and 40 CFR part
127. EPA will continue to closely work with authorized NPDES programs
to help them develop their NPDES data systems in a cost-effective
manner.
Authorized NPDES programs will also likely need to provide training
materials and resources to NPDES regulated entities (e.g., staff time
to answer questions from NPDES regulated entities). These training
materials and resources will help provide NPDES regulated entities with
the necessary guidance and knowledge to utilize the appropriate
electronic reporting system. In particular, NPDES regulated entities
will need to learn how to obtain an electronic signature as well as how
to register and maintain their login information for the appropriate
electronic reporting system.
Similarly, no later than five years after the effective date of the
final rule EPA and authorized NPDES programs will start electronically
receiving Phase 2 data from all NPDES regulated entities and start
sharing these data with the designated EPA and state NPDES data
systems. Authorized NPDES programs will submit an IP to EPA for EPA's
review to ensure that authorized NPDES programs will meet this Phase 2
deadline. The content of these plans must provide enough detail (e.g.,
tasks, milestones, roles and responsibilities, necessary resources) to
ensure that EPA and authorized NPDES programs can work together to
successfully implement electronic reporting. See Section V.B.2. These
IPs need to be submitted to EPA for review within one year of the
effective date of the final rule. EPA will inform the state if its
implementation plan is inadequate. EPA will post the IPs on its Web
site to provide the public with greater transparency on the milestones
and tasks each state will be taking to move towards electronic
reporting. Authorized NPDES program will also share with EPA all data
necessary for implementation of Phase 2 data collection three months
before the applicable Phase 2 deadline. EPA will work with each
authorized NPDES program to identify the appropriate deadline for the
Phase 2 implementation data. Authorized NPDES programs will also need
to update their state NPDES data system to support electronic reporting
as well as develop training materials and resources for NPDES regulated
entities.\12\
---------------------------------------------------------------------------
\12\ EPA notes that some authorized NPDES programs have adopted
EPA's national NPDES data system (ICIS-NPDES).
---------------------------------------------------------------------------
Finally, authorized NPDES programs will also need to document and
submit to EPA for approval their process for evaluating and approving
temporary and permanent electronic reporting waivers from NPDES
regulated entities. This discussion will be contained in the IP.
Authorized NPDES programs will also need to re-submit their waiver
process descriptions to EPA for review on a five year cycle. EPA will
inform the state if its waiver process description is inadequate. This
will allow EPA and authorized NPDES programs to assess the
effectiveness of the waiver process against advances in information
technology. To facilitate an orderly transition to electronic
reporting, authorized NPDES programs may issue temporary waivers to DMR
filers prior to EPA's review of the program's IP or waiver process
description submission to EPA. These waivers may not have a duration
longer than five years.
EPA estimates that some authorized NPDES programs may need to
update their regulations or statutes to make clear that electronic
reporting is required for the reports listed in Table 1 of appendix A
and that these electronic submissions must be compliant with 40 CFR
part 127 (including appendix A) and 40 CFR part 3 (including, in all
cases, subpart D) (CROMERR--authentication and encryption standards).
Existing EPA regulations at 40 CFR 123.62(e) require that any updates
to the authorized NPDES program take place within one-year of the
effective date of the final rule (if only a regulatory change is
required) and within two years of the effective date of the final rule
(if a state statute change is required). Accordingly, all authorized
NPDES programs should complete any necessary updates to their state
regulations and statutes within two years of the effective date of the
final rule.
Finally, the final rule will also lighten the reporting burden
currently placed on the authorized NPDES programs. Upon successful
implementation of Phase 1 and 2, the final rule will provide authorized
NPDES programs with regulatory relief from reporting associated with
the Quarterly Non-Compliance Report (QNCR), the Annual Non-Compliance
Report (ANCR), the Semi-Annual Statistical Summary Report, and the
biosolids information required to be submitted to EPA annually by
authorized NPDES programs. EPA will coordinate the switch over from the
existing set of state reporting requirements to the new EPA generated
NNCR.
2. NPDES Regulated Entities
NPDES permitted entities should expect to see new electronic
reporting requirements in NPDES permits that are issued on or after the
effective date of this final rule. In particular, NPDES permitted
entities will be required to identify the initial recipient for their
NPDES data submissions (in compliance with 40 CFR 122.41). In
particular, NPDES permittees will consult EPA's Web site to identify
the initial recipient for their NPDES data submissions. EPA will update
and maintain the listing of initial recipients.
NPDES permitted entities should expect to electronically submit
their DMRs no later than one year after the effective date of the final
rule. NPDES permittees will need to be familiar on how to
electronically report their DMRs using the approved electronic
reporting system. Their permitting authority will provide training
materials and resources to help NPDES regulated entities with the
necessary guidance and knowledge to utilize the appropriate electronic
reporting system. In particular, NPDES regulated entities will need to
learn how to register and maintain an electronic signature as well as
how to register and maintain their login information for the
appropriate electronic reporting system.
Similarly, five years after the effective date of the final rule,
NPDES regulated entities will start electronically submitting their
Phase 2 data. NPDES permitted entities will identify the initial
recipient for their Phase 2 data submissions (in compliance with 40 CFR
122.41) by consulting with EPA's Web site. EPA's Web site will also
provide notice of the deadline for these Phase 2 electronic data
submissions and information on the approved electronic reporting
systems. NPDES regulated entities should also note that they may be
required to use more than one electronic reporting system for their
Phase 1 and 2 data submissions. For example, a POTW may be required to
use a state e-DMR system to electronically report its DMRs (as the
state is the authorized NPDES program for NPDES permits) and EPA's NeT
to report their Sewage Sludge/Biosolids Annual Program Report (as EPA
is the NPDES program for the Federal biosolids program). For NPDES-
regulated entities that will use EPA's electronic reporting systems,
EPA will work closely with states, tribes, territories, and NPDES-
regulated entities to provide sufficient training and registration
support prior to the start of each implementation phase.
Finally, as previously noted, the purpose of appendix A is to
ensure that
[[Page 64090]]
there is consistent and complete reporting nationwide, and to expedite
the collection and processing of the data, thereby reducing burden and
making the data more timely, accurate, complete, useful, and
transparent for everyone. This final rule changes the mode of
transmission of NPDES data but does not increase the amount of NPDES
information required to be reported under existing regulations. The
evolution of appendix A reflects over ten years of EPA working closely
with the states to identify the critical data elements that permitting
authorities need to implement the NPDES program.
3. EPA
EPA Regions that issue NPDES permits will continue to incorporate
electronic reporting requirements into new or re-issued NPDES permits
and will be required to do so upon the effective date of this final
rule. EPA will also incorporate the final rule requirements into the
few nationwide permits that it issues in accordance with the rule's
implementation schedule. This will help communicate and confirm the
electronic reporting responsibilities of NPDES regulated entities.
EPA Headquarters will hold regular teleconferences and webinars
with authorized NPDES programs during the transition period from paper
reporting to electronic reporting to assist with data collection,
management, and sharing activities. EPA will use these teleconferences
and webinars to address general issues associated with electronic
reporting as well as specific state needs and questions.
EPA will also coordinate with authorized NPDES programs and update
the data sharing process to include all the required set of NPDES
program data (appendix A to 40 CFR part 127) between EPA and the
authorized NPDES programs (see DCN 0191 for an overview of the current
data sharing process). EPA will also update its data systems (e.g.,
ICIS-NPDES, NetDMR, NeT) to incorporate all the required set of NPDES
program data. EPA will prioritize its actions to first support the
collection, management, and sharing of Phase 1 data. EPA will continue
to closely work with authorized NPDES programs to help them develop
their NPDES data systems in a cost-effective manner. This includes
providing training materials and resources to states that adopt EPA's
data systems [e.g., Central Data Exchange (CDX), CROMERR shared
services, ICIS-NPDES, NetDMR, NeT].
EPA will maintain the initial recipient list for each state and by
each NPDES data group and will publish this list on its Web site and in
the Federal Register as changes occur. EPA will first publish this
listing within 180 days of the effective date of the final rule. This
listing will provide NPDES-regulated entities the initial recipient of
their NPDES electronic data submissions and the due date for these
NPDES electronic data submissions.
One year after the effective date of the final rule, EPA will
receive state performance data, which includes information generated
from compliance monitoring (e.g., inspections), violation
determinations, and enforcement actions, in its national NPDES data
system (i.e., ICIS-NPDES). EPA will do the same for the data that it
generates from its own inspections, violation determinations, and
enforcement actions. Additionally, one year after the effective date of
the final rule, EPA and authorized NPDES programs will begin
electronically receiving DMRs from all DMR filers and start sharing
these data with each other. Additionally, one year after the effective
date of the final rule EPA will electronically collect and manage data
from Sewage Sludge/Biosolids Annual Program Reports that are submitted
by NPDES regulated entities in states where EPA is the authorized NPDES
biosolids program (currently 42 of 50 states and all other tribal lands
and territories).
Under the implementation schedule for this final rule, the Agency
will assess the electronic reporting participation rate of NPDES
regulated entities in each state and by each data group to determine
when it would be appropriate to use its individual notices to compel
electronic reporting. For example, EPA would likely use individual
notices when the authorized state, tribe, or territory has less than
90-percent participation rate for one or more data groups (e.g., MS4
program reports). EPA will separately calculate the participation rate
for each state and for each data group no later than six months after
the deadline for conversion from paper to electronic submissions (e.g.,
18 months after the effective date of the final rule for DMRs). As
appropriate, EPA will then send notice to the NPDES regulated entities
that are not utilizing electronic reporting (e.g., 21 months after the
effective date of the final rule for DMRs). This notice will direct
NPDES regulated entities to use their authorized NPDES program's
electronic reporting system. Failure to comply with this notice will
result in noncompliance with the CWA and may result in penalties. EPA
will repeat its review of the participation rate for each state and for
each data group on an annual basis, as needed, and send out notices as
appropriate.
Similar to Phase 1 implementation, no later than five years after
the effective date of the final rule EPA and authorized NPDES programs
will begin electronically receiving Phase 2 data from all NPDES
regulated entities and start sharing these data with each other. EPA
will review the Phase 2 data IPs from authorized NPDES programs. This
IP will also include a description of the program's waiver approval
processes. EPA will finish its review of these IPs and waiver process
descriptions no later than six months after receipt. EPA will inform
the state if its implementation plan or waiver process description is
inadequate. EPA will post these IPs and waiver process description
notices on its Web site to provide the public with greater transparency
on the milestones and tasks each state will be taking to move towards
electronic reporting.
Finally, EPA will work with authorized NPDES programs to develop
the NNCR. Upon successful implementation of Phase 1 and 2, EPA will
work with authorized NPDES programs to coordinate the switch over from
the existing set of state reporting requirements (i.e., QNCR, ANCR, the
Semi-Annual Statistical Summary Report, and the biosolids information
required to be submitted to EPA annually by states) to the new EPA
generated NNCR. EPA will publish the NNCR on its Web site on a
quarterly basis.
C. Other Aspects of Regulatory Implementation
1. Copy of Record
EPA is clarifying that the final rule does not change EPA's
authentication and encryption standards for electronic reporting. Below
is a discussion of the copy of record as it pertains to the
implementation of electronic reporting.
An important element of EPA's authentication and encryption
standards for electronic reporting is the ``copy of record.'' See 40
CFR 3.3. A copy of record must:
Be a true and correct copy of the electronic document that
was received, and it must be legally demonstrable that it is in fact a
true and correct copy;
include all the electronic signatures that have been
executed to sign the document or components of the document;
include the date and time of receipt to help establish its
relation to submission deadlines; and,
be viewable in a human-readable format that clearly
indicates what the submitter and, where applicable, the
[[Page 64091]]
signatory intended that each of the data elements or other information
items in the document means.
For such CROMERR-compliant submissions, the copy of record is
intended to serve as the electronic surrogate for what is commonly
referred to as the paper submission with a ``wet-ink'' signature. The
copy of record is meant to provide an authoritative answer to the
question of what was actually submitted and, as applicable, what was
signed and certified in the particular case.
It is important to note that the use of an electronic reporting
system may dictate where the electronic copy of record is retained. EPA
retains the copy of record for electronic submission made through its
electronic reporting tools (e.g., NetDMR and NeT). Likewise, state
electronic reporting systems will contain the electronic copy of record
for submissions made with these state systems.
Under the ``Dual Reporting'' scenario, as described in Table 3, the
authorized NPDES program may elect to designate EPA as the initial
recipient and EPA would electronically collect NPDES program data
directly from NPDES-regulated entities. Under this scenario these
entities would also make a paper submission of the same report with a
``wet-ink'' signature to the state (as required by their NPDES permit).
In these cases, the paper submission to the state with a ``wet-ink''
signature is the copy of record.
2. Cross-Media Electronic Reporting Regulation (CROMERR)
EPA's final rule requires that all electronic reporting systems
that are used for implementing NPDES electronic reporting, whether
already existing or to be developed by EPA and authorized NPDES
programs, be compliant with subpart D of EPA's CROMERR (see 40 CFR part
3). CROMERR sets performance-based, technology-neutral standards for
systems that states, tribes, and local governments use to receive
electronic reports from facilities they regulate under EPA-authorized
programs. CROMERR also addresses electronic reporting directly to EPA.
EPA notes that state or EPA systems that use the Hybrid Approach,
which is discussed in Section V, uses the paper document with a ``wet-
ink'' signature as the copy of record. The related electronic data
transfer from the Hybrid Approach is not a submission within the
meaning of CROMERR. Additionally, the Hybrid Approach option still
requires compliance with the regulatory requirements of 40 CFR 122.22
and 40 CFR part 127 and any additional permit requirements.
Under this rule, NPDES-regulated entities (e.g., POTWs) are not
required to submit a CROMERR application to electronically report NPDES
program data. However, it is the responsibility of the authorized NPDES
programs receiving these electronically reported NPDES program data to
obtain approval from EPA for their electronic reporting systems and
processes in accordance with EPA's CROMERR requirements. Under the
final rule, NPDES-regulated entities that electronically report their
NPDES program data will use CROMERR-approved electronic reporting
systems and processes. Authorized NPDES programs are responsible for
submitting CROMERR applications for their electronic reporting system
and NPDES-regulated entities are only required to complete the
necessary signature requirements for that system.
EPA also notes that CROMERR requires state, tribal or local
government agencies that receive, or wish to begin receiving electronic
reports under their EPA-authorized programs (e.g., CWA pretreatment
program) to apply to EPA for a revision or modification of those
programs and obtain EPA approval. However, an important consideration
is that the final rule does not require approved pretreatment programs
to electronically collect NPDES program data from significant and
categorical industrial users. Approved pretreatment programs may
continue to collect NPDES program data from significant and categorical
industrial users on paper.
3. Electronic Reporting for the Pesticides General Permit and Vessels
General Permit
Several commenters had questions regarding the application of the
proposed rule to regulated entities subject to EPA's Pesticides General
Permit and Vessels General Permit. EPA provides NPDES permit coverage
for pesticide applicators in states where EPA is the permitting
authority and vessel operators nationwide. EPA is not exempting these
two permits from the NPDES Electronic Reporting Rule. Specifically,
EPA's General Permit regulations (40 CFR 122.28) apply to all general
permits and EPA's proposed revisions to this regulatory language that
implement electronic reporting do not exclude pesticide applicators or
vessel operators (or any other sector or general permit). However,
vessel incidental discharges and discharges from the application of
pesticides are atypical from more traditional permitted discharges and
as such, some of the data elements in Appendix A may not be appropriate
as written. For example, there may not be a fixed address of where
pesticide applications occur (i.e., the activity permitted) and the
actual location of such pesticide application activities may not be
known until the time when those pesticides are actually applied (i.e.,
at some point in time after that operator obtains NPDES permit
coverage). Similarly, vessel operators often do not know into which
waters they will discharge at the time of obtaining permit coverage and
many of these vessels are operated by foreign companies based out of
foreign ports (with non-US mailing addresses and phone numbers). In
these instances, EPA will gather electronic information consistent with
the nature of these discharges.
4. Due Dates for State Data Entry
To include all NPDES subprograms (e.g., pretreatment, biosolids,
sewer overflows, MS4 program reports, construction stormwater,
industrial stormwater, cooling water intake structures), the required
data set as defined by this final rule is more comprehensive than what
authorized NPDES programs were previously reporting under previously
existing EPA policy (see list of data elements in DCN 0007 as compared
to appendix A to 40 CFR part 127). EPA will work closely with states,
tribes, and territories to ensure that all authorized NPDES programs
electronically transmit to EPA basic facility and permit information
(see list of data elements in DCN 0007) for all permits as well as
other data necessary for implementation of Phase 1 data collection
within nine months after the effective date of the final rule.
Collection of these data will enable NPDES regulated entities to begin
electronic reporting as facility and permit data must first be entered
into ICIS-NPDES for the system to accept compliance monitoring data
(e.g., DMRs, Sewage Sludge/Biosolids Annual Program Reports).
Additionally, collection of these data will allow authorized NPDES
programs to provide their compliance inspection and enforcement data to
ICIS-NPDES. EPA will also work closely with authorized NPDES programs
to ensure that all of the remaining facility and permit data required
by the final rule for Phase 2 (see NPDES Data Group 1 in Tables 1 and 2
of appendix A to 40 CFR part 127) are entered into ICIS-NPDES within
five years after the effective date of the final rule.
Additionally, under the final rule, authorized NPDES programs must
start
[[Page 64092]]
submitting any new compliance monitoring and enforcement action data
(see Appendix A to 40 CFR part 127) one year after the effective date
of the final rule. These new data elements add to the existing data
that states report (see DCN 0007) from their compliance monitoring
activities and reflect the increased focus on the NPDES subprograms.
The final rule only requires authorized NPDES programs to start
entering these new compliance monitoring and enforcement action data
elements into ICIS-NPDES one year after the effective date of the final
rule.
5. Concentrated Animal Feeding Operations (CAFO) Sector
EPA received many comments from the animal agricultural sector in
response to the proposed rule. Although this rule only changes the mode
of transmission of NPDES information from paper-based reports to
electronic reporting and does not address EPA's practices for managing
and sharing that information, EPA received comments regarding privacy,
security, management of confidential business information, and EPA's
current practice of posting inspection information on unpermitted CAFOs
and Animal Feeding Operations (AFOs) on its public Web site
[Enforcement and Compliance History Online (ECHO)--https://echo.epa.gov]. EPA used the supplemental notice to the proposed rule to
clarify the effects of the proposed rule on CAFOs in response to these
comments (see 1 December 2014; 79 FR 71073).
This final rule would only require CAFOs with NPDES permits to
submit information that the Clean Water Act and existing regulations
already requires them to provide to permitting authorities. See 33
U.S.C. 1342. The final rule simply modernizes the format through which
permitted CAFOs would submit certain types of information by requiring
electronic submission as opposed to paper-based reporting. This
modernized format will increase efficiencies for permitted CAFOs as
well as regulators. Additionally, under this final rule a permitted
CAFO can also request a temporary waiver from electronic reporting
consistent with authorized NPDES program's implementation plan.
EPA also solicited comments in the supplemental notice to the
proposed rule on whether it should change its current practice and
begin masking facility information for unpermitted CAFOs and AFOs that
EPA or state inspectors found were not discharging and do not require
an NPDES permit. EPA published the following example (See Table 9) in
the supplemental notice to the proposed rule showing how EPA could mask
these data and solicited comments on this approach.
Table 9--Proposed Hypothetical Example of Masking Unpermitted CAFOs and
AFOs that State Inspectors Found Were Not Discharging and Do Not Require
an NPDES Permit
------------------------------------------------------------------------
Facility #1 Facility #2
------------------------------------------------------------------------
Show-Me State Animal Farm; Location: Unpermitted CAFO/AFO-0000001;
11300 Ozark Lane, Perryville, Missouri Location: Missouri; County:
63775; County: Perry; Lat.: 37.836084, Redacted from Website; Lat./
Long: -89.738644; Inspection(s): 3/14/ Lon.: Redacted from Website;
2010 (no violation identified); 6/22/ Inspection(s): 2/17/2009 (no
2014 (discharging without an NPDES violation identified); 5/25/
permit). 2013 (no violation identified)
------------------------------------------------------------------------
In this hypothetical example, the unpermitted CAFO shown in the
column labeled ``Facility #1'' would not have its facility and contact
information displayed on EPA's public Web site until the weekly refresh
of ECHO data from ICIS-NPDES after 22 June 2014, which is the date the
state or EPA Region identified that the facility had a Clean Water Act
violation (i.e., discharging without an NPDES permit) and entered these
data into ICIS-NPDES. If an unpermitted CAFO does not have a Clean
Water Act violation as determined by the authorized NPDES program or
EPA, then the facility and contact information would not be displayed
on EPA's ECHO Web site (see the column labeled ``Facility #2'' in the
above table).
EPA also solicited input on potential changes to its national NPDES
data system (ICIS-NPDES), which are necessary to provide authorized
NPDES programs and Regions with the capability to identify these non-
permitted CAFO/AFOs that do not require an NPDES permit (1 December
2014; 79 FR 71080).
Comments from the animal agricultural sector were in favor of this
proposed approach while other commenters (e.g., environmental advocacy
groups) were not. Some authorized NPDES programs also support this as a
reasonable approach in balancing the competing interests of privacy and
public access to these data. Separate from this rulemaking, in light of
concerns raised regarding the privacy interests of an unpermitted CAFO
or AFO that an authorized NPDES program or EPA has assessed and found
to have not violated the Clean Water Act, EPA will change its current
practice and mask on the ECHO public Web site the related facility-
specific facility information (see Table 9).
EPA will implement this data masking in an iterative, two-step
process. EPA is using a two-step process because unpermitted facilities
in EPA's national NPDES data system (ICIS-NPDES) cannot currently be
identified by CAFO permit component data. As a first step, EPA will use
other currently available data in ICIS-NPDES to identify unpermitted
CAFOs or AFOs that an authorized NPDES program or EPA have assessed and
not found any Clean Water Act violations (see DCN 0207). EPA plans to
implement this interim approach by the effective date of this final
rule.
EPA plans to supersede the first approach with a second data
masking approach outlined in the supplemental notice to the proposed
rule (1 December 2014; 79 FR 71080). The second data masking approach
will only use CAFO permit component data to identify unpermitted CAFOs
and AFOs (see DCN 0207). This second approach will take more time to
implement as upgrades to ICIS-NPDES and coordination with authorized
NPDES programs are necessary to identify the exact set of unpermitted
CAFOs and AFOs that an authorized NPDES program or EPA has assessed and
found to have not violated the Clean Water Act. EPA anticipates it will
need a year after the final rule to adopt this second data masking
approach.
VIII. Statutory and Executive Order Reviews
A. Executive Order 12866: Regulatory Planning and Review and Executive
Order 13563: Improving Regulation and Regulatory Review
This action is a ``significant regulatory action'' that was
submitted to the Office of Management and Budget (OMB) for review. Any
changes made in response to OMB's recommendations are documented in the
docket. In addition, EPA prepared a detailed analysis of the
[[Page 64093]]
potential costs, savings, and benefits of this action. That analysis,
the ``Economic Analysis of the NPDES Electronic Reporting Rule
(Final),'' can be found in the EPA docket (see DCN 0197), and is
summarized in Section VI.
B. Paperwork Reduction Act
The Office of Management and Budget (OMB) has approved the
information collection activities contained in this rule under the PRA
and has assigned OMB control number 2020-0035. The ICR may be found in
the docket for this rule (see DCN 0237), and it is briefly summarized
here.
EPA is promulgating this final regulation to allow better
allocation and use of limited program resources and enhance
transparency by providing a timelier, complete, more accurate, and
nationally-consistent set of data about the NPDES program.
The projected burden and cost of the final regulation are
summarized in Table 10. Note that, consistent with the Information
Collection Request (ICR), these estimates reflect the net burden and
cost to regulated facilities and states, tribes, and territories over
the first three years following promulgation of the rule (as ICRs are
limited to three years; however, they can be renewed).
Table 10--Projected Burden and Cost Over the First Three Years of the
Final Rule
------------------------------------------------------------------------
Affected entity
-------------------------------------
Unit of Analysis Regulated
entities States
------------------------------------------------------------------------
Average Annual Number of 213,349 47
Respondents a....................
Average Annual Number of Responses 78,477 1,135,376
Average Annual Incremental Burden 118,577 -315,814
(hours)..........................
Average Annual Incremental Cost... $6,867,716 -$1,072,586
Average Annual Incremental Burden 0.56 -6,719
per Respondent (hours)...........
Average Annual Incremental Burden 1.51 -0.28
per Response (hours).............
Average Annual Incremental Cost $32.19 -$22,821
per Respondent...................
Average Annual Incremental Cost $87.51 -$0.94
per Response.....................
------------------------------------------------------------------------
a The number of respondents includes regulated entities that both submit
information (a response) and experience a cost or cost savings while
the number of responses is limited to a count of information
submissions. Thus, there are more affected respondents than responses.
An agency may not conduct or sponsor, and a person is not required
to respond to, a collection of information unless it displays a
currently valid OMB control number. The OMB control numbers for the
EPA's regulations in 40 CFR are listed in 40 CFR part 9. In addition,
the EPA is amending the table in 40 CFR part 9 to list the regulatory
citations for the information collection activities contained in this
final rule.
C. Regulatory Flexibility Act
I certify that this action will not have a significant economic
impact on a substantial number of small entities under the RFA. The
small entities subject to the requirements of this action are small
businesses (e.g., industrial sectors, electricity generating
facilities, and agricultural sectors) and small governmental
jurisdictions (e.g., POTWs operated by municipalities).
The Agency has determined that 108,035 of 108,036 (99.99%) small
entities considered in this analysis will experience an impact of less
than 1% percent of revenues. Details of this analysis are presented in
Chapter 5 of the following document in the rulemaking docket,
``Economic Analysis of the NPDES Electronic Reporting Rule (Final),''
(see DCN 0197).
D. Unfunded Mandates Reform Act (UMRA)
This final rule does not contain an unfunded mandate of $100
million as described in UMRA, 2 U.S.C. 1531-1538, and does not
significantly or uniquely affect small governments. EPA conducted an
economic analysis examining various options including the potential
burden to state, tribal, and territorial governments. EPA estimates
that the rule would not only cost states, tribes, territories, and
local governments well below the threshold of $100 million, it will
actually result in cost savings over time.
E. Executive Order 13132: Federalism
This action may have federalism implications, because it imposes
substantial direct compliance costs on state or local governments, and
the federal government will not provide the funds necessary to pay
those costs. Specifically, EPA estimates costs to state governments of
greater than $25 million during the first year of rule implementation.
The EPA provides the following federalism summary impact statement.
The EPA consulted with state and local officials early in the process
of developing the rule to permit them to have meaningful and timely
input into its development. In developing the regulatory options
described in this final action, EPA held a series of 49 outreach
activities with state and local governments, on various aspects of the
rule, including a Federalism consultation process that began in 2010,
well before this action was proposed. The Environmental Council of the
States, the National League of Cities, the U.S. Conference of Mayors,
the National Conference of State Legislators, the Council of State
Governments, the National Governors Association, and the National
Association of Clean Water Agencies were among the intergovernmental
groups participating in this process, along with numerous state and
local government principals from across the nation.
After publication of the proposed rule, EPA also held
teleconferences with authorized NPDES programs to obtain their
individual views on various aspects of the proposed rule. EPA met with
over twenty five states, ECOS, ACWA, and New England Interstate Water
Pollution Control Commission to take into account their individual
comments and concerns about the rule (see DCN 0128 to 0142, 0181, 0219
to 0229). Additionally, EPA separately contacted each authorized NPDES
program to individually assess its readiness for these new electronic
reporting requirements. This extensive outreach helped inform the
implementation process of the final rule and the additional
flexibilities that authorized states, tribes, and territories need for
a measured and orderly conversion from paper to electronic reporting.
EPA specifically solicited comment on the proposed action from
State and local officials. EPA received comments from over one hundred
(100) entities representing State and local governments. Of these
comments, many
[[Page 64094]]
were supportive of the rule and its goals. Commentators expressed
support for the rule for a number of reasons, including its ability to
modernize and streamline the reporting process, its efficiency and
cost-effectiveness, and its ability to offer quicker access to
standardized data. Several commentators expressed hope that electronic
reporting could reduce errors in ICIS-NPDES, make errors more quick and
easy to correct, and expedite permit applications.
While most commenters were supportive of the proposed rule, there
were several concerns that were raised by the responding state and
local governments. One of the most frequently commented subjects was
the implementation schedule. Many commenters noted that the proposed
two phase (one year per phase) implementation schedule was ``too
aggressive.'' EPA addressed this comment by modifying the compliance
schedule in the final rule to allow five years for the second phase of
implementation.
The other main comment from state and local governments was for EPA
to provide authorized NPDES programs with additional flexibility in the
implementation of the final rule. As noted in this preamble and in
EPA's response to comments document for this rulemaking, EPA has
provided authorized NPDES programs with additional flexibility for
implementing this final rule. In particular, EPA has given authorized
NPDES programs more flexibility in how they administer waivers from
electronic reporting. In the proposed rule, EPA solicited comment on
limiting waivers from electronic reporting to one year and only to
areas with limited access to broadband internet. After consultation
with authorized NPDES programs, EPA has eliminated the condition of
limited access to broadband internet as an eligibility factor for an
electronic reporting waiver. Instead, EPA has provided authorized NPDES
programs with the ability to grant waivers to facilities for up to five
years and for any factors that they deem appropriate.
Additionally, authorized NPDES programs asked for more flexibility
in how they implement electronic reporting for the construction
stormwater sector. In particular, states requested an option to allow
construction operators to electronically submit data without CROMERR
authentication. After consultation with authorized NPDES programs, EPA
has included an option, which first suggested by an authorized NPDES
program, to allow construction operators to simultaneously submit NPDES
program data electronically without CROMERR authentication as long as
they also submit these data on paper with a handwritten signature. This
``Hybrid Approach'' is discussed in the preamble to this final rule.
This additional flexibility will allow states to electronically collect
and manage data on construction sites and will also allow construction
operators to submit their NOIs without having to first obtain CROMERR
authentication.
Finally, as a means to ``fill in the gaps'' where NPDES-regulated
entities are not yet reporting electronically, EPA will use its
authority, as appropriate, to issue targeted individual notices
requiring NPDES-regulated entities to electronically report their NPDES
program data (appendix A to 40 CFR part 127). EPA initially proposed to
have these data come directly to EPA. Authorized NPDES programs
suggested that instead EPA should require NPDES regulated entities to
use state, tribe, or territorial electronic reporting systems that are
in compliance with the final rule, as this would be more efficient. In
this final rule, EPA is adopting the approach recommended by authorized
NPDES programs.
A complete list of the comments from State and local governments
has been provided to the Office of Management and Budget and has been
placed in the docket for this rulemaking. In addition, the detailed
response to comments from these entities is contained in EPA's response
to comments document for this rulemaking (see DCN 0218).
F. Executive Order 13175: Consultation and Coordination With Indian
Tribal Governments
This action has tribal implications. However, it will neither
impose substantial direct compliance costs on federally recognized
tribal governments, nor preempt tribal law. Although no tribes have yet
received approval from EPA to implement an authorized NPDES program,
this final rule will impose electronic reporting requirements on tribal
facilities and on facilities operating on tribal lands.
EPA consulted with tribal representatives in developing this rule
via conference calls and webinars with the National Tribal Caucus and
National Tribal Water Counsel in November 2010 (DCN 0232). No concerns
were raised during those consultations.
In addition, EPA mailed information to 563 tribes regarding an
opportunity to participate in two additional tribal outreach efforts in
December 2010.
As required by section 7(a), the EPA's Tribal Consultation Official
has certified that the requirements of the executive order have been
met in a meaningful and timely manner. A copy of the certification is
included in the docket for this action.
G. Executive Order 13045: Protection of Children From Environmental
Health Risks and Safety Risks
EPA interprets Executive Order 13045 as applying only to those
regulatory actions that concern health or safety risks that the EPA has
reason to believe may disproportionately affect children, per the
definition of ``covered regulatory action'' in section 2-202 of the
Executive Order. This action is not subject to Executive Order 13045
because it does not concern an environmental health risk or safety
risk.
H. Executive Order 13211: Actions Concerning Regulations That
Significantly Affect Energy Supply, Distribution, or Use
This action is not a ``significant energy action'' because it is
not likely to have a significant adverse effect on the supply,
distribution, or use of energy.
I. National Technology Transfer and Advancement Act
This rulemaking involves environmental monitoring or measurement.
Consistent with the Agency's Performance Based Measurement System
(``PBMS''), EPA has decided to allow the use of any method that meets
the prescribed performance criteria. The PBMS approach is intended to
be more flexible and cost-effective for the regulated community; it is
also intended to encourage innovation in analytical technology and
improved data quality. EPA is not precluding the use of any method,
whether it constitutes a voluntary consensus standard or not, as long
as it meets the performance criteria specified.
EPA has decided to use the following data standards, which were
developed by the Exchange Network Leadership Council (ENLC). This
entity governs the National Environmental Information Exchange Network
(NEIEN). The ENLC identifies, prioritizes, and pursues the creation of
data standards for those areas where information exchange standards
will provide the most value in achieving environmental results. The
ENLC involves tribes and tribal nations, state, and federal agencies in
the development of the standards. More information about ENLC is
available at www.exchangenetwork.net.
Enforcement and Compliance Data Standard, Standard No.:
EX000026.2, July 30, 2008. This data standard
[[Page 64095]]
identifies and defines the major areas of enforcement and compliance
information that could be used for the exchange of data among
environmental agencies and other entities. The purpose of the standard
is to provide a common lexicon, so that information about functionally
similar activities and/or instruments can be stored and to provide and
receive data in a clearly defined and uniform way.
Permitting Information Data Standard, Standard No.:
EX000021.2, January 6, 2006. This data standard should be used in this
regulation because it specifies the key data groupings necessary for
the consistent identification of information pertaining to permits of
interest to environmental information exchange partners. This data
standard provides a minimum set of data, which need to be reported for
permitting information such as permit name, number, type, organization
or facility name, and affiliation type.
Facility Site Identification Data Standard, Standard No.:
EX000020.2, January 6, 2006. The purpose of this data standard is to
identify a facility of environmental interest. This data standard
should be used in this regulation because it provides for the unique
identification of facilities regulated or monitored by EPA, states,
tribes, and territories. Each facility is assigned a unique facility
identification number, which identifies information for the facility
specified. This standard provides and describes data groupings that are
used to exchange facility site identification data and information.
This standard helps EPA, states, tribes, and territories integrate and
share facility information across multiple information systems,
programs, and governments.
Contact Information Data Standard, Standard No.:
EX000019.2, January 6, 2006. This data standard should be used in this
regulation because it provides information regarding the source of
contact. This standard offers data groupings that are used to describe
a point of contact, address, and communication information. For
example, the data grouping ``Point of Contact'' subdivides to lower
levels such as individual, affiliation, and organization. These
intermediate data groupings are further defined at the elemental levels
with Name, Title, Code, and Prefix.
Representation of Date and Time Data Standard, Standard
No.: EX000013.1, January 6, 2006. This data standard should be used in
this regulation because it provides and describes data groupings that
are used for exchange of Date and Time data and information. The
standard provides information on the high level, intermediate, and
elemental representation of date and time data groupings.
Latitude/Longitude Data Standard, Standard No.:
EX000017.2, January 6, 2006. This data standard should be used in this
regulation because it establishes the requirements for documenting
latitude and longitude coordinates and related method, accuracy, and
description data for all places used in the data exchange transaction.
Places include facilities, sites, monitoring stations, observations
points, and other regulated or tracked features. This standard
describes data and data groupings that are used to exchange latitude
and longitude data and information. The purpose of the standard is to
provide a common set of data to use for recording horizontal and
vertical coordinates and associated metadata that define a point on the
earth.
SIC/NAICS Data Standard, Standard No.: EX000022.2, January
6, 2006. This data standard should be used in this regulation because
it provides a common set of data groupings to specify a way to classify
business activities, including industry classifications, product
classifications, and product codes. This data standard provides
information on business activity according to the Standard Industrial
Classification (SIC) and North American Industrial Classification
System (NAICS).
J. Executive Order 12898: Federal Actions To Address Environmental
Justice in Minority Populations and Low-Income Populations
EPA has determined that this final rule will not have
disproportionately high and adverse human health or environmental
effects on minority or low-income populations because it does not
affect the level of protection provided to human health or the
environment. This final rule offers substantial environmental justice
benefits. As described in the context of non-monetary benefits,
discussed in Section VI and described below, the final rule would
significantly increase transparency and access to crucial information
that is relevant to the protection of the health and environment of
minority, low income, and tribal populations.
K. Congressional Review Act (CRA)
This action is subject to the CRA, and the EPA will submit a rule
report to each House of the Congress and to the Comptroller General of
the United States. This action is not a ``major rule'' as defined by 5
U.S.C. 804(2).
List of Subjects
40 CFR Part 9
Environmental protection, Reporting and recordkeeping requirements.
40 CFR Part 122
Environmental protection, Administrative practice and procedure,
Confidential business information, Hazardous substances, Incorporation
by reference, Reporting and recordkeeping requirements, Water pollution
control.
40 CFR Part 123
Environmental protection, Administrative practice and procedure,
Confidential business information, Hazardous substances, Indians-lands,
Intergovernmental relations, Penalties, Reporting and recordkeeping
requirements, Water pollution control.
40 CFR Part 124
Environmental protection, Administrative practice and procedure,
Air pollution control, Hazardous waste, Indians-lands, Reporting and
recordkeeping requirements, Water pollution control, Water supply.
40 CFR Part 127
Environmental protection, Administrative practice and procedure,
Automatic data processing, Electronic data processing, Hazardous
substances, Intergovernmental relations, Reporting and recordkeeping
requirements, Sewage disposal, Waste treatment and disposal, Water
pollution control.
40 CFR Part 403
Environmental protection, Confidential business information,
Reporting and recordkeeping requirements, Waste treatment and disposal,
Water pollution control.
40 CFR Part 501
Environmental protection, Administrative practice and procedure,
Indians-lands, Intergovernmental relations, Penalties, Reporting and
recordkeeping requirements, Sewage disposal.
40 CFR Part 503
Environmental protection, Reporting and recordkeeping requirements,
Sewage disposal.
Dated: September 24, 2015.
Gina McCarthy,
Administrator.
For the reasons cited in the preamble, title 40, chapter I is
amended as follows:
[[Page 64096]]
PART 9--OMB APPROVALS UNDER THE PAPERWORK REDUCTION ACT
0
1. The authority citation for part 122 continues to read as follows:
Authority: 7 U.S.C. 135 et seq., 136-136y; 15 U.S.C. 2001,
2003, 2005, 2006, 2601-2671; 21 U.S.C. 331j, 346a, 31 U.S.C. 9701;
33 U.S.C. 1251 et seq., 1311, 1313d, 1314, 1318, 1321, 1326, 1330,
1342, 1344, 1345 (d) and (e), 1361; E.O. 11735, 38 FR 21243, 3 CFR,
1971-1975 Comp. p. 973; 42 U.S.C. 241, 242b, 243, 246, 300f, 300g,
300g-1, 300g-2, 300g-3, 300g-4, 300g-5, 300g-6, 300j-1, 300j-2,
300j-3, 300j-4, 300j-9, 1857 et seq., 6901-6992k, 7401-7671q, 7542,
9601-9657, 11023, 11048.
0
2. In Sec. 9.1, the table is amended by adding the following section
in numerical order under a new heading titled ``NPDES Electronic
Reporting'' to read as follows:
Sec. 9.1 OMB approvals under the Paperwork Reduction Act.
* * * * *
------------------------------------------------------------------------
40 CFR citation OMB control No.
------------------------------------------------------------------------
* * * * *
------------------------------------------------------------------------
NPDES Electronic Reporting
------------------------------------------------------------------------
127.26 2020-0035.
* * * * *
------------------------------------------------------------------------
* * * * *
PART 122--EPA ADMINISTERED PERMIT PROGRAMS: THE NATIONAL POLLUTANT
DISCHARGE ELIMINATION SYSTEM
0
3. The authority citation for part 122 continues to read as follows:
Authority: The Clean Water Act, 33 U.S.C. 1251 et seq.
0
4. Amend Sec. 122.22 by adding paragraph (e) to read as follows:
Sec. 122.22 Signatories to permit applications and reports
(applicable to State programs, see Sec. 123.25).
* * * * *
(e) Electronic reporting. If documents described in paragraph (a)
or (b) of this section are submitted electronically by or on behalf of
the NPDES-regulated facility, any person providing the electronic
signature for such documents shall meet all relevant requirements of
this section, and shall ensure that all of the relevant requirements of
40 CFR part 3 (including, in all cases, subpart D to part 3) (Cross-
Media Electronic Reporting) and 40 CFR part 127 (NPDES Electronic
Reporting Requirements) are met for that submission.
* * * * *
0
5. Amend Sec. 122.26 by:
0
a. Revising paragraphs (b)(15)(i)(A) and (g)(1)(iii).
0
b. Adding paragraph (b)(15)(i)(C).
The revisions and addition read as follows:
Sec. 122.26 Storm water discharges (applicable to State NPDES
programs, see Sec. 123.25).
(b) * * *
(15) * * *
(i) * * *
(A) The value of the rainfall erosivity factor (``R'' in the
Revised Universal Soil Loss Equation) is less than five during the
period of construction activity. The rainfall erosivity factor is
determined in accordance with Chapter 2 of Agriculture Handbook Number
703, Predicting Soil Erosion by Water: A Guide to Conservation Planning
with the Revised Universal Soil Loss Equation (RUSLE), pages 21-64,
dated January 1997. The Director of the Federal Register approves this
incorporation by reference in accordance with 5 U.S.C. 552(a) and 1 CFR
part 51. Copies may be obtained at EPA's Water Docket, 1200
Pennsylvania Avenue NW, Washington, DC 20460. For information on the
availability of this material at National Archives and Records
Administration, call 202-741-6030, or go to: https://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html. An
operator must certify to the Director that the construction activity
will take place during a period when the value of the rainfall
erosivity factor is less than five; or
* * * * *
(C) As of December 21, 2020 all certifications submitted in
compliance with paragraphs (b)(15)(i)(A) and (B) of this section must
be submitted electronically by the owner or operator to the Director or
initial recipient, as defined in 40 CFR 127.2(b), in compliance with
this section and 40 CFR part 3 (including, in all cases, subpart D to
part 3), Sec. 122.22, and 40 CFR part 127. Part 127 is not intended to
undo existing requirements for electronic reporting. Prior to this
date, and independent of part 127, owners or operators may be required
to report electronically if specified by a particular permit or if
required to do so by state law.
* * * * *
(g) * * *
(1) * * *
(iii) Submit the signed certification to the NPDES permitting
authority once every five years. As of December 21, 2020 all
certifications submitted in compliance with this section must be
submitted electronically by the owner or operator to the Director or
initial recipient, as defined in 40 CFR 127.2(b), in compliance with
this section and 40 CFR part 3 (including, in all cases, subpart D to
part 3), Sec. 122.22, and 40 CFR part 127. Part 127 is not intended to
undo existing requirements for electronic reporting. Prior to this
date, and independent of part 127, owners or operators may be required
to report electronically if specified by a particular permit or if
required to do so by state law.
* * * * *
0
6. Amend Sec. 122.28 by revising paragraphs (b)(2)(i) and (ii) to read
as follows:
Sec. 122.28 General permits (applicable to State NPDES programs, see
Sec. 123.25).
* * * * *
(b) * * *
(2) * * *
(i) Except as provided in paragraphs (b)(2)(v) and (vi) of this
section, dischargers (or treatment works treating domestic sewage)
seeking coverage under a general permit shall submit to the Director a
notice of intent to be covered by the general permit. A discharger (or
treatment works treating domestic sewage) who fails to submit a notice
of intent in accordance with the terms of the permit is not authorized
to discharge, (or in the case of sludge disposal permit, to engage in a
sludge use or disposal practice), under the terms of the general permit
unless the general permit, in accordance with paragraph (b)(2)(v),
contains a provision that a notice of intent is not required or the
Director notifies a discharger (or treatment works treating domestic
sewage) that it is covered by a general permit in accordance with
paragraph (b)(2)(vi). A complete and timely, notice of intent (NOI), to
be covered in accordance with general permit requirements, fulfills the
requirements for permit applications for purposes of Sec. Sec. 122.6,
122.21, and 122.26. As of December 21, 2020 all notices of intent
submitted in compliance with this section must be submitted
electronically by the discharger (or treatment works treating domestic
sewage) to the Director or initial recipient, as defined in 40 CFR
127.2(b), in compliance with this section and 40 CFR part 3 (including,
in all cases, subpart D to part 3), Sec. 122.22, and 40 CFR part 127.
Part 127 is not intended to undo existing requirements for electronic
reporting. Prior to this date, and independent of part 127, discharger
(or treatment works treating domestic sewage) may be required to report
electronically if
[[Page 64097]]
specified by a particular permit or if required to do so by state law.
(ii) The contents of the notice of intent shall be specified in the
general permit and shall require the submission of information
necessary for adequate program implementation, including at a minimum,
the legal name and address of the owner or operator, the facility name
and address, type of facility or discharges, the receiving stream(s),
and other required data elements as identified in appendix A to part
127. General permits for stormwater discharges associated with
industrial activity from inactive mining, inactive oil and gas
operations, or inactive landfills occurring on Federal lands where an
operator cannot be identified may contain alternative notice of intent
requirements. All notices of intent shall be signed in accordance with
Sec. 122.22. Notices of intent for coverage under a general permit for
concentrated animal feeding operations must include the information
specified in Sec. 122.21(i)(1), including a topographic map.
* * * * *
0
7. Amend Sec. 122.34 by revising paragraph (g)(3) introductory text to
read as follows:
Sec. 122.34 As an operator of a regulated small MS4, what will my
NPDES MS4 storm water permit require?
* * * * *
(g) * * *
(3) Reporting. Unless you are relying on another entity to satisfy
your NPDES permit obligations under Sec. 122.35(a), you must submit
annual reports to the NPDES permitting authority for your first permit
term. For subsequent permit terms, you must submit reports in year two
and four unless the NPDES permitting authority requires more frequent
reports. As of December 21, 2020 all reports submitted in compliance
with this section must be submitted electronically by the owner,
operator, or the duly authorized representative of the small MS4 to the
Director or initial recipient, as defined in 40 CFR 127.2(b), in
compliance with this section and 40 CFR part 3 (including, in all
cases, subpart D to part 3), Sec. 122.22, and 40 CFR part 127. Part
127 is not intended to undo existing requirements for electronic
reporting. Prior to this date, and independent of part 127, the owner,
operator, or the duly authorized representative of the small MS4 may be
required to report electronically if specified by a particular permit
or if required to do so by state law. Your report must include:
* * * * *
0
8. Amend Sec. 122.41 by:
0
a. Revising paragraphs (l)(4)(i), (l)(6)(i), (l)(7), and (m)(3).
0
b. Adding paragraph (l)(9).
The revisions and addition read as follows:
Sec. 122.41 Conditions applicable to all permits (applicable to State
programs, see Sec. 123.25).
* * * * *
(l) * * *
(4) * * *
(i) Monitoring results must be reported on a Discharge Monitoring
Report (DMR) or forms provided or specified by the Director for
reporting results of monitoring of sludge use or disposal practices. As
of December 21, 2016 all reports and forms submitted in compliance with
this section must be submitted electronically by the permittee to the
Director or initial recipient, as defined in 40 CFR 127.2(b), in
compliance with this section and 40 CFR part 3 (including, in all
cases, subpart D to part 3), Sec. 122.22, and 40 CFR part 127. Part
127 is not intended to undo existing requirements for electronic
reporting. Prior to this date, and independent of part 127, permittees
may be required to report electronically if specified by a particular
permit or if required to do so by state law.
* * * * *
(6) * * *
(i) The permittee shall report any noncompliance which may endanger
health or the environment. Any information shall be provided orally
within 24 hours from the time the permittee becomes aware of the
circumstances. A report shall also be provided within 5 days of the
time the permittee becomes aware of the circumstances. The report shall
contain a description of the noncompliance and its cause; the period of
noncompliance, including exact dates and times), and if the
noncompliance has not been corrected, the anticipated time it is
expected to continue; and steps taken or planned to reduce, eliminate,
and prevent reoccurrence of the noncompliance. For noncompliance events
related to combined sewer overflows, sanitary sewer overflows, or
bypass events, these reports must include the data described above
(with the exception of time of discovery) as well as the type of event
(combined sewer overflows, sanitary sewer overflows, or bypass events),
type of sewer overflow structure (e.g., manhole, combine sewer overflow
outfall), discharge volumes untreated by the treatment works treating
domestic sewage, types of human health and environmental impacts of the
sewer overflow event, and whether the noncompliance was related to wet
weather. As of December 21, 2020 all reports related to combined sewer
overflows, sanitary sewer overflows, or bypass events submitted in
compliance with this section must be submitted electronically by the
permittee to the Director or initial recipient, as defined in 40 CFR
127.2(b), in compliance with this section and 40 CFR part 3 (including,
in all cases, subpart D to part 3), Sec. 122.22, and 40 CFR part 127.
Part 127 is not intended to undo existing requirements for electronic
reporting. Prior to this date, and independent of part 127, permittees
may be required to electronically submit reports related to combined
sewer overflows, sanitary sewer overflows, or bypass events under this
section by a particular permit or if required to do so by state law.
The Director may also require permittees to electronically submit
reports not related to combined sewer overflows, sanitary sewer
overflows, or bypass events under this section.
* * * * *
(7) Other noncompliance. The permittee shall report all instances
of noncompliance not reported under paragraphs (l)(4), (5), and (6) of
this section, at the time monitoring reports are submitted. The reports
shall contain the information listed in paragraph (l)(6). For
noncompliance events related to combined sewer overflows, sanitary
sewer overflows, or bypass events, these reports shall contain the
information described in paragraph (l)(6) and the applicable required
data in appendix A to 40 CFR part 127. As of December 21, 2020 all
reports related to combined sewer overflows, sanitary sewer overflows,
or bypass events submitted in compliance with this section must be
submitted electronically by the permittee to the Director or initial
recipient, as defined in 40 CFR 127.2(b), in compliance with this
section and 40 CFR part 3 (including, in all cases, subpart D to part
3), Sec. 122.22, and 40 CFR part 127. Part 127 is not intended to undo
existing requirements for electronic reporting. Prior to this date, and
independent of part 127, permittees may be required to electronically
submit reports related to combined sewer overflows, sanitary sewer
overflows, or bypass events under this section by a particular permit
or if required to do so by state law. The Director may also require
permittees to electronically submit reports not related to combined
sewer overflows, sanitary sewer overflows, or bypass events under this
section.
* * * * *
[[Page 64098]]
(9) Identification of the initial recipient for NPDES electronic
reporting data. The owner, operator, or the duly authorized
representative of an NPDES-regulated entity is required to
electronically submit the required NPDES information (as specified in
appendix A to 40 CFR part 127) to the appropriate initial recipient, as
determined by EPA, and as defined in Sec. 127.2(b) of this chapter.
EPA will identify and publish the list of initial recipients on its Web
site and in the Federal Register, by state and by NPDES data group [see
Sec. 127.2(c) of this chapter]. EPA will update and maintain this
listing.
* * * * *
(m) * * *
(3) Notice--(i) Anticipated bypass. If the permittee knows in
advance of the need for a bypass, it shall submit prior notice, if
possible at least ten days before the date of the bypass. As of
December 21, 2020 all notices submitted in compliance with this section
must be submitted electronically by the permittee to the Director or
initial recipient, as defined in 40 CFR 127.2(b), in compliance with
this section and 40 CFR part 3 (including, in all cases, subpart D to
part 3), Sec. 122.22, and 40 CFR part 127. Part 127 is not intended to
undo existing requirements for electronic reporting. Prior to this
date, and independent of part 127, permittees may be required to report
electronically if specified by a particular permit or if required to do
so by state law.
(ii) Unanticipated bypass. The permittee shall submit notice of an
unanticipated bypass as required in paragraph (l)(6) of this section
(24-hour notice). As of December 21, 2020 all notices submitted in
compliance with this section must be submitted electronically by the
permittee to the Director or initial recipient, as defined in 40 CFR
127.2(b), in compliance with this section and 40 CFR part 3 (including,
in all cases, subpart D to part 3), Sec. 122.22, and 40 CFR part 127.
Part 127 is not intended to undo existing requirements for electronic
reporting. Prior to this date, and independent of part 127, permittees
may be required to report electronically if specified by a particular
permit or if required to do so by state law.
* * * * *
0
9. Amend Sec. 122.42 by revising the introductory text in paragraphs
(c) and (e)(4) and paragraph (e)(4)(vi) to read as follows:
Sec. 122.42 Additional conditions applicable to specified categories
of NPDES permits (applicable to State NPDES programs, see Sec.
123.25).
* * * * *
(c) Municipal separate storm sewer systems. The operator of a large
or medium municipal separate storm sewer system or a municipal separate
storm sewer that has been designated by the Director under Sec.
122.26(a)(1)(v) must submit an annual report by the anniversary of the
date of the issuance of the permit for such system. As of December 21,
2020 all reports submitted in compliance with this section must be
submitted electronically by the owner, operator, or the duly authorized
representative of the MS4 to the Director or initial recipient, as
defined in 40 CFR 127.2(b), in compliance with this section and 40 CFR
part 3 (including, in all cases, subpart D to part 3), Sec. 122.22,
and 40 CFR part 127. Part 127 is not intended to undo existing
requirements for electronic reporting. Prior to this date, and
independent of part 127, the owner, operator, or the duly authorized
representative of the MS4 may be required to report electronically if
specified by a particular permit or if required to do so by state law.
The report shall include:
* * * * *
(e) * * *
(4) Annual reporting requirements for CAFOs. The permittee must
submit an annual report to the Director. As of December 21, 2020 all
annual reports submitted in compliance with this section must be
submitted electronically by the permittee to the Director or initial
recipient, as defined in 40 CFR 127.2(b), in compliance with this
section and 40 CFR part 3 (including, in all cases, subpart D to part
3), Sec. 122.22, and 40 CFR part 127. Part 127 is not intended to undo
existing requirements for electronic reporting. Prior to this date, and
independent of part 127, the permittee may be required to report
electronically if specified by a particular permit or if required to do
so by state law. The annual report must include:
* * * * *
(vi) Summary of all manure, litter and process wastewater
discharges from the production area that have occurred in the previous
12 months, including, for each discharge, the date of discovery,
duration of discharge, and approximate volume; and
* * * * *
0
10. Amend Sec. 122.43 by revising paragraph (a) to read as follows:
Sec. 122.43 Establishing permit conditions (applicable to State
programs, see Sec. 123.25).
(a) In addition to conditions required in all permits (Sec. Sec.
122.41 and 122.42), the Director shall establish conditions, as
required on a case-by-case basis, to provide for and ensure compliance
with all applicable requirements of CWA and regulations. These shall
include conditions under Sec. Sec. 122.46 (duration of permits),
122.47(a) (schedules of compliance), 122.48 (monitoring), electronic
reporting requirements of 40 CFR part 3 (Cross-Media Electronic
Reporting Regulation) and 40 CFR part 127 (NPDES Electronic Reporting),
and, for EPA permits only, Sec. Sec. 122.47(b) (alternatives schedule
of compliance) and 122.49 (considerations under Federal law).
* * * * *
0
11. Amend Sec. 122.44 by revising paragraph (i)(2) to read as follows:
Sec. 122.44 Establishing limitations, standards, and other permit
conditions (applicable to State NPDES programs, see Sec. 123.25).
* * * * *
(i) * * *
(2) Except as provided in paragraphs (i)(4) and (5) of this
section, requirements to report monitoring results shall be established
on a case-by-case basis with a frequency dependent on the nature and
effect of the discharge, but in no case less than once a year. For
sewage sludge use or disposal practices, requirements to monitor and
report results shall be established on a case-by-case basis with a
frequency dependent on the nature and effect of the sewage sludge use
or disposal practice; minimally this shall be as specified in 40 CFR
part 503 (where applicable), but in no case less than once a year. All
results must be electronically reported in compliance with 40 CFR part
3 (including, in all cases, subpart D to part 3), Sec. 122.22, and 40
CFR part 127.
* * * * *
0
12. Amend Sec. 122.48 by revising paragraph (c) to read as follows:
Sec. 122.48 Requirements for recording and reporting of monitoring
results (applicable to State programs, see Sec. 123.25).
* * * * *
(c) Applicable reporting requirements based upon the impact of the
regulated activity and as specified in 40 CFR part 3 (Cross-Media
Electronic Reporting Regulation), Sec. 122.44, and 40 CFR part 127
(NPDES Electronic Reporting). Reporting shall be no less frequent than
specified in Sec. 122.44. EPA will maintain the start dates for the
electronic
[[Page 64099]]
reporting of monitoring results for each state on its Web site.
0
13. Amend Sec. 122.63 by adding paragraph (f) to read as follows:
Sec. 122.63 Minor modifications of permits.
* * * * *
(f) Require electronic reporting requirements (to replace paper
reporting requirements) including those specified in 40 CFR part 3
(Cross-Media Electronic Reporting Regulation) and 40 CFR part 127
(NPDES Electronic Reporting).
* * * * *
0
14. Amend Sec. 122.64 by adding paragraph (c) to read as follows:
Sec. 122.64 Termination of permits (applicable to State programs, see
Sec. 123.25).
* * * * *
(c) Permittees that wish to terminate their permit must submit a
Notice of Termination (NOT) to their permitting authority. If
requesting expedited permit termination procedures, a permittee must
certify in the NOT that it is not subject to any pending State or
Federal enforcement actions including citizen suits brought under State
or Federal law. As of December 21, 2020 all NOTs submitted in
compliance with this section must be submitted electronically by the
permittee to the Director or initial recipient, as defined in 40 CFR
127.2(b), in compliance with this section and 40 CFR part 3 (including,
in all cases, subpart D), Sec. 122.22, and 40 CFR part 127. Part 127
is not intended to undo existing requirements for electronic reporting.
Prior to this date, and independent of part 127, the permittee may be
required to report electronically if specified by a particular permit
or if required to do so by state law.
PART 123--STATE PROGRAM REQUIREMENTS
0
15. The authority citation for part 123 continues to read as follows:
Authority: The Clean Water Act, 33 U.S.C. 1251 et se.
0
16. Amend Sec. 123.22 by adding paragraph (g) to read as follows:
Sec. 123.22 Program description.
* * * * *
(g) A state, tribe, or territory that newly seeks to implement an
NPDES program after March 21, 2016 must describe whether the state,
tribe, or territory will be the initial recipient of electronic NPDES
information from NPDES-regulated facilities for specific NPDES data
groups (see 40 CFR 127.2(c) and 127.27). In this program description,
the state, tribe, or territory must identify the specific NPDES data
groups for which the state, tribe, or territory will be the initial
recipient of electronic NPDES information from NPDES-regulated
facilities and how the electronic data system of the state, tribe, or
territory will be compliant with 40 CFR part 3 (including, in all
cases, subpart D to part 3), Sec. 123.26, and 40 CFR part 127.
0
17. Amend Sec. 123.24 by revising paragraph (b)(3) to read as follows:
Sec. 123.24 Memorandum of Agreement with the Regional Administrator.
* * * * *
(b) * * *
(3) Provisions specifying the frequency and content of reports,
documents and other information which the State is required to submit
to EPA. The State shall allow EPA to routinely review State records,
reports, and files relevant to the administration and enforcement of
the approved program. State reports may be combined with grant reports
where appropriate. These procedures must also implement the
requirements of 40 CFR 123.41(a) and 123.43 and 40 CFR part 127
(including the required data elements in appendix A to part 127).
* * * * *
0
18. Amend Sec. 123.25 by revising paragraph (a)(46) and the note
immediately following it to read as follows:
Sec. 123.25 Requirements for permitting.
(a) * * *
(46) 40 CFR part 3 (Cross-Media Electronic Reporting Regulation)
and 40 CFR part 127 (NPDES Electronic Reporting Requirements).
Note to paragraph (a): Except for paragraph (a)(46) of this
section, states need not implement provisions identical to the above
listed provisions. Implemented provisions must, however, establish
requirements at least as stringent as the corresponding listed
provisions. While States may impose more stringent requirements, they
may not make one requirement more lenient as a tradeoff for making
another requirement more stringent; for example, by requiring that
public hearings be held prior to issuing any permit while reducing the
amount of advance notice of such a hearing.
State programs may, if they have adequate legal authority,
implement any of the provisions of parts 122 and 124. See, for example,
Sec. Sec. 122.5(d) (continuation of permits) and 124.4 (consolidation
of permit processing) of this chapter.
For example, a State may impose more stringent requirements in an
NPDES program by omitting the upset provision of Sec. 122.41 of this
chapter or by requiring more prompt notice of an upset.
* * * * *
0
19. Amend Sec. 123.26 by:
0
a. Revising the introductory text in paragraph (b) and paragraphs
(b)(1), (b)(2)(iii), and (e)(1).
0
b. Removing the word ``and'' after semicolon in paragraph (b)(2)(ii).
0
c. Adding paragraphs (b)(2)(iv) and (f).
The revisions and additions read as follows:
Sec. 123.26 Requirements for compliance evaluation programs.
* * * * *
(b) State programs shall have inspection and surveillance
procedures to determine, independent of information supplied by
regulated persons, compliance or noncompliance with applicable program
requirements. The State shall implement and maintain:
(1) An automated, computerized system which is capable of
identifying and tracking all facilities and activities subject to the
State Director's authority and any instances of noncompliance with
permit or other program requirements (e.g., identifying noncompliance
with an automated, computerized program to compare permit limits to
reported measurements). State programs must maintain a management
information system which supports the compliance evaluation activities
of this part (e.g., source inventories; compliance determinations based
upon discharge monitoring reports, other submitted reports, and
determinations of noncompliance made from inspection or document
reviews; and subsequent violation notices, enforcement actions, orders,
and penalties) and complies with 40 CFR part 3 (Cross-Media Electronic
Reporting Regulation) and 40 CFR part 127 (NPDES Electronic Reporting
Requirements). State programs may use EPA's national NPDES data system
for their automated, computerized system;
(2) * * *
(iii) Verify the adequacy of sampling, monitoring, and other
methods used by permittees and other regulated persons to develop that
information; and
(iv) Protect surface waters and public health.
* * * * *
(e) * * *
(1) Maintaining an automated, computerized system which is capable
of managing the comprehensive electronic inventory of all sources
covered by NPDES permits and
[[Page 64100]]
generating an electronic schedule of reports required to be submitted
by permittees to the State agency. (Note: State programs may use EPA's
national NPDES data system for their automated, computerized system.);
* * * * *
(f) A state, tribe, or territory that is designated by EPA as an
initial recipient of electronic NPDES information, as defined in Sec.
127.2 of this chapter, must maintain the data it collects and
electronically transfer the minimum set of NPDES data to EPA through
timely data transfers in compliance with all requirements of 40 CFR
parts 3 and 127 (including the required data elements in appendix A to
part 127). Timely means that the authorized state, tribe, or territory
submits these data transfers (see the data elements in appendix A to 40
CFR part 127) to EPA within 40 days of when the state, tribe, or
territory completed the activity or received a report submitted by a
regulated entity. For example, the data regarding a state inspection of
an NPDES-regulated entity that is finalized by the state on October 5th
must be electronically transferred to EPA no later than November 14th
of that same year (e.g., 40 days after October 5th). EPA must become
the initial recipient of electronic NPDES information from NPDES-
regulated entities if the state, tribe, or territory does not
consistently maintain these timely data transfers or does not comply
with 40 CFR parts 3 and 127. See 40 CFR 127.2(b) and 127.27 regarding
the initial recipient.
0
20. Amend Sec. 123.41 by revising paragraph (a) to read as follows:
Sec. 123.41 Sharing of information.
(a) Any information obtained or used in the administration of a
State program shall be available to EPA upon request without
restriction. This includes the timely data transfers in compliance with
all requirements of 40 CFR parts 3 and 127 (including the required data
elements in appendix A to part 127). If the information has been
submitted to the State under a claim of confidentiality, the State must
submit that claim to EPA when providing information under this section.
Any information obtained from a State and subject to a claim of
confidentiality will be treated in compliance with the regulations in
40 CFR part 2. If EPA obtains information from an authorized state
NPDES program, which is not claimed to be confidential, EPA may make
that information available to the public without further notice. Timely
means that the authorized state, tribe, or territory submits these data
transfers (see the data elements in appendix A to 40 CFR part 127) to
EPA within 40 days of when the state, tribe, or territory completed the
activity or received a report submitted by a regulated entity. For
example, the data regarding a state inspection of an NPDES-regulated
entity that is finalized by the state on October 5th must be
electronically transferred to EPA no later than November 14th of that
same year (e.g., 40 days after October 5th). EPA must become the
initial recipient of electronic NPDES information from NPDES-regulated
entities if the state, tribe, or territory does not consistently
maintain these timely data transfers or does not comply with 40 CFR
parts 3 and 127. See 40 CFR 127.2(b) and 127.27 regarding the initial
recipient.
* * * * *
0
21. Amend Sec. 123.43 by revising paragraph (d) to read as follows:
Sec. 123.43 Transmission of information to EPA.
* * * * *
(d) Any State permit program shall keep such records and submit to
the Administrator such information as the Administrator may reasonably
require to ascertain whether the State program complies with the
requirements of the CWA or of this part. This includes the timely data
transfers in compliance with all requirements of 40 CFR part 127
(including the required data elements in appendix A to part 127).
0
22. Revise Sec. 123.45 to read as follows:
Sec. 123.45 Noncompliance and program reporting by the Director.
As of December 21, 2021 EPA must prepare public (quarterly and
annual) reports as set forth here from information that is required to
be submitted by NPDES-regulated facilities and the State Director.
(a) NPDES noncompliance reports (NNCR)--quarterly. EPA must produce
an online report on a quarterly basis with the minimum content
specified here. The Director must electronically submit timely,
accurate, and complete data to EPA that allows EPA to prepare these
quarterly NNCRs.
(1) Content. The NNCR must include the following information:
(i) A facility specific list of NPDES-regulated entities in
violation, including non-POTWs, POTWs, Federal permittees, major
facilities, and nonmajor facilities, as well as a list of CWA point
sources that did not obtain NPDES permits authorizing discharges of
pollutants to waters of the United States.
(ii) For each identified NPDES-regulated entity in violation of the
Clean Water Act:
(A) The name, location, and permit number or other identification
number, if a permit does not exist.
(B) Information describing identified violation(s) that occurred in
that quarter, including the date(s) on which violation(s) started and
ended (if applicable). Where applicable, the information must indicate
the pipe, parameter, and the effluent limit(s) violated. Violations
must be classified as Category I and II as described in paragraph
(a)(2) of this section.
(C) The date(s) and type of formal enforcement and written informal
enforcement action(s) taken by the Director to respond to violation(s),
including any penalties assessed.
(D) The status of the violation(s) (e.g., corrected or continuing,
and the date that the violation(s) was resolved), which can be reported
by linking violations to specific enforcement actions, or tracking
noncompliance end dates.
(E) Any optional details that may help explain the instance(s) of
noncompliance as provided by the Director or EPA.
(F) All violations must be reported in successive quarterly reports
until the violation(s) is documented as being corrected (i.e., the
regulated entity is no longer in violation). After a violation is
reported as corrected in the NNCR, that particular violation will not
continue to appear in subsequent quarterly reports, although it will
appear in the relevant annual report.
(G) If the permittee or discharger is in compliance with an
enforcement order (e.g., permittee is completing the necessary upgrades
to its existing wastewater treatment system in accordance with the
schedule in the enforcement order), and has no new, additional
violation(s), the compliance status must be reported as ``resolved
pending'' in the NNCR. The permittee/discharger will continue to be
listed on the NNCR until the violation(s) is documented as being
corrected.
(2) Violation classifications. A violation must be classified as
``Category I Noncompliance'' if one or more of the criteria set forth
below are met.
(i) Reporting violations. These include failure to submit a
complete, required report (e.g., final compliance schedule progress
report, discharge monitoring report, annual report) within 30 days
after the date established in a permit, administrative or judicial
order, or regulation. In addition, these also include any failure to
comply with the
[[Page 64101]]
reporting requirements at 40 CFR 122.41(l)(6).
(ii) Compliance construction violations. These include failure to
start construction, complete construction, or achieve final compliance
within 90 days after the date established in a permit, administrative
or judicial order, or regulation.
(iii) Effluent limits. These include violations of interim or final
effluent limits established in a permit, administrative or judicial
enforcement order, or regulation that exceed the ``Criteria for
Noncompliance Reporting in the NPDES Program'' in appendix A to Sec.
123.45.
(iv) Compliance schedule violations. These include violations of
any requirement or condition in permits, or administrative or judicial
enforcement orders, excluding reporting violations, compliance
construction milestones and effluent limits.
(v) Non-numeric effluent limit violations. These include violations
of non-numeric effluent limits (e.g., violations of narrative permit
requirements or requirements to implement best management practices)
that caused or could cause water quality impacts. Examples of such
impacts on water quality include, but are not limited to, unauthorized
discharges that may have caused or contributed to exceedances in water
quality standards, fish kills, oil sheens, beach closings, fishing
bans, restrictions on designated uses, and unauthorized bypass or pass
through or interference with the operations of a POTW (see 40 CFR
403.3).
(vi) Other violations. These include any violation or group of
violations, which in the discretion of the Director or EPA, are
considered to be of concern. These violations include repeat violations
by a specific point source, geographic clusters of violations,
corporations with violations at multiple facilities, or industrial
sectors with identified patterns of violation that have a cumulative
impact on water quality, but otherwise would not meet Category I
criteria. EPA must determine whether to issue policy or guidance to
provide more specificity on identifying these types of violations and
how to report them.
(vii) All other types of noncompliance that do not meet the
criteria for Category I Noncompliance must be classified as ``Category
II Noncompliance.''
(3) EPA must provide an easy-to-use interface to facilitate public
access, use, and understanding of the NNCR, including the ability to
sort violations by duration, severity, frequency, detection method
(e.g., self-reported effluent, monitoring, inspection), flow and
pollutant loadings, type of discharger, waterbody receiving the
discharge, proximity to impaired waters, and category of violation (I
or II). EPA must exclude from public release any confidential business
information or enforcement-sensitive information associated with the
NNCR.
(b) NPDES noncompliance reports--annual summary (annual). EPA must
prepare annual public reports that provide a summary of compliance
monitoring and enforcement activities within each state, tribe, and
territory, as well as summary information on violations identified in
the four quarterly NNCRs for that federal fiscal year. EPA must provide
these annual reports by no later than March 1st of the following year.
(1) Facility types covered by reports. EPA must produce, at a
minimum, Annual Summary Reports for the following universes:
Individually-permitted NPDES-regulated entities; all other NPDES-
regulated entities that are not individually permitted; Clean Water Act
point sources that had unauthorized discharge(s) of pollutants to
waters of the US; and a combined report that includes totals across all
three reports above. Individually-permitted facilities are defined in
this subsection as those permits that are unique to the permittee, that
include permitted effluent limits, and require the submission of
discharge monitoring reports.
(2) Content of reports. Reports must include applicable data for
NPDES-regulated entities:
(i) The number of NPDES permittees;
(ii) The number inspected by on-site inspections;
(iii) The number reviewed in which permitted limits were compared
to measured data to determine violations;
(iv) The number evaluated by other, off-site compliance monitoring
activities;
(v) The number with any violations;
(vi) The number with Category I violations;
(vii) The number receiving paper or electronic written informal
enforcement actions;
(viii) The total number receiving formal enforcement actions with a
compliance schedule;
(ix) The total number receiving a penalty assessment;
(x) The total amount of penalties assessed; and
(xi) The number of permit modifications extending compliance
deadlines more than one year.
(c) Schedule for producing NNCR quarterly information. (1) The
Director has until 45 days from the end of the calendar quarter to
update or correct NPDES data submissions in EPA's national NPDES data
system for events that occurred within that calendar quarter covered by
the NNCR.
(2) EPA must publish the NNCR in electronic form to be easily
accessible and available to the public within two months after the end
date of the calendar quarter:
EPA Schedule for Quarterly NNCR
------------------------------------------------------------------------
EPA NNCR publication date for
Calendar quarter calendar quarter
------------------------------------------------------------------------
January, February, March................ May 31.
April, May, June........................ August 31.
July, August, September................. November 30.
October, November, and December......... Last Day in February.
------------------------------------------------------------------------
Appendix A to Sec. 123.45--Criteria for Category I Noncompliance
Reporting in the NPDES Program
This appendix describes the criteria for reporting Category I
violations of NPDES permit effluent limits in the NPDES non-
compliance report (NNCR) as specified under paragraph (a)(2)(C) of
this section. Any violation of an NPDES permit is a violation of the
Clean Water Act (CWA) for which the permittee is liable. As
specified in paragraph (a)(2) of this section, there are two
categories of noncompliance, and the table below indicates the
thresholds for violations in Category I. An agency's decision as to
what enforcement action, if any, should be taken in such cases,
shall be based on an analysis of facts, legal requirements, policy,
and guidance.
Violations of Permit Effluent Limits
The categorization of permit effluent limits depends upon the
magnitude and/or frequency of the violation. Effluent violations
shall be evaluated on a parameter-by-parameter and outfall-by-
outfall basis. The criteria for reporting effluent violations are as
follows:
a. Reporting Criteria for Category I Violations of Monthly Average
Permit Limits--Magnitude and Frequency
Violations of monthly average effluent limits which exceed or
equal the product of the Technical Review Criteria (TRC) times the
effluent limit, and occur two months in a six- month period must be
reported. TRCs are for two groups of pollutants.
Group I Pollutants--TRC=1.4
Group II Pollutants--TRC=1.2
b. Reporting Criteria for Chronic Violations of Monthly Average Limits
Chronic violations must be reported in the NNCR if the monthly
average permit limits are exceeded any four months in a six-month
period. These criteria apply to all Group I and Group II pollutants.
[[Page 64102]]
Group I Pollutants--TRC=1.4
Oxygen Demand
Biochemical Oxygen Demand
Chemical Oxygen Demand
Total Oxygen Demands
Total Organic Carbon
Other
Solids
Total Suspended Solids (Residues)
Total Dissolved Solids (Residues)
Other
Nutrients
Inorganic Phosphorus Compounds
Inorganic Nitrogen Compounds
Other
Detergents and Oils
MBAS
NTA
Oil and Grease
Other detergents or algicides
Minerals
Calcium
Chloride
Fluoride
Magnesium
Sodium
Potassium
Sulfur
Sulfate
Total Alkalinity
Total Hardness
Other Minerals
Metals
Aluminum
Cobalt
Iron
Vanadium
Group II Pollutants--TRC=1.2
Metals (all forms)
Other metals not specifically listed under Group I
Inorganic
Cyanide
Total Residual Chlorine
Organics
All organics are Group II except those specifically listed under
Group I.
0
23. Add part 127 to read as follows:
PART 127--NPDES ELECTRONIC REPORTING
Subpart A--General
Sec.
127.1 Purpose and scope.
127.2 Definitions.
Subpart B--Electronic Reporting of NPDES Information From NPDES-
Regulated Facilities
127.11 Types of data to be reported electronically by NPDES
permittees, facilities, and entities subject to this part [see Sec.
127.1(a)].
127.12 Signature and certification standards for electronic
reporting.
127.13 Requirements regarding quality assurance and quality control.
127.14 Requirements regarding timeliness, accuracy, completeness,
and national consistency.
127.15 Waivers from electronic reporting.
127.16 Implementation of electronic reporting requirements for NPDES
permittees, facilities, and entities subject to this part [see Sec.
127.1(a)].
Subpart C--Responsibilities of EPA and States, Tribes, and Territories
Authorized to Implement the NPDES Program
127.21 Data to be reported electronically to EPA by states, tribes,
and territories.
127.22 Requirements regarding quality assurance and quality control.
127.23 Requirements regarding timeliness, accuracy, completeness,
and national consistency.
127.24 Responsibilities regarding review of waiver requests from
NPDES permittees, facilities, and entities subject to this part [see
Sec. 127.1(a)].
127.25 Time for states, tribes, and territories to revise existing
programs.
127.26 Implementation plan (authorized states, tribes, and
territories).
127.27 Procedure for determining initial recipient of electronic
NPDES information.
Appendix A to Part 127--Minimum Set of NPDES Data
Authority: 33 U.S.C. 1251 et seq.
Subpart A--General
Sec. 127.1 Purpose and scope.
(a) This part, in conjunction with the NPDES reporting requirements
specified in 40 CFR parts 122, 123, 124, 125, 403, 501, and 503,
specifies the requirements for:
(1) Electronic reporting of information by NPDES permittees;
(2) Facilities or entities seeking coverage under NPDES general
permits;
(3) Facilities or entities submitting stormwater certifications or
waivers from NPDES permit requirements;
(4) Industrial users located in municipalities without approved
local pretreatment programs;
(5) Approved pretreatment programs;
(6) Facilities or entities regulated by the Federal sewage sludge/
biosolids program; and
(7) EPA and the states, tribes, or territories that have received
authorization from EPA to implement the NPDES program. This part, in
conjunction with 40 CFR parts 123, 403, and 501, also specifies the
requirements for electronic reporting of NPDES information to EPA by
the states, tribes, or territories that have received authorization
from EPA to implement the NPDES program.
(b) These regulations are not intended to preclude states, tribes,
or territories authorization from EPA to implement the NPDES program
from developing and using their own NPDES data systems. However, these
states, tribes, and territories must ensure that the required minimum
set of NPDES data (appendix A of this part) is electronically
transferred to EPA in a timely, accurate, complete, and nationally-
consistent manner fully compatible with EPA's national NPDES data
system.
(c) Under 10 U.S.C. 130e, the Secretary of Defense may exempt
Department of Defense ``critical infrastructure security information''
from disclosure under the Freedom of Information Act (FOIA). NPDES
program data designated as critical infrastructure security information
in response to a FOIA request will be withheld from the public. In the
instance where an NPDES program data element for a particular facility
is designated as critical infrastructure security information in
response to a FOIA request, a separate filtered set of data without the
redacted information will be shared with the public; however, all NPDES
program data will continue to be provided to EPA and the authorized
state, tribe, or territory NPDES program.
(d) Proper collection, management, and sharing of the data and
information listed in appendix A ensures that there is timely,
complete, accurate, and nationally-consistent set of data about the
NPDES program.
Sec. 127.2 Definitions.
(a) The definitions in 40 CFR parts 122, 123, 124, 125, 403, 501
and 503 apply to all subparts of this part.
(b) Initial recipient of electronic NPDES information from NPDES-
regulated facilities (initial recipient) means the entity (EPA or the
state, tribe, or territory authorized by EPA to implement the NPDES
program) that is the designated entity for receiving electronic NPDES
data. Section 127.27 outlines the process for designating the initial
recipient of electronic NPDES information from NPDES-regulated
facilities. EPA must become the initial recipient of electronic NPDES
information from NPDES-regulated facilities if the state, tribe, or
territory does not collect the data required in appendix A to this part
and does not consistently maintain timely, accurate, complete, and
consistent data transfers in compliance with this part and 40 CFR part
3. Timely means that the authorized state, tribe, or territory submits
these data transfers (see the data elements in appendix A to this part)
to EPA within 40 days of when the authorized program completed the
activity or received a report submitted by a regulated entity. For
example, the data regarding a state inspection of an NPDES-regulated
entity that is finalized by the state on October 5th must be
electronically transferred to EPA no
[[Page 64103]]
later than November 14th of that same year (e.g., 40 days after October
5th).
(c) NPDES data group means the group of related data elements
identified in Table 1 in appendix A to this part. These NPDES data
groups have similar regulatory reporting requirements and have similar
data sources.
(d) NPDES program means the National Pollutant Discharge
Elimination System (Clean Water Act section 402); the Federal Sewage
Sludge (Biosolids) Program (Clean Water Act section 405); and the
Federal Pretreatment Program (Clean Water Act section 307(b); 40 CFR
part 403). EPA can implement the NPDES program or authorize states,
tribes, and territories to implement the NPDES program (``authorized
NPDES program''). Identifying the relevant authority must be done for
each NPDES subprogram (e.g., NPDES core program, federal facilities,
general permits, pretreatment, and sewage sludge/biosolids).
(e) Minimum set of NPDES data means the data and information listed
in appendix A to this part.
(f) Program reports means the information reported by NPDES-
regulated entities and listed in Table 1 of appendix A to this part
(except NPDES Data Groups 1, 2, and 3).
(g) Hybrid approach is a method that the initial recipient [as
defined in paragraph (b) of this section] may elect to use for
construction stormwater general permit reports [Notices of Intent to
discharge (NOIs); Notices of Termination (NOTs); No Exposure
Certifications (NOEs); Low Erosivity Waivers (LEWs)] [40 CFR
122.26(b)(15), 122.28 and 122.64] in order to demonstrate compliance
with this part. This alternative compliance method allows the initial
recipient (the authorized state, tribe, territory or EPA) to use a non-
CROMERR electronic submission along with a uniquely matched paper
submission, to reflect conditions at construction sites. Specifically,
this approach allows the initial recipient to use data capture
technologies to collect construction stormwater general permit reports.
For example, under this approach the initial recipient may allow
construction operators to complete an electronic construction
stormwater general permit report, which simultaneously produces a paper
copy of the report and electronically transmits a copy of the data from
the report to the authorized NPDES program. Under this approach the
construction operator must sign and date the paper copy of the
construction stormwater general permit report with a ``wet-ink''
signature and this paper document will be the copy of record. Under
this approach the initial recipient must have the ability to
definitively and uniquely link the signed and dated paper document with
the electronic submission from the facility or entity (e.g., use of a
unique code or mark on the signed and dated paper document that is also
embedded in the electronic submission). Under this approach the initial
recipient may also use automated data capture technologies (e.g.,
Optical Character Recognition), which allow construction operators to
submit their general permit reports to the initial recipient on paper
with a ``wet-ink'' signature and date in a structured format that
allows for easy data importation into the initial recipient's NPDES
data system.
(h) NPDES-regulated entity means any entity regulated by the NPDES
program.
Subpart B--Electronic Reporting of NPDES Information From NPDES-
Regulated Facilities
Sec. 127.11 Types of data to be reported electronically by NPDES
permittees, facilities, and entities subject to this part [see Sec.
127.1(a)].
(a) NPDES-regulated entities must electronically submit the minimum
set of NPDES data for these NPDES reports (if such reporting
requirements are applicable). The following NPDES reports are the
source of the minimum set of NPDES data from NPDES-regulated entities:
(1) Discharge Monitoring Report [40 CFR 122.41(l)(4)];
(2) Sewage Sludge/Biosolids Annual Program Report [40 CFR part
503];
(3) Concentrated Animal Feeding Operation (CAFO) Annual Program
Report [40 CFR 122.42(e)(4)];
(4) Municipal Separate Storm Sewer System (MS4) Program Report [40
CFR 122.34(g)(3) and 122.42(c)];
(5) Pretreatment Program Annual Report [40 CFR 403.12(i)];
(6) Sewer Overflow and Bypass Incident Event Report [40 CFR
122.41(l)(6) and (7)]; and
(7) CWA section 316(b) Annual Reports [40 CFR part 125, subpart J].
(b) Facilities or entities seeking coverage under or termination
from NPDES general permits and facilities or entities submitting
stormwater certifications or waivers from NPDES permit requirements
[see Exhibit 1 to 40 CFR 122.26(b)(15) and (g)] must electronically
submit the minimum set of NPDES data for the following notices,
certifications, and waivers (if such reporting requirements are
applicable):
(1) Notice of intent (NOI) to discharge by facilities seeking
coverage under a general NPDES permit (rather than an individual NPDES
permit), as described in 40 CFR 122.28(b)(2);
(2) Notice of termination (NOT), as described in 40 CFR 122.64;
(3) No exposure certification (NOE), as described in 40 CFR
122.26(g)(1)(iii); and
(4) Low erosivity waiver (LEW) and another waiver as described in
Exhibit 1 to 40 CFR 122.26(b)(15).
(c) Industrial users located in municipalities without approved
local pretreatment programs must electronically submit the minimum set
of NPDES data for the following self-monitoring reports (if such
reporting requirements are applicable):
(1) Periodic reports on continued compliance, as described in 40
CFR 403.12(e); and
(2) Reporting requirements for Industrial Users not subject to
categorical Pretreatment Standards, as described in 40 CFR 403.12(h).
(d) The minimum set of NPDES data for NPDES-regulated facilities is
identified in appendix A to this part.
Sec. 127.12 Signature and certification standards for electronic
reporting.
The signatory and certification requirements identified in 40 CFR
part 3 (including, in all cases, subpart D to part 3), Sec. 122.22,
and 40 CFR 403.12(l) must also apply to electronic submissions of NPDES
information (see Sec. 127.11) by NPDES permittees, facilities, and
entities subject to this part [see Sec. 127.1(a)].
Sec. 127.13 Requirements regarding quality assurance and quality
control.
(a) Responsibility for the quality of the information provided
electronically in compliance with this part by the NPDES permittees,
facilities, and entities subject to this part [see Sec. 127.1(a)]
rests with the owners and operators of those facilities or entities.
NPDES permittees, facilities, and entities subject to this part must
use quality assurance and quality control procedures to ensure the
quality of the NPDES information submitted in compliance with this
part.
(b) NPDES permittees, facilities, and entities subject to this part
must electronically submit their NPDES information in compliance with
the data quality requirements specified in Sec. 127.14. NPDES
permittees, facilities, and entities subject to this part must
electronically submit their NPDES information unless a waiver is
granted in compliance with this part (see Sec. Sec. 127.15 and
127.24).
[[Page 64104]]
Sec. 127.14 Requirements regarding timeliness, accuracy,
completeness, and national consistency.
NPDES permittees, facilities, and entities subject to this part
[see Sec. 127.1(a)] must comply with all requirements in this part and
electronically submit the minimum set of NPDES data in the following
nationally-consistent manner:
(a) Timely. Electronic submissions of the minimum set of NPDES data
to the appropriate initial recipient, as defined in Sec. 127.2(b),
must be timely.
(1) Measurement data (including information from discharge
monitoring reports, self-monitoring data from industrial users located
outside of approved local pretreatment programs, and similar self-
monitoring data). The electronic submission of these data is due when
that monitoring information is required to be reported in compliance
with statutes, regulations, the NPDES permit, another control
mechanism, or an enforcement order.
(2) Program report data. The electronic submission of this data is
due when that program report data is required to be reported in
compliance with statutes, regulations, the NPDES permit, another
control mechanism, or an enforcement order.
(b) Accurate. Electronic submissions of the minimum set of NPDES
data must be identical to the actual measurements taken by the owner,
operator, or their duly authorized representative;
(c) Complete. Electronic submission of the minimum set of NPDES
data must include all required data (see appendix A to this part) and
these electronic submissions must be sent to the NPDES data system of
the initial recipient, as defined in Sec. 127.2(b); and
(d) Consistent. Electronic submissions of the minimum set of NPDES
data must be compliant with EPA data standards as set forth in this
part and in a form (including measurement units) and be fully
compatible with EPA's national NPDES data system.
Sec. 127.15 Waivers from electronic reporting.
(a) NPDES permittees, facilities, and entities subject to this part
[see Sec. 127.1(a)] must electronically submit the minimum set of
NPDES data in compliance with this part, 40 CFR part 3 (including, in
all cases, subpart D to part 3), 40 CFR 122.22, and 40 CFR 403.12(l)
unless a waiver is granted in compliance with this section and Sec.
127.24.
(b) Temporary waivers from electronic reporting may be granted by
the authorized NPDES program (EPA, or states, territories, and tribes
that have received authorization to implement the NPDES program), in
compliance with this section and Sec. 127.24, to NPDES permittees,
facilities, and entities subject to this part [see Sec. 127.1(a)].
(1) Each temporary waiver must not extend beyond five years.
However, NPDES-regulated entities may re-apply for a temporary waiver.
It is the duty of the owner, operator, or duly authorized
representative of the NPDES permittee, facility, and entity subject to
this part [see Sec. Sec. 122.22 of this chapter and 127.1(a)] to re-
apply for a new temporary waiver. Authorized NPDES programs cannot
grant a temporary waiver to an NPDES-regulated entity without first
receiving a temporary waiver request from the NPDES-regulated entity.
(2) To apply for a temporary waiver, the owner, operator, or duly
authorized representative of the NPDES permittee, facility, and entity
subject to this part [see Sec. Sec. 122.22 of this chapter and
127.1(a)] must submit the following information to their authorized
NPDES program:
(i) Facility name;
(ii) NPDES permit number (if applicable);
(iii) Facility address;
(iv) Name, address and contact information for the owner, operator,
or duly authorized facility representative;
(v) Brief written statement regarding the basis for claiming such a
temporary waiver; and
(vi) Any other information required by the authorized NPDES
program.
(3) The authorized NPDES program will determine whether to grant a
temporary waiver. The authorized NPDES program must provide notice to
the owner, operator, or duly authorized facility representative
submitting a temporary waiver request, in compliance with the
requirements of Sec. 127.24.
(4) NPDES permittees, facilities, and entities subject to this part
[see Sec. 127.1(a)] that have received a temporary waiver must
continue to provide the minimum set of NPDES data (as well as other
required information in compliance with statutes, regulations, the
NPDES permit, another control mechanism, or an enforcement order) in
hard-copy format to the authorized NPDES program. The authorized NPDES
program must electronically transfer these data to EPA in accordance
with subpart C of this part.
(5) An approved temporary waiver is not transferrable.
(c) Permanent waivers from electronic reporting may be granted by
the authorized NPDES program (EPA, or states, territories, and tribes
that have received authorization to implement the NPDES program), in
compliance accordance with this section and Sec. 127.24, to NPDES
permittees, facilities, and entities subject to this part [see Sec.
127.1(a)].
(1) Permanent waivers are only available to facilities and entities
owned or operated by members of religious communities that choose not
to use certain modern technologies (e.g., computers, electricity).
Authorized NPDES programs cannot grant a permanent waiver to an NPDES-
regulated entity without first receiving a permanent waiver request
from the NPDES-regulated entity.
(2) To apply for a permanent waiver, the owner, operator, or duly
authorized representative of the NPDES permittee, facility, and entity
subject to this part [see Sec. Sec. 122.22 of this chapter and
127.1(a)] must submit the information listed in Sec. 127.15(b)(2) to
their authorized NPDES program.
(3) An approved permanent waiver is not transferrable.
(4) NPDES permittees, facilities, and entities subject to this part
[see Sec. 127.1(a)] that have received a permanent waiver must
continue to provide the minimum set of NPDES data (as well as other
required information in compliance with statutes, regulations, the
NPDES permit, another control mechanism, or an enforcement order) in
hard-copy format to the authorized NPDES program. The authorized NPDES
program must electronically transfer these data to EPA in accordance
with subpart C of this part.
(d) Episodic waivers from electronic reporting may be granted by
the authorized NPDES program (EPA, or states, territories, and tribes
that have received authorization to implement the NPDES program) or the
initial recipient, as defined in Sec. 127.2(b), in compliance
accordance with this section and Sec. 127.24, to NPDES permittees,
facilities, and entities subject to this part [see Sec. 127.1(a)]. The
following conditions apply to episodic waivers.
(1) No waiver request from the NPDES permittee, facility or entity
is required to obtain an episodic waiver from electronic reporting.
(2) Episodic waivers are not transferrable.
(3) Episodic waivers cannot last more than 60 days.
(4) The authorized NPDES program or initial recipient will decide
if the episodic waiver provision allows facilities and entities to
delay their electronic submissions or to send hardcopy (paper)
submissions. Episodic waivers are only available to facilities
[[Page 64105]]
and entities in the following circumstances:
(i) Large scale emergencies involving catastrophic circumstances
beyond the control of the facilities, such as forces of nature (e.g.,
hurricanes, floods, fires, earthquakes) or other national disasters.
The authorized NPDES program will make the determination if an episodic
waiver is warranted in this case and must receive the hardcopy (paper)
submissions.
(ii) Prolonged electronic reporting system outages (i.e., outages
longer than 96 hours). The initial recipient, which may also be the
authorized NPDES program, will make the determination if an episodic
waiver is warranted in this case and must receive the hardcopy (paper)
submissions.
Sec. 127.16 Implementation of electronic reporting requirements for
NPDES permittees, facilities, and entities subject to this part [see
Sec. 127.1(a)].
(a) Scope and schedule. NPDES permittees, facilities, and entities
subject to this part [see Sec. 127.1(a)], with the exception of those
covered by waivers under Sec. Sec. 127.15 and 127.24, must
electronically submit the following NPDES information (reports,
notices, waivers, and certifications) after the start dates listed in
Table 1 of this section. This part is not intended to undo existing
requirements for electronic reporting. Prior to this date, and
independent of this part, the permittee may be required to report
electronically if specified by a particular permit or if required to do
so by state law.
Table 1--Start Dates for Electronic Submissions of NPDES Information
------------------------------------------------------------------------
Start dates for electronic
NPDES information submissions
------------------------------------------------------------------------
General Permit Reports [Notices of Intent December 21, 2020.
to discharge (NOIs); Notices of
Termination (NOTs); No Exposure
Certifications (NOEs); Low Erosivity
Waivers (LEWs) and other Waivers] [40 CFR
122.26(b)(15), 122.28 and 122.64].
Discharge Monitoring Reports [40 CFR December 21, 2016.
122.41(l)(4)].
Biosolids Annual Program Reports [40 CFR December 21, 2016 (when the
part 503]. Regional Administrator is
the Director).\1\
December 21, 2020 (when the
state, tribe or territory
is the authorized NPDES
program).\1\
Concentrated Animal Feeding Operation December 21, 2020.
(CAFO) Annual Program Reports [40 CFR
122.42(e)(4)].
Municipal Separate Storm Sewer System December 21, 2020.
(MS4) Program Reports [40 CFR
122.34(g)(3) and 122.42(c)].
POTW Pretreatment Program Annual Reports December 21, 2020.
[40 CFR 403.12(i)].
Significant Industrial User Compliance December 21, 2020.
Reports in Municipalities Without
Approved Pretreatment Programs [40 CFR
403.12(e) and (h)].
Sewer Overflow Event Reports [40 CFR December 21, 2020.
122.41(l)(6) and (7)].
CWA 316(b) Annual Reports [40 CFR part December 21, 2020.
125, subparts I, J, and N].
------------------------------------------------------------------------
\1\Note: Director is defined in 40 CFR 122.2.
(b) Electronic reporting standards. NPDES permittees, facilities,
and entities subject to this part [see Sec. 127.1(a)] must
electronically submit the information listed in Table 1 in Sec.
127.16(a) in compliance with this part and 40 CFR part 3 (including, in
all cases, subpart D to part 3), 40 CFR 122.22, and 40 CFR 403.12(l).
(c) Initial recipient. NPDES permittees, facilities, and entities
subject to this part [see Sec. 127.1(a)] must electronically submit
the information listed in Table 1 in Sec. 127.16(a) to the Director,
Control Authority, Approval Authority, or initial recipient [as
identified in Sec. 127.27, and as defined in Sec. 127.2(b)]. EPA must
identify and publish the initial recipient on an EPA Web site and in
the Federal Register, by state and by NPDES data group [see Sec.
127.2(c)].
(d) Standards for NPDES regulated entities with electronic
reporting waivers. NPDES permittees, facilities, and entities subject
to this part [see Sec. 127.1(a)] that have received a waiver from
electronic reporting must continue to provide the minimum set of NPDES
data (as well as other required information in compliance with
statutes, regulations, the NPDES permit, another control mechanism, or
an enforcement order) to the authorized NPDES program or initial
recipient (see Sec. 127.15).
Subpart C--Responsibilities of EPA and States, Tribes, and
Territories Authorized to Implement the NPDES Program
Sec. 127.21 Data to be reported electronically to EPA by states,
tribes, and territories.
(a) States, tribes, and territories that have received
authorization from EPA to implement the NPDES program must
electronically transfer to EPA all information listed in appendix A to
this part. This information includes:
(1) The ``Core NPDES Permitting, Compliance, And Enforcement Data
[40 CFR parts 122, 123, 403, 503]'' as identified as NPDES Data Group 1
in Tables 1 and 2 in appendix A to this part.
(2) NPDES information (NPDES Data Groups 2 through 10 in Tables 1
and 2 in appendix A to this part) from NPDES permittees, facilities,
and entities subject to this part [see Sec. 127.1(a)] where the
authorized state, tribe, or territory is the initial recipient [as
identified in Sec. 127.27, and as defined in Sec. 127.2(b)]. This
includes NPDES information from NPDES permittees, facilities, and
entities subject to this part that received a waiver from electronic
reporting (see Sec. 127.15).
(3) Specific data elements that are required to be submitted
electronically to EPA by the states, tribes, or territories that have
received authorization from EPA to implement the NPDES program are
identified in appendix A to this part.
(b) States, tribes, and territories that have received
authorization from EPA to implement the NPDES program must
electronically transfer these data, listed in Sec. 127.21(a), to EPA
within 40 days of the completed activity or within 40 days of the
receipt of a report from an NPDES permittee, facility, or entity
subject to this part [see Sec. 127.1(a)].
Sec. 127.22 Requirements regarding quality assurance and quality
control.
States, tribes, and territories that have received authorization
from EPA to implement the NPDES program have the responsibility for the
information that they electronically transfer to EPA. Therefore,
authorized states, tribes, and territories that electronically transfer
[[Page 64106]]
data to EPA must use reasonable quality assurance and quality control
procedures to ensure the quality of the NPDES information.
Sec. 127.23 Requirements regarding timeliness, accuracy,
completeness, and national consistency.
(a) Authorized state, tribe, and territory NPDES programs must
electronically transfer all NPDES program data that supports electronic
reporting (e.g., facility information and permit information such as
limits, permitted features, and narrative conditions) to EPA three
months prior to the electronic reporting start dates in Table 1 in
Sec. 127.16(a) and maintain updates thereafter. These electronic data
transfers must be timely, accurate, complete, and consistent.
(b) According to the schedule set forth in Sec. 127.16, the
authorized NPDES program must electronically transfer to EPA the
minimum set of NPDES data (as specified in appendix A to this part).
These electronic data transfers to EPA must be timely, accurate,
complete, and consistent.
(c) For the purposes of this part timely, accurate, complete, and
consistent mean:
(1) Timely, in that the authorized state, tribe, or territory NPDES
program electronically transfers the minimum set of NPDES data to EPA
within 40 days of the completed activity or within 40 days of receipt
of a report from an NPDES permittee, facility, or entity subject to
this part [see Sec. 127.1(a)]. For example, the data regarding a state
inspection of an NPDES-regulated entity that is finalized by the state
on October 5th must be electronically transferred to EPA no later than
November 14th of that same year (e.g., 40 days after October 5th). The
start dates for electronic reporting from NPDES permittees, facilities,
and entities subject to this part [see Sec. 127.1(a)] are provided in
Table 1 in Sec. 127.16(a).
(2) Accurate, in that 95% or more of the minimum set of NPDES data
in EPA's national NPDES data system are identical to the actual
information on the copy of record (e.g., permit, notice, waiver,
certification, report, enforcement order, or other source document);
(3) Complete, in that 95% or more of submissions required for each
NPDES data group [see Sec. 127.2(c)] are available in EPA's national
NPDES data system; and
(4) Consistent, in that data electronically submitted by states,
tribes, and territories to EPA, by direct entry of information, data
transfers from one data system to another, or some combination thereof,
into EPA's designated national NPDES data system is in compliance with
EPA's data standards as set forth in this part and in a form and
measurement units which are fully compatible with EPA's national NPDES
data system.
(d) An authorized program must consistently maintain the
requirements identified in paragraph (a) of this section in order to be
the initial recipient, as defined in Sec. 127.2(b). If the authorized
program does not maintain these requirements, EPA must become the
initial recipient (see Sec. 127.27).
Sec. 127.24 Responsibilities regarding review of waiver requests from
NPDES permittees, facilities, and entities subject to this part [see
Sec. 127.1(a)].
(a) Under Sec. 127.15, an NPDES permittee, facility, or entity
subject to this part [see Sec. 127.1(a)] may seek a waiver from
electronic reporting. States, tribes, and territories that have
received authorization from EPA to implement the NPDES program must
review the temporary or permanent waiver requests that they receive and
either approve or reject these requests within 120 days.
(b) The authorized NPDES state, tribe, or territory program must
provide the permittee, facility, or entity with notice of the approval
or rejection of their temporary or permanent waiver request from
electronic reporting.
(c) The authorized NPDES state, tribal, or territory program must
electronically transfer to EPA the minimum set of NPDES data (as
specified in appendix A to this part) that they receive from
permittees, facilities, or entities with a waiver from electronic
reporting in accordance with Sec. 127.23.
(d) Under Sec. 127.15(d), episodic waivers from electronic
reporting may be granted by the authorized NPDES program or the initial
recipient to NPDES permittees, facilities, and entities. The authorized
NPDES program or initial recipient granting an episodic waiver must
provide notice, individually or through means of mass communication,
regarding when such an episodic waiver is available, the facilities and
entities that may use the episodic waiver, the likely duration of the
episodic waiver, and any other directions regarding how facilities and
entities should provide the minimum set of NPDES data (as well as other
required information in compliance with statutes, regulations, the
NPDES permit, another control mechanism, or an enforcement order) to
the authorized NPDES program or the initial recipient. No waiver
request from the NPDES permittee, facility or entity is required to
obtain an episodic waiver from electronic reporting. The authorized
NPDES program or initial recipient granting the episodic waiver will
determine whether to allow facilities and entities to delay their
electronic submissions for a short time (i.e., no more than 40 days) or
to send hardcopy (paper) submissions.
Sec. 127.25 Time for states, tribes, and territories to revise
existing programs.
A state, tribe, or territory that has received authorization from
EPA to implement the NPDES program must make program revisions in
compliance with 40 CFR 123.62(e).
Sec. 127.26 Implementation plan (authorized states, tribes, and
territories).
(a) Initial recipient designation procedure. EPA and authorized
state, tribe, and territory NPDES programs must follow the procedure in
Sec. 127.27 for determining the initial recipient of electronic NPDES
information from NPDES-regulated facilities (see Sec. 127.2(b)).
(b) NPDES data system requirements. Authorized state, tribe, and
territory NPDES programs must update their electronic data system to
electronically collect the minimum set of NPDES data and facilitate
compliance with this part (including Sec. Sec. 127.22 and 127.23) and
40 CFR part 3. The authorized NPDES program's electronic data system
must facilitate electronic reporting from NPDES permittees, facilities,
and entities subject to this part [see Sec. 127.1(a)] in compliance
with the start dates in Table 1 in Sec. 127.16(a). Authorized NPDES
programs may elect to use EPA's national NPDES data system (and related
Internet services and applications) for their electronic data system.
(c) Preparatory actions for electronic reporting. Authorized state,
tribe, and territory NPDES programs must electronically transfer all
NPDES data that supports electronic reporting (e.g., permitting,
compliance monitoring, compliance determinations, and enforcement
activities) to EPA's national NPDES data system three months prior to
the electronic reporting start dates in Table 1 in Sec. 127.16(a) and
maintain updates thereafter. These electronic data transfers must be
timely, accurate, complete, and consistent (see Sec. 127.23).
(d) Transfer of NPDES program data to EPA. A state, tribe, or
territory that is designated by EPA as the initial recipient [see
Sec. Sec. 127.2(b) and 127.27] for an NPDES data group [as defined in
Sec. 127.2(c)] must electronically collect and maintain the minimum
set of
[[Page 64107]]
NPDES data (as specified in appendix A to this part) and electronically
transfer these data to EPA's national NPDES data system through timely,
accurate, complete, and consistent electronic data transfers in
compliance with this part (including Sec. Sec. 127.22 and 127.23) and
40 CFR part 3.
(e) Updating state statutes and regulations. Authorized state,
tribe, or territory NPDES programs must update their NPDES programs to
implement this part. See 40 CFR 123.62(e).
(f) Inclusion of electronic reporting requirements in NPDES
permits. All permits issued by the EPA and the authorized states,
tribes, or territory NPDES program must contain permit conditions
requiring compliance with the electronic reporting requirements in this
part, 40 CFR part 3, and 40 CFR 122.22. NPDES-regulated facilities
which already have electronic reporting requirements in their permits
that meet the requirements in this part, 40 CFR part 3, and 40 CFR
122.22 must continue their electronic reporting to the initial
recipient [see Sec. Sec. 127.2(b) and 127.27].
(g) Hybrid approach. Authorized state, tribe, or territory NPDES
programs may elect to use the Hybrid Approach [as defined in Sec.
127.2(g)] for the collection of the minimum set of NPDES data contained
in construction stormwater general permit reports [see Table 1 in Sec.
127.16(a)].
(h) Authorized NPDES program implementation plans. A state, tribe,
or territory that is designated by EPA as the initial recipient [see
Sec. Sec. 127.2(b) and 127.27] for an NPDES data group [as defined in
Sec. 127.2(c)] must submit an implementation plan to EPA for review.
EPA will inform the authorized NPDES program if the implementation plan
is adequate. This plan must provide enough details (e.g., tasks,
milestones, roles and responsibilities, necessary resources) to clearly
describe how the program will successfully implement this part
(including a description of their electronic reporting waiver approval
process); however, this plan does not include electronic reporting of
Discharge Monitoring Reports or Forms Provided or Specified by the
Director (DMRs) [40 CFR 122.41(l)(4)]. These implementation plans must
be submitted to EPA by December 21, 2016 for EPA review.
(i) Updating waiver approval process. A state, tribe, or territory
that is designated by EPA as the initial recipient [see Sec. Sec.
127.2(b) and 127.27] for an NPDES data group [as defined in Sec.
127.2(c)] must submit an updated waiver approval process to EPA every
five years. EPA will inform the authorized NPDES program if the waiver
approval process adequate.
(j) Electronic participation rates assessment. EPA will assess the
electronic reporting participation rate of NPDES permittees,
facilities, and entities subject to this part [see Sec. 127.1(a)] for
each authorized NPDES program and by each NPDES data group to determine
the appropriateness of using use its authority to increase the
electronic reporting percentage rate.
(1) EPA will separately calculate the electronic reporting
participation rate for each authorized NPDES program and for each NPDES
data group six months after the deadline for conversion from paper to
electronic submissions [see the start dates for electronic reporting in
Table 1 in Sec. 127.16(a)]. EPA will assess the electronic reporting
participation rate for individually permitted facilities separate from
the electronic reporting participation rate for general permit covered
facilities for Discharge Monitoring Reports [NPDES Data Group Number
3].
(2) As appropriate, EPA will contact the facilities and entities
that are not electronically reporting their reports, notices, waivers,
and certifications after the start dates for electronic reporting [see
Table 1 in Sec. 127.16(a)]. EPA will not contact facilities and
entities with waivers from electronic reporting (see Sec. 127.15). EPA
will direct these facilities and entities to use the electronic
reporting system of the initial recipient [as identified in Sec.
127.27, and as defined in Sec. 127.2(b)].
(3) EPA will annually repeat its review of the electronic reporting
participation rate for each authorized NPDES program and for each NPDES
group as appropriate and contact facilities and entities as appropriate
to use the electronic reporting system of the initial recipient [as
identified in Sec. 127.27, and as defined in Sec. 127.2(b)].
Sec. 127.27 Procedure for determining initial recipient of electronic
NPDES information.
(a) An authorized NPDES program must notify EPA by April 19, 2016
if it wishes EPA to be the initial recipient for a particular NPDES
data group.
(b) A state, tribe, or territory that seeks authorization to
implement an NPDES program after March 21, 2016 must describe if it is
requesting to be the initial recipient of electronic NPDES information
from NPDES-regulated facilities for specific NPDES data groups. See 40
CFR 123.22(g) and appendix A to this part.
(c) By July 18, 2016, EPA must publish on its Web site and in the
Federal Register a listing of the initial recipients for electronic
NPDES information from NPDES-regulated facilities by state, tribe, and
territory and by NPDES data group. This listing must identify for
NPDES-regulated facilities the initial recipient of their NPDES
electronic data submissions and the due date for these NPDES electronic
data submissions. EPA must update this listing on its Web site and in
the Federal Register if a state, tribe, or territory gains
authorization status to implement an NPDES program and is also approved
by EPA to be the initial recipient of NPDES electronic data submissions
for that program.
(d) Failure to maintain all the requirements in this part and 40
CFR part 3 must prohibit the state, territory, or tribe from being the
initial recipient of electronic NPDES information from NPDES-regulated
entities. The following is the process for these determinations:
(1) EPA must make a preliminary determination identifying if an
authorized state, tribe, or territory is not complying with the
requirements in this part and 40 CFR part 3 to be an initial recipient
of electronic NPDES information from NPDES-regulated facilities. EPA
must provide to the Director of the authorized NPDES program the
rationale for any such preliminary determination and options for
correcting these deficiencies. Within 60 days of EPA's preliminary
determination, the authorized state, tribe, or territory must fully
correct all deficiencies identified by EPA and notify EPA that such
corrections have been completed. No response from the Director of the
authorized NPDES program must indicate that the state, territory, or
tribe agrees to be removed as the initial recipient for that NPDES data
group of electronic NPDES information. Within 90 days of the EPA's
preliminary determination, EPA must provide to the Director of the
authorized NPDES program a final determination whether the state,
tribe, or territory is not complying with the requirements in this part
and 40 CFR part 3 to be an initial recipient of electronic NPDES
information from NPDES-regulated facilities.
(2) EPA must become the initial recipient of electronic NPDES
information from NPDES-regulated facilities if the state, tribe, or
territory does not consistently maintain electronic data transfers in
compliance with this part and 40 CFR part 3.
(3) EPA must update the initial recipient listing described in
paragraph (c) of this section and publish this listing on its Web site
and in the Federal Register when it provides a final determination
described in paragraph (d)(1) of this section to the
[[Page 64108]]
Director of the authorized NPDES program.
(4) Following any determination of noncompliance made in compliance
with paragraph (d)(1) of this section, EPA will work with the Director
of the authorized NPDES program to remediate all issues identified by
EPA that prevent the authorized NPDES program from being the initial
recipient. When the issues identified by EPA are satisfactorily
resolved, EPA must update the initial recipient listing in paragraph
(c) of this section in order to list the authorized state, tribe, or
territory as the initial recipient for the one or more NPDES data
groups. EPA will publish this revised initial recipient listing on its
Web site and in the Federal Register.
(e) An authorized NPDES program can initially elect for EPA to be
the initial recipient for one or all of the NPDES data groups and then
at a later date seek EPA approval to change the initial recipient
status for one or all of the NPDES data groups from EPA to the
authorized state, tribe, or territory. To make this switch, the
authorized state, tribe, or territory will send a request to EPA. This
request must identify the specific NPDES data groups for which the
state, tribe, or territory would like to be the initial recipient of
electronic NPDES information, a description of how its data system will
be compliant with this part and 40 CFR part 3, and the date or dates
when the state, tribe, or territory will be ready to start receiving
this information. After EPA approval of the request, EPA will update
the initial recipient list and will publish the revised initial
recipient listing on its Web site and in the Federal Register.
(f) An authorized NPDES program can initially elect to be the
initial recipient for one or all of the NPDES data groups and then at a
later date request that EPA become the initial recipient for one or all
of the NPDES data groups. To make this switch, the authorized state,
tribe, or territory will send a request to EPA. After coordination with
the state EPA will update the initial recipient list and will publish
the revised initial recipient listing on its Web site and in the
Federal Register.
Appendix A to Part 127--Minimum Set of NPDES Data
The following two tables identify the minimum set of NPDES data
that authorized states, tribes, territories must enter or transfer
to EPA's national NPDES data system as well as what NPDES-regulated
entities must electronically report to the designated initial
recipient (authorized NPDES program or EPA) [see 40 CFR 127.2(b)].
Authorized NPDES programs will be the data provider in the event the
regulated entity is covered by a waiver from electronic reporting.
Use of these two tables ensures that there is consistent and
complete reporting nationwide, and expeditious collection and
processing of the data, thereby making it more accurate and timely.
Taken together, these data standardizations and the corresponding
electronic reporting requirements in 40 CFR parts 3, 122, 123, 124,
125, 127, 403, and 503 are designed to save the NPDES authorized
programs considerable resources, make reporting easier for NPDES-
regulated entities, streamline permit renewals (as permit writers
typically review previous noncompliance events during permit
renewal), ensure full exchange of NPDES program data between states
and EPA to the public, improve environmental decision-making, and
protect human health and the environment.
Authorized NPDES programs may also require NPDES regulated
entities to submit more data than what is listed in this appendix.
The authorized NPDES program can require NPDES regulated entities to
submit these ``non-appendix A'' data on paper, electronically, or
attachments to electronic notices and reports filed in compliance
with this part.
Instructions: Table 1 of this appendix provides the list of data
sources and minimum submission frequencies for the ten different
NPDES Data Groups. Table 2 of this appendix provides the data that
must be electronically reported for each of these NPDES Data Groups.
The use of each data element is determined by identifying the
number(s) in the column labeled ``NPDES Data Group Number'' in Table
2 and finding the corresponding ``NPDES Data Group Number'' in Table
1. For example, a value of ``1'' in Table 2 means that this data
element is required in the electronic transmission of data from the
NPDES program to EPA (Core NPDES Permitting, Compliance, and
Enforcement Data). Likewise, a value of ``1 through 10'' in Table 2
means that this data element is required in all ten NPDES data
groups. NPDES regulated entities that have no historical record
(e.g., ``greenfield'' facilities) do not need to provide data
elements that rely on historical data elements. For the purposes of
this appendix, the term `sewage sludge' [see 40 CFR 503.9(w)] also
refers to the material that is commonly referred to as `biosolids.'
EPA does not have a regulatory definition for biosolids but this
material is commonly referred to as sewage sludge that is placed on,
or applied to the land to use the beneficial properties of the
material as a soil amendment, conditioner, or fertilizer. EPA's use
of the term `biosolids' in this appendix is to confirm that
information about beneficially used sewage sludge (a.k.a. biosolids)
is part of the data collected in this appendix.
Table 1--Data Sources and Regulatory Citations \1\
----------------------------------------------------------------------------------------------------------------
NPDES Data
group No.\2\ NPDES data group Program area Data provider Minimum frequency \3\
----------------------------------------------------------------------------------------------------------------
1.............. Core NPDES Permitting, All NPDES Program Authorized NPDES Within 40 days of the
Compliance, and Sectors. Program. completed activity
Enforcement Data [40 or within 40 days of
CFR parts 122, 123, receipt of a report
403, 503]. from a regulated
entity [see Sec.
127.23(a)(1)].
However, the frequency
associated with any
particular permittee
may be considerably
less [e.g., once every
five years for most
permit information].
2.............. General Permit Reports All NPDES Program NPDES Permittee........ Prior to obtaining
[Notices of Intent to Sectors. coverage under a
discharge (NOIs); general permit or
Notices of Termination consideration for
(NOTs); No Exposure permit exclusion or
Certifications (NOEs); waiver from
Low Erosivity Waivers permitting, and permit
and Other Waivers from coverage termination.
Stormwater Controls General permits are
(LEWs)] [40 CFR generally issued once
122.26(b)(15), 122.28 every five years.
and 124.5].
[[Page 64109]]
3.............. Discharge Monitoring Most NPDES Program NPDES Permittee........ At least annual, more
Reports [40 CFR Sectors. frequent submissions
122.41(l)(4)]. may be required by the
permit.
4.............. Sewage Sludge/Biosolids Sewage Sludge/ NPDES Regulated Sewage Annual.
Annual Program Reports Biosolids. Sludge/Biosolids
[40 CFR part 503]. Generator and Handler.
5.............. Concentrated Animal CAFO............... CAFO................... Annual.
Feeding Operation
(CAFO) Annual Program
Reports [40 CFR
122.42(e)(4)].
6.............. Municipal Separate Storm MS4................ NPDES Permittee........ Year two and year four
Sewer System (MS4) of permit coverage
Program Reports [40 CFR (Small MS4), Annual
122.34(g)(3) and (Medium and Large
122.42(c)]. MS4).
7.............. Pretreatment Program Pretreatment....... POTW Pretreatment Annual.
Reports [40 CFR Control Authority,
403.12(i)]. Approval Authority for
SIUs in Municipalities
Without Approved
Pretreatment Programs.
8.............. Significant Industrial Pretreatment....... Significant Industrial Bi-Annual.
User Compliance Reports User.
in Municipalities
Without Approved
Pretreatment Programs
[40 CFR 403.12(e) and
(h)].
9.............. Sewer Overflow Event Sewer Overflows.... NPDES Permittee........ Within 5 days of the
Reports [40 CFR time the permittee
122.41(l)(6) and (7)]. becomes aware of the
sewer overflow event
(health or environment
endangerment),
Monitoring report
frequency specific in
permit (all other
sewer overflow
events).
10............. CWA section 316(b) CWA section 316(b). NPDES Permittee........ Annual.
Annual Reports [40 CFR
part 125, subpart J].
----------------------------------------------------------------------------------------------------------------
\1\ Entities regulated by a NPDES permit will comply with all reporting requirements in their respective NPDES
permit.
\2\ Use the ``NPDES Data Group Number'' in this table and the ``NPDES Data Group Number'' column in Table 2 of
this appendix to identify the source of the required data entry. EPA notes that electronic systems may use
additional data to facilitate electronic reporting as well as management and reporting of electronic data. For
example, NPDES permittees may be required to enter their NPDES permit number (``NPDES ID''--NPDES Data Group 1
and 2) into the applicable electronic reporting system in order to identify their permit and submit a
Discharge Monitoring Report (DMR--NPDES Data Group 3). Additionally, NPDES regulated entities may be required
to enter and submit data to update or correct erroneous data. For example, NPDES permittees may be required to
enter new data regarding the Facility Individual First Name and Last Name (NPDES Data Group 1 and 2) with
their DMR submission when there is a facility personnel change.
\3\ The applicable reporting frequency is specified in the NPDES permit or control mechanism, which may be more
frequent than the minimum frequency specified in this table.
Table 2--Required NPDES Program Data
----------------------------------------------------------------------------------------------------------------
CWA, regulatory (40
Data name Data description CFR), or other NPDES data group No.
citation (see Table 1)
----------------------------------------------------------------------------------------------------------------
Basic Facility Information
[Note: As indicated in the ``CWA, Regulatory, or Other Citation'' column, some of these data elements apply to
Significant Industrial Users (SIUs) and Categorical Industrial Users (CIUs) that discharge (including non-
domestic wastewater delivered by truck, rail, and dedicated pipe or other means of transportation) to one or
more POTWs and to regulated entities or locations that generate, process, or receive biosolids or sewage
sludge.]
----------------------------------------------------------------------------------------------------------------
Facility Type of Ownership....... The unique code/description 122.21, 1, 2, 4, and 7.
identifying the type of 122.21(j)(6),
facility (e.g., state 122.21(q),
government, municipal or 122.28(b)(2)(ii),
water district, Federal 403.8(f), 403.10,
facility, tribal facility). 403.12(i), 503.18,
This data element is used by 503.28, 503.48.
EPA's national NPDES data
system to identify the
facility type (e.g., POTW,
Non-POTW, and Federal).
Facility Site Name............... The name of the facility..... 122.21, 1, 2, 4, and 7.
122.21(j)(6),
122.21(q),
122.28(b)(2)(ii),
122.44(j),
403.8(f), 403.10,
403.12(i), 503.18,
503.28, 503.48.
[[Page 64110]]
Facility Site Address............ The address of the physical 122.21, 1, 2, 4, and 7.
facility location. 122.21(j)(6),
122.21(q),
122.28(b)(2)(ii),
122.44(j),
403.8(f), 403.10,
403.12(i), 503.18,
503.28, 503.48.
Facility Site City............... The name of the city, town, 122.21, 1, 2, 4, and 7.
village, or other locality, 122.21(j)(6),
when identifiable, within 122.21(q),
which the boundaries (the 122.28(b)(2)(ii),
majority of) the facility 122.44(j),
site is located. This is not 403.8(f), 403.10,
always the same as the city 403.12(i), 503.18,
used for USPS mail delivery. 503.28, 503.48.
Facility Site State.............. The U.S. Postal Service 122.21, 1, 2, 4, and 7.
(USPS) abbreviation for the 122.21(j)(6),
state or state equivalent 122.21(q),
for the U.S. where the 122.28(b)(2)(ii),
facility is located. 122.44(j),
403.8(f), 403.10,
403.12(i), 503.18,
503.28, 503.48.
Facility Site Zip Code........... The combination of the 5- 122.21, 1, 2, 4, and 7.
digit Zone Improvement Plan 122.21(j)(6),
(ZIP) code and the 4-digit 122.21(q),
extension code (if 122.28(b)(2)(ii),
available) where the 122.44(j),
facility is located. This 403.8(f), 403.10,
zip code match the 403.12(i), 503.18,
``Facility Site City'' or 503.28, 503.48.
the city used for USPS mail
delivery.
Facility Site Tribal Land The EPA Tribal Internal 122.21, 122.21(q), 1, 2, and 4.
Indicator. Identifier for every unit of 122.28(b)(2)(ii),
land trust allotment 503.18, 503.28,
(``tribal land'') within 503.48.
Indian Country (i.e.,
Federally recognized
American Indian and Alaska
Native tribal entities).
This unique identifier will
identify whether the
facility is on tribal land
and the current name of the
American Indian tribe or
Alaskan Native entity. This
unique identifier is
different from the Bureau of
Indian Affairs tribal code
and does not change when a
Tribe changes its name.
Facility Site Longitude.......... The measure of the angular 122.21, 122.21(q), 1, 2, and 4.
distance on a meridian east 122.28(b)(2)(ii),
or west of the prime 503.18, 503.28,
meridian for the facility. 503.48.
The format for this data
element is decimal degrees
(e.g., -77.029289) and the
WGS84 standard coordinate
system. This data element
will also be used to
describe the two-dimensional
area (polygon) regulated by
a municipal storm sewer
system (MS4) NPDES permit
through use of multiple
latitude and longitude
coordinates. For MS4 the
polygon data should provide
a reasonable estimate of the
MS4 boundaries. This data
element can also be system
generated when the Facility
Site Address, Facility Site
City, and Facility Site
State data elements can be
used to generate accurate
longitude and latitude
values. (Note: ``Post Office
Box'' addresses and ``Rural
Route'' addresses are
generally not geocodable).
Facility Site Latitude........... The measure of the angular 122.21, 122.21(q), 1, 2, and 4.
distance on a meridian north 122.28(b)(2)(ii),
or south of the equator for 503.18, 503.28,
the facility. The format for 503.48.
this data element is decimal
degrees (e.g., 38.893829)
and the WGS84 standard
coordinate system. This data
element will also be used to
describe the two-dimensional
area (polygon) regulated by
a municipal storm sewer
system (MS4) NPDES permit
through use of multiple
latitude and longitude
coordinates. This data
element can also be system
generated when the Facility
Site Address, Facility Site
City, and Facility Site
State data elements can be
used to generate accurate
longitude and latitude
values. (Note: ``Post Office
Box'' addresses and ``Rural
Route'' addresses are
generally not geocodable).
Facility Contact Affiliation Type The affiliation of the 122.21, 1, 2, 4, and 7.
contact with the facility 122.21(j)(6),
(e.g., ``Owner,'' 122.21(q),
``Operator,'' or ``Main 122.28(b)(2)(ii),
Contact''). This is a unique 403.8(f), 403.10,
code/description that 403.12(i), 503.18,
identifies the nature of the 503.28, 503.48.
individual's affiliation to
the facility.
[[Page 64111]]
Facility Contact First Name...... The given name of an 122.21, 1, 2, 4, and 7.
individual affiliated with 122.21(j)(6),
this facility. 122.21(q),
122.28(b)(2)(ii),
403.8(f), 403.10,
403.12(i), 503.18,
503.28, 503.48.
Facility Contact Last Name....... The surname of an individual 122.21, 1, 2, 4, and 7.
affiliated with this 122.21(j)(6),
facility. 122.21(q),
122.28(b)(2)(ii),
403.8(f), 403.10,
403.12(i), 503.18,
503.28, 503.48.
Facility Contact Title........... The title held by an 122.21, 1, 2, 4, and 7.
individual in an 122.21(j)(6),
organization affiliated with 122.21(q),
this facility. 122.28(b)(2)(ii),
403.8(f), 403.10,
403.12(i), 503.18,
503.28, 503.48.
Facility Contact EMail Address... The business email address of 122.21, 1, 2, 4, and 7.
the designated individual 122.21(j)(6),
affiliated with this 122.21(q),
facility. 122.28(b)(2)(ii),
403.8(f), 403.10,
403.12(i), 503.18,
503.28, 503.48.
Facility Organization Formal Name The legal name of the person, 122.21, 1, 2, 4, and 7.
firm, public organization, 122.21(j)(6),
or other entity that 122.21(q),
operates the facility. This 122.28(b)(2)(ii),
name may or may not be the 403.8(f), 403.10,
same name as the facility. 403.12(i), 503.18,
The operator of the facility 503.28, 503.48.
is the legal entity that
controls the facility's
operation rather than the
facility or site manager.
This data element should not
use a colloquial name. This
field is optional for MS4
permittees.
----------------------------------------------------------------------------------------------------------------
Basic Permit Information
[Note: As indicated in the ``CWA, Regulatory, or Other Citation'' column, some of these data elements also apply
to Significant Industrial Users (SIUs) and Categorical Industrial Users (CIUs) that discharge (including non-
domestic wastewater delivered by truck, rail, and dedicated pipe or other means of transportation) to one or
more POTWs and to regulated entities or locations that generate, process, or receive biosolids or sewage
sludge.]
----------------------------------------------------------------------------------------------------------------
NPDES ID......................... This is the unique identifier 122.2, 122.21, 1, 2, 3, 4, 5, 6, 7, 8,
for the NPDES permit or 122.21(j)(6), 9, 10.
control mechanism for NPDES 122.21(q),
regulated entities or 122.28(b)(2)(ii),
Unpermitted ID for an 122.34(g)(3),
unpermitted facility. This 122.41(l)(4)(i),
data elements is used for 122.41(l)(6) and
compliance monitoring (7), 122.41(m)(3),
activities, violation 122.42(c),
determinations, and 122.42(e)(4),
enforcement actions. This 123.26, 123.41(a),
data element also applies to 125.96, 125.97(g),
Significant Industrial Users 125.98,
(SIUs) and Categorical 125.138(b),
Industrial Users (CIUs) that 401.14, 403.10,
discharge (including non- 403.12(e),
domestic wastewater 403.12(h),
delivered by truck, rail, 403.12(i), 503.18,
and dedicated pipe or other 503.28, 503.48.
means of transportation) to
one or more POTWs in states
where the POTW is the
Control Authority.
Master General Permit Number..... The unique identifier of the 122.2, 122.21, 1, 2.
master general permit, which 122.21(j)(6),
is linked to a General 122.21(q),
Permit Covered Facility. 122.28(b)(2)(ii),
This data element only 122.34(g)(3),
applies to facilities 122.41(l)(4)(i),
regulated by a master 122.41(l)(6) and
general permit. (7), 122.41(m)(3),
122.42(c),
122.42(e)(4),
123.26, 123.41(a),
403.10, 403.12(e),
403.12(h),
403.12(i), 503.18,
503.28, 503.48.
Permit Type...................... The unique code/description 122.2, 122.21, 1, 2.
identifying the type of 122.21(j)(6),
permit [e.g., NPDES 122.21(q),
Individual Permit, NPDES 122.28(b)(2)(ii),
Master General Permit, 403.10.
General Permit Covered
Facility, State Issued Non-
NPDES General Permit,
Individual IU Permit (Non-
NPDES), Individual State
Issued Permit (Non-NPDES)].
Permit Component................. This will identify one or 122.2, 122.21, 1, 2.
more applicable NPDES 122.21(j)(6),
subprograms (e.g., 122.21(q),
pretreatment, CAFO, CSO, 122.28(b)(2)(ii),
POTW, biosolids/sewage 403.10.
sludge, stormwater) for the
permit record. This field is
only required when the
permit includes one or more
NPDES subprograms.
[[Page 64112]]
Permit Issue Date................ This is the date the permit 122.46............. 1.
was issued. The date must be
provided in YYYY-MM-DD
format where YYYY is the
year, MM is the month, and
DD is the day.
Permit Effective Date............ This is the date on which the 122.46, 122.21, 1.
permit is effective. The 122.21(j)(6),
date must be provided in 122.21(q), 403.10.
YYYY-MM-DD format where YYYY
is the year, MM is the
month, and DD is the day.
Permit Modification/Amendment This is the date on which the 122.62, 122.63, 1.
Date. permit was modified or 403.10.
amended. The date must be
provided in YYYY-MM-DD
format where YYYY is the
year, MM is the month, and
DD is the day.
Permit Expiration Date........... This is the date the permit 122.46, 122.21, 1.
will expire. The date must 122.21(j)(6),
be provided in YYYY-MM-DD 122.21(q), 403.10.
format where YYYY is the
year, MM is the month, and
DD is the day.
Permit Termination Date.......... This is the date the permit 122.64, 403.10..... 1.
was terminated. The date
must be provided in YYYY-MM-
DD format where YYYY is the
year, MM is the month, and
DD is the day.
Permit Major/Minor Status This code/description 122.2.............. 1.
Indicator. identifies the permit status
as ``Major'' or ``Nonmajor''
(a.k.a. ``Minor''). This
data element is initially
system generated and
defaults to ``Minor''. The
most recent permit status is
copied when the permit is
reissued.
Permit Major/Minor Status Start The date that the permit 122.2.............. 1.
Date. became its current Major/
Minor status. Initially
system-generated to match
effective date. The date
must be provided in YYYY-MM-
DD format where YYYY is the
year, MM is the month, and
DD is the day.
Permit Application Total Design This is the design flow rate 122.21, 1, 2.
Flow. that a permitted facility 122.28(b)(2)(ii),
was designed to accommodate, 403.10(f).
in millions of gallons per
day (MGD). This is only
required for wastewater
treatment plants.
Permit Application Total Actual This is the annual average 122.21,122.28(b)(2) 1, 2.
Average Flow. daily flow rate that a (ii), 122.41,
permitted facility will 403.10(f).
likely accommodate at the
start of its permit term, in
MGD. This is only required
for wastewater treatment
plants.
Complete Permit Application/NOI This is the date on which the 122.21, 1.
Received Date. complete application for an 122.28(b)(2)(ii),
individual NPDES permit was 403.10(f).
received or a complete
Notice of Intent (NOI) for
coverage under a master
general permit was received.
The date must be provided in
YYYY-MM-DD format where YYYY
is the year, MM is the
month, and DD is the day.
This data element can be
system generated when the
complete NOI is
electronically received by
the NPDES program.
Permit Application/NOI Received This is the date on which the 122.21, 1.
Date. application for an 122.28(b)(2)(ii),
individual NPDES permit was 403.10(f).
received or a Notice of
Intent (NOI) for coverage
under a master general
permit was received. The
date must be provided in
YYYY-MM-DD format where YYYY
is the year, MM is the
month, and DD is the day.
This data element can be
system generated when the
NPDES permit application or
NOI is electronically
received by the NPDES
program.
Permit Status.................... This is a unique code/ 122.21, 1.
description that identifies 122.21(j)(6),
the permit status (e.g., 122.21(q), 122.64,
Effective, Expired, 122.46, 403.10(f).
Administratively Continued,
Pending, Not Needed,
Retired, Denied, and
Terminated). This is system
generated for all statuses
except ``Not Needed,'' which
must be user entered.
Master General Permit Industrial These are the one or more 122.21, 1.
Category. unique codes/descriptions 122.21(j)(6),
that identify the one or 122.21(q),
more industrial categories 122.28(b)(2)(ii),
covered by the master 403.10(f).
general permit. This field
is required for master
general permits only.
[[Page 64113]]
Permit Issuing Organization Type. This is the type of 122.21, 1.
organization issuing a 122.21(j)(6),
permit (e.g., County, 122.21(q), 123.41,
Federal, Local, Municipal, 403.10(f).
Regional, State, Tribal).
DMR Non-Receipt.................. Turns non-receipt tracking 123.45, 403.10(f).. 1.
for compliance monitoring
submissions [e.g., discharge
monitoring reports (DMRs)]
``on'' or ``off'' for non-
major permits (a.k.a.
``minors''). This field is
always ``on'' for major
permits. This data element
is initially system
generated (defaults to
``on'') and the most recent
value is copied when the
permit is reissued. . This
data element will also be
used to track non-receipt
tracking of periodic
compliance monitoring data
[40 CFR 403.12(e) and (h)]
for Significant Industrial
Users (SIUs) and Categorical
Industrial Users (CIUs) that
discharge (including non-
domestic wastewater
delivered by truck, rail,
and dedicated pipe or other
means of transportation) to
one or more POTWs in states
where EPA or the State is
the Control Authority).
DMR Non-Receipt Start Date....... This is the date on which the 123.45, 403.10(f).. 1.
permit's ``on'' or ``off''
period for DMR Non-Receipt
tracking status began.
Initially system-generated
to match effective date. The
date must be provided in
YYYY-MM-DD format where YYYY
is the year, MM is the
month, and DD is the day.
This data element will also
be used to track non-receipt
tracking of periodic
compliance monitoring data
[40 CFR 403.12(e) and (h)]
for Significant Industrial
Users (SIUs) and Categorical
Industrial Users (CIUs) that
discharge (including non-
domestic wastewater
delivered by truck, rail,
and dedicated pipe or other
means of transportation) to
one or more POTWs in states
where EPA or the State is
the Control Authority).
Reportable Noncompliance Tracking Turns reportable 123.45, 403.10(f).. 1.
noncompliance (RNC) tracking
``on'' or ``off'' for non-
major permits (a.k.a.
``minors''). This data
element is initially system
generated (defaults to
``on'') and the most recent
value is copied when the
permit is reissued.
Reportable Noncompliance Tracking This is the date on which the 123.45, 403.10(f).. 1.
Start Date. permit's ``on'' or ``off''
period for Reportable
Noncompliance Tracking
status began. Initially
system-generated to match
effective date. The date
must be provided in YYYY-MM-
DD format where YYYY is the
year, MM is the month, and
DD is the day.
Applicable Effluent Limitations The applicable effluent 122.21, 1.
Guidelines. limitations guidelines and 122.21(j)(6),
new source performance 122.21(q), 122.44,
standards in the NPDES 403.10(f).
permit (e.g., part 414--
Organic chemicals, plastics,
and synthetic fibers point
source category). This data
element also applies to SIUs
and CIUs that discharge
(including non-domestic
wastewater delivered by
truck, rail, and dedicated
pipe or other means of
transportation) to one or
more POTWs in states where
the POTW is the Control
Authority.
Permit Compliance Tracking Status This is a unique code/ 122.21, 1.
description that indicates 122.21(j)(6),
whether the permit is 122.21(q), 123.45,
currently ``on'' or ``off'' 403.10(f).
for compliance tracking
purposes. This data element
is initially system
generated (defaults to
``on'') and the most recent
value is copied when the
permit is reissued.
Permit Compliance Tracking Status This is the date on which the 122.21, 1.
Start Date. permit's ``on'' or ``off'' 122.21(j)(6),
period for compliance 122.21(q), 123.45,
tracking status began. 403.10(f).
Initially system-generated
to match effective date. The
date must be provided in
YYYY-MM-DD format where YYYY
is the year, MM is the
month, and DD is the day.
[[Page 64114]]
RNC Status (Manual).............. The status of reportable 122.21, 1.
noncompliance (RNC) as it 122.21(j)(6),
was entered by the 122.21(q), 123.45,
regulatory authority for the 403.10(f).
official Quarterly
Noncompliance Report (QNCR)
or NPDES Noncompliance
Report (NNCR). This data
element can also be revised
by the regulatory authority.
RNC Status (Manual) Year......... The year associated with the 122.21, 1.
RNC Status (Manual) being 122.21(j)(6),
reported. This data element 122.21(q), 123.45,
is used for the official 403.10(f).
Quarterly Noncompliance
Report (QNCR) or NPDES
Noncompliance Report (NNCR).
This data element can also
be revised by the regulatory
authority.
RNC Status (Manual) Quarter...... The quarter associated with 122.21, 1.
the RNC Status (Manual) 122.21(j)(6),
being reported. This data 122.21(q), 123.45,
element is used for the 403.10(f).
official Quarterly
Noncompliance Report (QNCR)
or NPDES Noncompliance
Report (NNCR). This data
element can also be revised
by the regulatory authority.
Associated NPDES ID Number....... If applicable, the unique 122.2, 122.21, 1 through 5, 7, 8, and 9.
identifier for each NPDES 122.21(j)(6),
Permit that is related to 122.21(q),
another NPDES Permit. For 122.28(b)(2)(ii),
example, this data element 122.41(l)(4)(i),
identifies the recipient 122.41(l)(6) and
POTW's NPDES ID for each (7), 122.41(m)(3),
satellite collection system, 122.42(e)(4),
the suppliers of biosolids 123.26, 123.41(a),
and sewage sludge to a land 503.18, 503.28,
application site, and the 503.48.
one or more NPDES IDs for
other permitted operators at
the same construction site
or industrial facility. This
data element does not apply
to municipal storm sewer
systems (MS4s) as other data
elements create linkages
between these entities.
Associated NPDES ID Number Reason The unique code/description 122.2, 122.21, 1 through 5, 7, 8, and 9.
that identifies the reason 122.21(j)(6),
for the association between 122.21(q),
two NPDES IDs (e.g., ETP = 122.28(b)(2)(ii),
Effluent Trade Partner, APR 122.41(l)(4)(i),
= Associated Permit Record, 122.41(l)(6) and
SIP = Switched To An (7), 122.41(m)(3),
Individual Permit, SGP = 122.42(e)(4),
Switched To A General 123.26, 123.41(a),
Permit. This data element 503.18, 503.28,
does not apply to municipal 503.48.
storm sewer systems (MS4s)
as other data elements
create linkages between
these entities.
Receiving POTW ID................ This data element will 122.21, 1, 2, and 7.
identify for each 122.21(j)(6),.
Significant Industrial Users
(SIUs) and Categorical
Industrial Users (CIUs) the
unique identifier of the one
or more POTWs receiving the
discharge. This includes non-
domestic wastewater
delivered by truck, rail,
and dedicated pipe or other
means of transportation to
the one or more receiving
POTWs. This data element
only applies to SIUs and
CIUs and will link the
industrial discharger to the
one or more receiving POTWs.
SIC Code......................... The one or more four-digit 122.21, 1, 2, and 7.
Standard Industrial 122.21(j)(6),
Classification (SIC) codes 122.21(q),
that represent the economic 122.28(b)(2)(ii),
activities of the facility. 403.10(f),
This data element also 403.12(e),
applies to SIUs and CIUs 403.12(h),
that discharge (including 403.12(i), 503.18,
non-domestic wastewater 503.28, 503.48.
delivered by truck, rail,
and dedicated pipe or other
means of transportation) to
one or more POTWs in states
where the POTW is the
Control Authority. A value
of ``4952'' can be system
generated for POTWs and
TWTDS.
SIC Code Primary Indicator....... This data element will 122.21, 1, 2, and 7.
identify the primary 122.21(j)(6),
economic activity, SIC code, 122.21(q),
of the facility. This data 122.28(b)(2)(ii),
element is required for 403.10(f),
electronic data transfer 403.12(e),
between state and EPA 403.12(h),
systems. This data element 403.12(i), 503.18,
also applies to SIUs and 503.28, 503.48.
CIUs that discharge
(including non-domestic
wastewater delivered by
truck, rail, and dedicated
pipe or other means of
transportation) to one or
more POTWs in states where
the POTW is the Control
Authority.
[[Page 64115]]
NAICS Code....................... The six-digit North American EPA SIC/NAICS Data 1, 2, and 7.
Industry Classification Standard, Standard
System (NAICS) code/ No. EX000022.2, 6
description that represents January 2006,
the economic activity of the Office of
facility. This field is Management and
optional if the ``SIC Code'' Budget, Executive
data element is provided for Office of the
the facility. President, Final
Decision on North
American Industry
Classification
System (62 FR
17288), 403.10(f).
NAICS Code Primary Indicator..... This data element will EPA SIC/NAICS Data 1, 2, and 7.
identify the primary Standard, Standard
economic activity, NAICS No. EX000022.2, 6
code, of the facility. This January 2006,
data element is required for Office of
electronic data transfer Management and
between state and EPA Budget, Executive
systems. This field is Office of the
optional if the ``SIC Code'' President, Final
data element is provided for Decision on North
the facility. American Industry
Classification
System (62 FR
17288), 403.10(f).
Permittee Mailing Address........ The mailing address of the 122.21, 1, 2.
permit holder. 122.21(j)(6),
122.21(q),
122.28(b)(2)(ii),
403.10(f).
Permittee Organization Formal The legal, formal name of the 122.21, 1, 2.
Name. organization that holds the 122.21(j)(6),
permit. 122.21(q),
122.28(b)(2)(ii),
403.10(f).
Permittee City................... The name of the city, town, 122.21, 1, 2.
or village where the mail is 122.21(j)(6),
delivered for the permit 122.21(q),
holder. 122.28(b)(2)(ii),
403.10(f).
Permittee State.................. The U.S. Postal Service 122.21, 1, 2.
abbreviation that represents 122.21(j)(6),
the state or state 122.21(q),
equivalent for the U.S. for 122.28(b)(2)(ii),
the permit holder. 403.10(f).
Permittee Zip Code............... The combination of the 5- 122.21, 1, 2.
digit Zone Improvement Plan 122.21(j)(6),
(ZIP) code and the 4-digit 122.21(q),
extension code (if 122.28(b)(2)(ii),
available) that represents 403.10(f).
the geographic segment that
is a sub-unit of the ZIP
Code assigned by the U.S.
Postal Service to a
geographic location for the
permit holder.
Residual Designation Under section 402(p)(2)(E) 122.26(a)(9)(i)(C) 1.
Determination Code. and (6) and 40 CFR and (D) and CWA
122.26(a)(9)(i)(C) and (D), section 402(p).
the authorized NPDES program
or the EPA Regional
Administrator may
specifically designate
stormwater discharges as
requiring an NPDES permit.
In this `residual
designation' process the
NPDES permitting authority
regulates stormwater
discharges based on: (1)
Wasteload allocations that
are part of ``total maximum
daily loads'' (TMDLs) that
address the pollutant(s) of
concern in the stormwater
discharges [see 40 CFR
122.26(a)(9)(i)(C)]; or (2)
the determination that the
stormwater discharge, or
category of stormwater
discharges within a
geographic area, contributes
to a violation of a water
quality standard or is a
significant contributor of
pollutants to waters of the
United States [see 40 CFR
122.26(a)(9)(i)(D)]. This
data element is the unique
code/description that
identifies the main basis
for this residual
designation determination.
This data element only
applies to stormwater
permits.
Electronic Reporting Waiver Type. The unique code/description 123.26, 123.41(a) 1.
that identifies whether the and CWA section
authorized NPDES program has 308.
granted the permittee a
waiver from electronic
reporting in compliance with
this part (1 = temporary
waiver; 2 = permanent
waiver). This data element
should be left blank if the
permittee does not have a
waiver from electronic
reporting in compliance with
this part.
[[Page 64116]]
Electronic Reporting Waiver This is the expiration date 123.26, 123.41(a) 1.
Expiration Date. for a temporary waiver from and CWA section
electronic reporting in 308.
compliance with this part.
This data element should be
left blank if the permittee
has a permanent waiver from
electronic reporting or if
the permittee does not have
a waiver from electronic
reporting in compliance with
this part.
Electronic Submission Type This is the unique code/ 123.26, 123.41(a) 1.
(General Permit Reports). description for each general and CWA section
permit report submitted by 308.
the facility or entity.
Notices, certifications, and
waiver requests covered by
this data element are listed
in Table 1 in this appendix
(i.e., NPDES Data Group 2).
This data element describes
how each submission was
electronically collected or
processed by the initial
recipient [see Sec.
127.2(b)]. For example,
these unique codes/
descriptions include: (1)
NPDES regulated entity
submits NPDES program data
using an EPA electronic
reporting system; (2) NPDES
regulated entity submits
NPDES program data using an
authorized NPDES program
electronic reporting system;
(3) NPDES regulated entity
has temporary waiver from
electronic reporting and
submits NPDES program data
on paper to the authorized
NPDES program who then
electronically uses manual
data entry to electronically
process these data; (4)
NPDES regulated entity has a
permanent waiver from
electronic reporting and
submits NPDES program data
on paper to the authorized
NPDES program who then
electronically uses manual
data entry to electronically
process these data; (5)
NPDES regulated entity has
an episodic waiver from
electronic reporting and
submits NPDES program data
on paper to the authorized
NPDES program who then
electronically uses manual
data entry to electronically
process these data; (6)
NPDES regulated entity
submits NPDES program data
on paper in a form that
allows the authorized NPDES
program to use of automatic
identification and data
capture technology to
electronically process these
data; (7) NPDES regulated
entity submits NPDES program
data using another
electronic reporting system
(e.g., third-party). This
data element can sometimes
be system generated (e.g.,
incorporated into an
electronic reporting tool).
This data element does not
identify the electronic
submission type of other
reports (NPDES Data Groups =
3 through 10 in Table 1),
which is tracked by the
``Electronic Submission Type
(Compliance Monitoring
Activity)'' data element.
[[Page 64117]]
NPDES Data Group Number.......... This is the unique code/ 122.2, 122.21, 1.
description that identifies 122.21(j)(6),
the types of NPDES program 122.21(q),
data that are required to be 122.28(b)(2)(ii),
reported by the facility. 122.34(g)(3),
This corresponds to Table 1 122.41(l)(4)(i),
in this appendix (e.g., 3 = 122.41(l)(6) and
Discharge Monitoring Report (7), 122.41(m)(3),
[40 CFR 122.41(l)(4)]). This 122.42(c),
data element can be system 122.42(e)(4),
generated. This data element 123.26, 123.41(a),
will record each NPDES Data 403.10, 403.12(e),
Group that the facility is 403.12(h),
required to submit. For 403.12(i), 503.18,
example, when a POTW is 503.28, 503.48 and
required to submit a CWA section 308.
Discharge Monitoring Report,
Sewage Sludge/Biosolids
Annual Program Report,
Pretreatment Program Report,
and Sewer Overflow/Bypass
Event Report, the values for
this data element for this
facility will be 3, 4, 7,
and 9. The following general
permit reports will have the
following values for this
data element: 2a = Notice of
Intent to discharge (NOI);
2b = Notice of Termination
(NOT); 2c = No Exposure
Certification (NOE); and 2d
= Low Erosivity Waiver or
Other Waiver from Stormwater
Controls (LEW).
----------------------------------------------------------------------------------------------------------------
Narrative Conditions and Permit Schedules Information
[Note: As indicated in the ``CWA, Regulatory, or Other Citation'' column, these data elements also apply to
Significant Industrial Users (SIUs) and Categorical Industrial Users (CIUs) that discharge (including non-
domestic wastewater delivered by truck, rail, and dedicated pipe or other means of transportation) to one or
more POTWs in states where EPA or the State is the Control Authority].
----------------------------------------------------------------------------------------------------------------
Permit Narrative Condition Code.. The unique code/description 122.47, 403.10(f).. 1.
that identifies the type of
narrative condition.
Permit Narrative Condition Number This number uniquely 122.47, 403.10(f).. 1.
identifies a narrative
condition and its elements
for a permit.
Permit Schedule Date............. The date on which a permit 122.47, 403.10(f).. 1.
schedule event is due to be
completed and against which
compliance will be measured.
The date must be provided in
YYYY-MM-DD format where YYYY
is the year, MM is the
month, and DD is the day.
Permit Schedule Actual Date...... The date on which the 122.47, 403.10(f).. 1.
permittee achieved the
schedule event. The date
must be provided in YYYY-MM-
DD format where YYYY is the
year, MM is the month, and
DD is the day.
Required Report Received Date.... The date on which the 122.47, 403.10(f).. 1.
regulatory authority
receives a report from the
permittee indicating that a
scheduled event was
completed (e.g., the start
of construction) or the date
on which the regulatory
authority received the
required report. The date
must be provided in YYYY-MM-
DD format where YYYY is the
year, MM is the month, and
DD is the day.
Permit Schedule Event Code....... The unique code/description 122.47, 403.10(f).. 1.
indicating the one or more
events with which the
permittee is scheduled to
comply.
----------------------------------------------------------------------------------------------------------------
Permitted Feature Information
[Note: These `Permitted Feature' data elements are only required to be submitted for permits that require limits
or outfall monitoring for stationary point sources. Additionally, as indicated in the ``CWA, Regulatory, or
Other Citation'' column, some of these data elements apply to Significant Industrial Users (SIUs) and
Categorical Industrial Users (CIUs) that discharge (including non-domestic wastewater delivered by truck, rail,
and dedicated pipe or other means of transportation) to one or more POTWs in states where EPA or the State is
the Control Authority].
----------------------------------------------------------------------------------------------------------------
Permitted Feature Application The average flow that a 122.21, 1, 2.
Actual Average Flow (MGD). permitted feature will 122.28(b)(2)(ii),
actually discharge or 403.10(f).
transmit, in MGD, at the
start of its permit term.
This data element does not
apply to regulated entities
that do not discharge (e.g.,
some biosolids/sewage sludge
generators) and entities
that only discharge
stormwater. This data
element may also not apply
to some intermittent
dischargers.
[[Page 64118]]
Permitted Feature Identifier The identifier assigned for 122.21, 1, 2.
(Permit). each location at which 122.28(b)(2)(ii),
conditions are being applied 403.10(f).
(e.g., external outfall).
This data element also
identifies cooling water
intake structures.
Permitted Feature Type........... The code/description that 122.21, 1, 2.
uniquely identifies the type 122.28(b)(2)(ii),
of permitted feature (e.g. 403.10(f).
external outfall, sum,
intake structure, cooling
water intake structure).
Receiving Waterbody Name for The name of the waterbody 122.21, 1, 2.
Permitted Feature. that is or will likely 122.28(b)(2)(ii).
receive the discharge from
each permitted feature.
Permitted Feature Longitude...... The measure of the angular 122.21, 1, 2.
distance on a meridian east 122.28(b)(2)(ii).
or west of the prime
meridian for the permitted
feature. The format for this
data element is decimal
degrees (e.g., -77.029289)
and the WGS84 standard
coordinate system.
Permitted Feature Latitude....... The measure of the angular 122.21, 1, 2.
distance on a meridian north 122.28(b)(2)(ii).
or south of the equator for
the permitted feature. The
format for this data element
is decimal degrees (e.g.,
38.893829) and the WGS84
standard coordinate system.
----------------------------------------------------------------------------------------------------------------
Limit Set Information
[Note: These `Limit Set' data elements are only required to be submitted for permits that require limits or
outfall monitoring for stationary point sources. Additionally, as indicated in the ``CWA, Regulatory, or Other
Citation'' column, these data elements apply to Significant Industrial Users (SIUs) and Categorical Industrial
Users (CIUs) that discharge (including non-domestic wastewater delivered by truck, rail, and dedicated pipe or
other means of transportation) to one or more POTWs in states where EPA or the State is the Control Authority].
----------------------------------------------------------------------------------------------------------------
Limit Set Designator............. The alphanumeric field that 122.45, 403.10(f).. 1.
is used to designate a
particular grouping of
parameters within a limit
set.
Limit Set Type................... The unique code/description 122.45, 403.10(f).. 1.
identifying the type of
limit set (e.g., scheduled,
unscheduled).
Modification Effective Date The effective date of the 122.45, 403.10(f).. 1.
(Limit Set). permit modification that
updated or created a limit
set. The date must be
provided in YYYY-MM-DD
format where YYYY is the
year, MM is the month, and
DD is the day.
Modification Type (Limit Set).... The type of permit 122.45, 403.10(f).. 1.
modification that updated or
created this limit set
(e.g., major modification,
minor modification, permit
authorized change).
Initial Monitoring Date.......... The date on which monitoring 122.45, 403.10(f).. 1.
starts for the first
monitoring period for the
limit set. This date will be
blank for unscheduled limit
sets. The date must be
provided in YYYY-MM-DD
format where YYYY is the
year, MM is the month, and
DD is the day.
Initial DMR Due Date............. The date that the first 122.45, 403.10(f).. 1.
compliance monitoring
submission (e.g., DMR) for
the limit set is due to the
regulatory authority. This
date will be blank for
unscheduled limit sets. The
date must be provided in
YYYY-MM-DD format where YYYY
is the year, MM is the
month, and DD is the day.
This data element will also
be used to track non-receipt
tracking of periodic
compliance monitoring data
[40 CFR 403.12(e) and (h)]
for Significant Industrial
Users (SIUs) and Categorical
Industrial Users (CIUs) that
discharge (including non-
domestic wastewater
delivered by truck, rail,
and dedicated pipe or other
means of transportation) to
one or more POTWs in states
where EPA or the State is
the Control Authority).
Number of Report Units........... The number of months covered 122.45, 403.10(f).. 1.
in each compliance
monitoring period (e.g.,
monthly = 1, semi-annually =
6, quarterly = 3).
[[Page 64119]]
Number of Submission Units....... The number of months between 122.45, 403.10(f).. 1.
compliance monitoring
submissions (e.g., monthly =
1, semi-annually = 6,
quarterly = 3). This data
element will be blank for
unscheduled limit sets For
example, if the permittee
was required to submit
monthly reports every
quarter, the number of
report units would be one
(i.e., monthly) and the
number of submission units
would be three (i.e., three
months of information in
each submission)..
Limit Set Status................. The status of the limit set subpart C of 122, 1.
(e.g., active, inactive). 403.10(f).
Limit sets will not have
violations generated when a
limit set is inactive unless
an enforcement action limit
is present.
Limit Set Status Start Date...... The date that the Limit Set 123.45, 403.10(f).. 1.
Status started. The date
must be provided in YYYY-MM-
DD format where YYYY is the
year, MM is the month, and
DD is the day.
----------------------------------------------------------------------------------------------------------------
Limit Information
[Note: These `Limit' data elements are only required to be submitted for permits that require limits or outfall
monitoring for stationary point sources. Additionally, as indicated in the ``CWA, Regulatory, or Other
Citation'' column, some of these data elements apply to Significant Industrial Users (SIUs) and Categorical
Industrial Users (CIUs) that discharge (including non-domestic wastewater delivered by truck, rail, and
dedicated pipe or other means of transportation) to one or more POTWs in states where EPA or the State is the
Control Authority].
----------------------------------------------------------------------------------------------------------------
Monitoring Location Code......... The unique code/description 122.45, 403.10(f).. 1.
of the monitoring location
at which sampling should
occur for a limit parameter.
Limit Season Number.............. Indicates the season of a 122.45, 403.10(f).. 1.
limit and is used to enter
different seasonal limits
for the same parameter
within a single limit start
and end date.
Limit Start Date................. The date on which a limit 122.45, 403.10(f).. 1.
starts being in effect for a
particular parameter in a
limit set. The date must be
provided in YYYY-MM-DD
format where YYYY is the
year, MM is the month, and
DD is the day.
Limit End Date................... The date on which a limit 122.45, 403.10(f).. 1.
stops being in effect for a
particular parameter in a
limit set. The date must be
provided in YYYY-MM-DD
format where YYYY is the
year, MM is the month, and
DD is the day.
Change of Limit Status Indicator. The unique code/description subpart C of 122, 1.
that describes circumstances 403.10(f).
affecting limits, such as
formal enforcement actions
or permit modifications.
Limit Stay Type.................. The unique identifier of the 122.45, 403.10(f).. 1.
type of stay applied to a
limit (e.g., X, Y, Z), which
indicates whether the limits
do not appear on the
compliance monitoring report
(e.g., DMR) at all, are
treated as monitor only, or
have a stay value in effect
during the period of the
stay.
Limit Stay Start Date............ The date on which a limit 124.19, 403.10(f).. 1.
stay begins. The date must
be provided in YYYY-MM-DD
format where YYYY is the
year, MM is the month, and
DD is the day.
Limit Stay End Date.............. The date on which a limit 124.19, 403.10(f).. 1.
stay is lifted. The date
must be provided in YYYY-MM-
DD format where YYYY is the
year, MM is the month, and
DD is the day.
Reason for Limit Stay............ The text that represents the 124.19, 403.10(f).. 1.
reason a stay was applied to
a permit.
Stay Limit Value................. The numeric limit value 124.19, 403.10(f).. 1.
imposed during the period of
the stay for the limit; if
entered, during the stay
period, the system will use
this limit value for
calculating compliance,
rather than the actual limit
value that was stayed.
Limit Type....................... The unique code/description 122.45, 403.10(f).. 1.
that indicates whether a
limit is an enforceable, or
alert limit (e.g., action
level, benchmark) that does
not receive effluent
violations.
[[Page 64120]]
Enforcement Action ID............ The unique identifier for the 122.45, 403.10(f).. 1.
enforcement action that
imposed the enforcement
action limit; this data
element helps uniquely tie
the limit record to the
final order record.
Final Order ID................... The unique identifier for the 122.45, 403.10(f).. 1.
Final Order that imposed the
Enforcement Action limit;
this data element ties the
limit record to the Final
Order record in the database.
Modification Effective Date...... The effective date of the 122.62, 403.10(f).. 1.
permit modification that
created this limit. The date
must be provided in YYYY-MM-
DD format where YYYY is the
year, MM is the month, and
DD is the day.
Modification Type................ The type of permit 122.62, 403.10(f).. 1.
modification that created
this limit (e.g. major,
minor, permit authorized
change).
Limit Parameter Code............. The unique code/description 122.41(j), 1.
identifying the parameter 403.10(f).
being limited and/or
monitored.
Limit Months..................... The months that the limit 122.46, 403.10(f).. 1.
applies.
Limit Value Type................. The indication of the limit 122.45(f), 1.
value type (e.g., Quantity 403.10(f).
1, Concentration 2).
Limit Quantity or Concentration The unique code/description 122.45(f), 1.
Units. representing the unit(s) of 403.10(f).
measure applicable to
quantity or concentration
limits as entered by the
user.
Statistical Base Code............ The unique code/description 122.45(d), 1.
representing the unit of 403.10(f).
measure applicable to the
limit and compliance
monitoring activity (e.g.,
DMR) values entered by the
user (e.g., 30-day average,
daily maximum).
Optional Monitoring Code......... The code/description that 122.45, 403.10(f).. 1.
indicates when monitoring is
optional but not required
(e.g., DMR Non-Receipt
violation generation will be
suppressed for optional
monitoring).
Limit Value Qualifier............ The unique code identifying 122.45, 403.10(f).. 1.
the limit value operator
(e.g., ``<'', ``='', ``>'').
Limit Value...................... The actual limit value number 122.45, 403.10(f).. 1.
from the Permit or
Enforcement Action Final
Order.
----------------------------------------------------------------------------------------------------------------
Sewage Sludge/Biosolids Information on NPDES Permit Application or Notice of Intent
[Note: As indicated in the ``CWA, Regulatory, or Other Citation'' column, these data elements apply to Treatment
Works Treating Domestic Sewage whose sewage sludge use or disposal practices are regulated by part 503.]
----------------------------------------------------------------------------------------------------------------
Biosolids/Sewage Sludge The unique code/description 122.21(q), 1, 2, and 4.
Management Facility Type. that identifies whether the 122.28(b)(2)(ii),
facility was issued a permit 503.18, 503.28,
as a biosolids/sewage sludge 503.48.
generator, processor, or end
user (e.g., land application
site, surface disposal site,
incinerator). For the Sewage
Sludge/Biosolids Annual
Report this data element is
also the unique code/
description that identifies
an off-site facility or
location receives biosolids
or sewage sludge from this
facility. This data element
is also required for the
Sewage Sludge/Biosolids
Annual Report.
Biosolids or Sewage Sludge The one or more unique codes/ 122.21(q)(6), 1, 2.
Treatment Processes (Permit). descriptions that identifies 122.28(b)(2)(ii).
the biosolids or sewage
sludge treatment process or
processes at the facility.
For example, this may
include treatment processes
in the following categories:
preliminary operations
(e.g., sludge grinding and
degritting), thickening
(concentration),
stabilization, anaerobic
digestion, aerobic
digestion, composting,
conditioning, disinfection
(e.g., beta ray irradiation,
gamma ray irradiation,
pasteurization), dewatering
(e.g., centrifugation,
sludge drying beds, sludge
lagoons), heat drying,
thermal reduction, and
methane or biogas capture
and recovery.
[[Page 64121]]
Biosolids or Sewage Sludge Form The one or more unique codes/ 122.21(q)(6), 1, 2.
(Permit). descriptions that identify 122.28(b)(2)(ii).
the nature of each biosolids
and sewage sludge material
generated by the facility in
terms of whether the
material is a biosolid or
sewage sludge and whether
the material is ultimately
conveyed off-site in bulk or
in bags. The facility will
separately report the form
for each biosolids or sewage
sludge management practice
and pathogen class.
Biosolids or Sewage Sludge The one or more unique codes/ 122.21(q)(6), 1, 2.
Management Practice (Permit). descriptions that identify 122.28(b)(2)(ii).
the type of biosolids or
sewage sludge management
practice or practices (e.g.,
land application, surface
disposal, incineration) used
by the facility. The
facility will separately
report the practice for each
different form of biosolids
and sewage sludge generated
by the facility and pathogen
class.
Biosolids or Sewage Sludge The one or more unique codes/ 122.21(q)(6), 1, 2.
Pathogen Class (Permit). descriptions that identify 122.28(b)(2)(ii).
the pathogen class or
classes (e.g., Class A,
Class B, Not Applicable) for
biosolids or sewage sludge
generated by the facility.
The facility will separately
report the pathogen class
for each biosolids or sewage
sludge management practice
used by the facility and for
each biosolids or sewage
sludge form.
Biosolids or Sewage Sludge Vector The one or more unique codes/ 122.21(q)(6), 1, 2.
Attraction Reduction Options descriptions that identify 122.28(b)(2)(ii).
(Permit). the option(s) used by the
facility for vector
attraction reduction. See a
listing of these vector
attraction reduction options
at 40 CFR 503.33(b)(1)
through (11). The facility
will separately report the
vector attraction reduction
options for each biosolids
or sewage sludge management
practice used by the
facility and for each
biosolids or sewage sludge
form as well as by each
biosolids or sewage sludge
pathogen class.
Biosolids or Sewage Sludge The one or more unique codes/ 122.21(q)(6), 1, 2.
Pathogen Reduction Options descriptions that identify 122.28(b)(2)(ii).
(Permit). the option(s) used by the
facility to control
pathogens (e.g., Class A--
Alternative 1, Class A--
Alternative 2, Class A--
Alternative 3, Class A--
Alternative 4, Class A--
Alternative 5, Class A--
Alternative 6, Class B--
Alternative 1, Class B--
Alternative 2, Class B--
Alternative 3, or pH
Adjustment (Domestic
Septage). The facility will
separately report the
pathogen reduction options
for each biosolids or sewage
sludge management practice
used by the facility and by
each biosolids or sewage
sludge form as well as by
each biosolids or sewage
sludge pathogen class.
Biosolids or Sewage Sludge Amount This is the amount (in dry 122.21 (q), 1, 2.
(Permit). metric tons) of biosolids or 122.28(b)(2)(ii).
sewage sludge applied to the
land, prepared for sale or
give-away in a bag or other
container for application to
the land, or placed on an
active sewage sludge unit in
the preceding 365-day
period. This identification
will be made for each
biosolids or sewage sludge
management practice used by
the facility and by each
biosolids or sewage sludge
form as well as by each
biosolids or sewage sludge
pathogen class.
----------------------------------------------------------------------------------------------------------------
Animal Feeding Operation Information on NPDES Permit Application or Notice of Intent
----------------------------------------------------------------------------------------------------------------
Facility CAAP Designation........ A unique code (e.g., ``Yes'', 122.21(i)(2), 1, 2.
``No'') to indicate whether 122.24, 122.25,
the facility includes 122.28(b)(2)(ii).
Concentrated Aquatic Animal
Production (CAAP).
[[Page 64122]]
Facility CAFO Type............... The unique code/description 122.21(i)(1), 1, 2.
that identifies whether the 122.23,
facility includes a small, 122.28(b)(2)(ii).
medium or large Concentrated
Animal Feeding Operation
(CAFO).
CAFO Designation Date............ The date on which the 122.23............. 1.
facility is designated as a
small or medium Concentrated
Animal Feeding Operation
(CAFO). The date must be
provided in YYYY-MM-DD
format where YYYY is the
year, MM is the month, and
DD is the day.
CAFO Designation Reason.......... The reason(s) the State 122.23(c).......... 1.
Director or the Regional
Administrator used to
designate an animal feeding
operation as a small or
medium CAFO. [Ed note: Large
and medium CAFO definitions
are in 40 CFR 122.23(b)].
This text field can include
the following factors: (1)
the size of the AFO and the
amount of wastes reaching
waters of the United States;
(2) the location of the AFO
relative to waters of the
United States; (3) the means
of conveyance of animal
wastes and process waste
waters into waters of the
United States; (4) the
slope, vegetation, rainfall,
and other factors affecting
the likelihood or frequency
of discharge of animal
wastes manure and process
waste waters into waters of
the United States; and (5)
other relevant factors.
CAFO Animal Types................ The unique code/description 122.21(i)(1)(v), 1, 2.
that identifies the animal 122.28(b)(2)(ii).
type(s) at the facility
(e.g., beef cattle,
broilers, layers, swine
weighing 55 pounds or more,
swine weighing less than 55
pounds, mature dairy cows,
dairy heifers, veal calves,
sheep and lambs, horses,
ducks, turkeys, other).
CAFO Animal Maximum Numbers...... The estimated maximum number 122.21(i)(1)(v), 1, 2.
of each type of animal in 122.28(b)(2)(ii).
open confinement or housed
under roof (either partially
or totally) which are held
at the facility for a total
of 45 days or more in a 12
month period.
CAFO Animal Maximum Numbers in The estimated maximum number 122.21(i)(1)(v), 1, 2.
Open Confinement. of each type of animal in 122.28(b)(2)(ii).
open confinement which are
held at the facility for a
total of 45 days or more in
a 12 month period.
CAFO MLPW........................ The unique code/description 122.21(i)(1)(viii), 1, 2.
that identifies the type of 122.28(b)(2)(ii).
CAFO manure, litter, and
process wastewater generated
by the facility i.e. in a 12
month period.
CAFO MLPW Amounts................ The estimated amount of CAFO 122.21(i)(1)(viii), 1, 2.
manure, litter, and process 122.28(b)(2)(ii).
wastewater generated by the
facility i.e.in a 12 month
period.
CAFO MLPW Amounts Units.......... The unit (e.g., tons, 122.21(i)(1)(viii), 1, 2.
gallons) for the estimated 122.28(b)(2)(ii).
maximum amount of CAFO
manure, litter, and process
wastewater generated by the
facility i.e. in a 12 month
period.
CAFO MLPW Transferred............ The estimated maximum amount 122.21(i)(1)(ix), 1, 2.
of CAFO manure, litter, and 122.28(b)(2)(ii).
process wastewater generated
by the facility i.e.in a 12
month period that is
transferred to other
persons. The units for this
data element will be the
same as the units for the
``CAFO MLPW Amounts'' data
element.
Total Number of Acres Available Total number of acres under 122.21(i)(1)(vii), 1, 2.
for Land Application. the control of the applicant 122.28(b)(2)(ii).
that are available for land
application of CAFO manure,
litter, and process
wastewater.
CAFO MLPW Containment and Storage The unique code/description 122.21(i)(1)(vi), 1, 2.
Type. describing the one or more 122.28(b)(2)(ii).
types of CAFO manure,
litter, and process
wastewater containment and
storage (e.g., lagoon,
holding pond, evaporation
pond, anaerobic lagoon,
storage lagoon, evaporation
pond, aboveground storage
tanks, belowground storage
tanks, roofed storage shed,
concrete pad, impervious
soil pad, other) at the
facility.
[[Page 64123]]
CAFO MLPW Containment and Storage The estimated maximum 122.21(i)(1)(vi), 1, 2.
Maximum Capacity Amounts. capacity of each CAFO 122.28(b)(2)(ii).
manure, litter, and process
wastewater containment and
storage type at the facility.
CAFO MLPW Containment and Storage The unit for the estimated 122.21(i)(1)(vi), 1, 2.
Maximum Capacity Amounts Unit. maximum capacity of each 122.28(b)(2)(ii).
CAFO manure, litter, and
process wastewater
containment and storage type
at the facility (e.g.,
gallons).
----------------------------------------------------------------------------------------------------------------
Construction and Industrial Stormwater Information [from the permitting authority derived from the No Exposure
Certification, Low Erosivity Waiver, and Other Waiver From Stormwater Controls (see Exhibit 1 to 40 CFR
122.26(b)(15)]
----------------------------------------------------------------------------------------------------------------
No Exposure Certification This is the date on which the 122.26(g).......... 1.
Approval Date. No Exposure Certification
(NOE) was authorized by the
NPDES permitting authority.
Submission of a No Exposure
Certification means that the
facility does not require
NPDES permit authorization
for its stormwater
discharges due to the
existence of a condition of
``no exposure.'' A condition
of no exposure exists at an
industrial facility when all
industrial materials and
activities are protected by
a storm resistant shelter to
prevent exposure to rain,
snow, snowmelt, and/or
runoff and the operator
complies with all
requirements at 40 CFR
122.26(g)(1) through (4).
This date is provided by the
permitting authority. The
date must be provided in
YYYY-MM-DD format where YYYY
is the year, MM is the
month, and DD is the day.
Low Erosivity Waiver or Other The NPDES Stormwater Phase II Exhibit 1 to 40 CFR 1.
Waiver From Stormwater Controls Rule allows NPDES permitting 122.26(b)(15).
Approval Date. authorities to accept low
erosivity waivers and other
waivers from stormwater
controls (LEWs) for small
construction sites. The
waiver process exempts small
construction sites
(disturbing under five
acres) from NPDES permitting
requirements when the
rainfall erosivity factor is
less than five during the
period of construction
activity as well as other
criteria [see Exhibit 1 to
40 CFR 122.26(b)(15)]. This
is the date when the NPDES
permitting authority granted
such waiver, based on
information from the entity
requesting the waiver; this
date is provided by the
permitting authority. The
date must be provided in
YYYY-MM-DD format, where
YYYY is the year, MM is the
month, and DD is the day.
----------------------------------------------------------------------------------------------------------------
Construction Stormwater Information on NPDES Permit Application, Notice of Intent, or Waiver Request [including
construction activity requiring permit coverage under 40 CFR 122.26(b)(14)(x)]
----------------------------------------------------------------------------------------------------------------
Total Area of the Site........... This is an estimate of the 122.26(c)(1)(ii)(B) 1.
total area of the
construction site at the
time of permit application
(in acres). This data
element is only required for
individual construction
stormwater permit
applications. Values under 5
acres will be reported to
the nearest tenth of an acre
or nearest quarter acre.
Authorized NPDES programs
will have the discretion to
choose whether permittees
should report to the nearest
tenth of an acre or nearest
quarter acre for values
under 5 acres.
[[Page 64124]]
Total Activity Area This is the estimate of the 122.26, 1, 2.
(Construction). total area of the 122.28(b)(2)(ii).
construction activities at
the time of permit
application or filing of
notice of intent to be
covered under a general
permit (in acres). Areas of
construction activity
include areas of clearing,
grading, and/or excavation
and areas of construction
support activity (e.g.,
concrete or asphalt batch
plants, equipment staging
yards, material storage
areas, excavated materials
disposal areas, borrow
areas). Values under 5 acres
will be reported to the
nearest tenth of an acre or
nearest quarter acre.
Authorized NPDES programs
will have the discretion to
choose whether permittees
should report to the nearest
tenth of an acre or nearest
quarter acre for values
under 5 acres.
Post-Construction Total This is the estimate of total 122.26(c)(1)(ii)(E) 1.
Impervious Area. impervious area of the site
after the construction
addressed in the permit
application is completed (in
acres). This estimate is
made at the time of the
permit application. This
data element is only
required for individual
construction stormwater
permit applications. Values
under 5 acres will be
reported to the nearest
tenth of an acre or nearest
quarter acre. Authorized
NPDES programs will have the
discretion to choose whether
permittees should report to
the nearest tenth of an acre
or nearest quarter acre for
values under 5 acres.
Proposed Stormwater Best This is the one or more 122.26(c)(1)(ii)(C) 1.
Management Practices for unique codes that list the
Construction Activities. most important proposed
measures, including best
management practices, to
control pollutants in
stormwater discharges from
construction activities.
This data element includes
temporary structural
measures (e.g., check dams,
construction road
stabilization, silt fences),
vegetative measures (e.g.,
mulching, seeding, sodding,
straw/hay bale dikes), and
permanent structures (e.g.,
land grading, riprap slope
protection, streambank
protection). This data
element field is only
required for individual
construction stormwater
permit applications.
Post-Construction Stormwater Best This is the one or more 122.26(c)(1)(ii)(D) 1.
Management Practices for unique codes that list the
Construction Activities. most important proposed long-
term measures and permanent
structures to control
pollutants in stormwater
discharges, which will occur
after the completion of
construction operations. The
codes for this data element
include long-term control
measures (e.g., cleaning and
removal of debris after
major storm events,
harvesting vegetation when a
50 percent reduction in the
original open water surface
area occurs, sediment
cleanout, repairing
embankments, side slopes,
and control structures) and
permanent structures (e.g.,
land grading, riprap slope
protection, streambank
protection, ponds, wetlands,
infiltration basins, sand
filters, filter strips).
This data element is only
required for individual
construction stormwater
permit applications.
Soil and Fill Material This is a text field 122.26(c)(1)(ii)(E) 1.
Description. describes the nature of fill
material and existing data
describing soils or the
quality of the discharge.
This data element is only
required for individual
construction stormwater
permit applications.
Runoff Coefficient of the Site This is an estimate of the 122.26(c)(1)(ii)(E) 1.
(Post-Construction). overall runoff coefficient
of the site after the
construction addressed in
the permit application is
completed. This data element
is only required for
individual construction
stormwater permit
applications.
[[Page 64125]]
Estimated Construction Project The estimated start date for 122.26, 1, 2.
Start Date. the construction project 122.28(b)(2)(ii).
covered by the NPDES permit.
The date must be provided in
YYYY-MM-DD format where YYYY
is the year, MM is the
month, and DD is the day.
Estimated Construction Project The estimated end date for 122.26, 1, 2.
End Date. the construction project 122.28(b)(2)(ii).
covered by the NPDES permit.
The date must be provided in
YYYY-MM-DD format where YYYY
is the year, MM is the
month, and DD is the day.
----------------------------------------------------------------------------------------------------------------
Industrial Stormwater Information on NPDES Permit Application [excluding construction activity requiring permit
coverage under 40 CFR 122.26(b)(14)(x)]
----------------------------------------------------------------------------------------------------------------
Total Surface Area Drained This is an estimate of the 122.26(c)(1)(i)(B). 1.
(Industrial). total surface area drained
at the facility at the time
of permit application (in
acres). This data field is
only required for individual
industrial stormwater permit
applications. Values under 5
acres will be reported to
the nearest tenth of an acre
or nearest quarter acre.
Authorized NPDES programs
will have the discretion to
choose whether permittees
should report to the nearest
tenth of an acre or nearest
quarter acre for values
under 5 acres.
Total Impervious Surface Area This is the estimate of the 122.26(c)(1)(i)(B). 1.
(Industrial). total impervious area at the
facility at the time of
permit application (in
acres). This data element is
only required for individual
industrial stormwater permit
applications. Values under 5
acres will be reported to
the nearest tenth of an acre
or nearest quarter acre.
Authorized NPDES programs
will have the discretion to
choose whether permittees
should report to the nearest
tenth of an acre or nearest
quarter acre for values
under 5 acres.
Proposed Stormwater Best This is the one or more codes 122.26(c)(1)(i)(B). 1.
Management Practices that identify the structural
(Industrial). and non-structural control
measures (including
treatment) to control
pollutants in stormwater
discharges from industrial
activities. This data
element includes long-term
measures (e.g., good
housekeeping of waste-
handling and waste-storage
areas, collecting debris and
yard material, proper
management of vehicle wash
and equipment maintenance
areas) and permanent
structures (e.g., covers,
pads, diversion berms or
channels, vegetative buffer
strips, erosion prevention
and sediment control such as
land grading, riprap slope
protection, streambank
protection) to control
pollutants in stormwater
discharges. This data
element is only required for
individual industrial
stormwater permit
applications.
----------------------------------------------------------------------------------------------------------------
Municipal Separate Storm Sewer System (MS4) Information on NPDES Permit Application or Notice of Intent
----------------------------------------------------------------------------------------------------------------
MS4 Permit Class................. The unique code/description 122.26, 1, 2.
that identifies the size of 122.28(b)(2)(ii).
the MS4 permit holder (e.g.,
Phase I = large or medium
MS4s, Phase II = small MS4s).
Unique Identifier for Each The unique identifier for 122.21(f), 1, 2, 6.
Municipality Covered Under MS4 each municipality covered 122.26(d)
Permit. under MS4 permit. Use of 122.28(b)(2)(ii),
this identifier allows for 122.34(g)(3), and
greater geographic 122.42(c).
resolution for the MS4
components being tracked.
This unique identifier does
not change over time. Use of
this unique identifier is
similar to how the
`Permitted Feature
Identifier (Permit)' data
element is used to
distinguish between
permitted features.
[[Page 64126]]
MS4 Public Education Program..... The one or more unique codes/ 122.21(f), 1, 2.
descriptions that identifies 122.26(d)(2)(iv)(A
the educational materials )(6), (B)(5) and
the permittee intends to (6), and (D)(4);
distribute or equivalent 122.28(b)(2)(ii),
outreach activities the 122.34(b)(1),
permittee will implement to 122.34(d)(1)(i).
inform the target audience
about the impacts of
stormwater discharges and
the steps the public can
take to reduce stormwater
pollutants.
MS4 Measurable Goals Associated The one or more unique codes/ 122.34(d)(1)(ii), 1, 2.
With Public Education Program. descriptions that identifies 122.28(b)(2)(ii).
measurable goals associated
with the public education
programs including, as
appropriate, the months and
years in which the permittee
will undertake required
actions, including interim
milestones and the frequency
of the action. This data
element only applies to
Phase II MS4s.
MS4 Public Involvement and The one or more unique codes/ 122.21(f), 1, 2.
Participation Program. descriptions that identifies 122.26(d)(2)(iv),
how the permittee intends to 122.28(b)(2)(ii),
involve the public and at 122.34(b)(2),
minimum comply with State, 122.34(d)(1)(i).
Tribal, and local public
notice requirements to
implement its public
involvement and
participation program.
MS4 Measurable Goals for the The one or more unique codes/ 122.28(b)(2)(ii) 1, 2.
Public Involvement and descriptions that identifies 122.34(d)(1)(ii).
Participation Program. the measurable goals
associated with the public
involvement and
participation program
including, as appropriate,
the months and years in
which the permittee will
undertake required actions,
including interim milestones
and the frequency of the
action. This data element
only applies to Phase II
MS4s.
MS4 Illicit Discharge Detection The one or more unique codes/ 122.21(f), 1, 2.
and Elimination. descriptions that identify 122.26(d)(1)(iii)(
how the permittee will B),
comply with Illicit 122.26(d)(2)(i)(B)
Discharge Detection and and (C),
Elimination requirements, 122.26(d)(2)(iv)(B
including (at a minimum): ),
(1) The status of the 122.28(b)(2)(ii),
permittee's storm sewer 122.34(b)(3)(ii)(A
system map showing the )-(D),
location of all outfalls and 122.34(d)(1)(i).
names and locations of all
waters of the U.S. that
receive discharges from
those outfalls; (2) the
status of the ordinance or
other regulatory mechanism
to prohibit non-stormwater
discharges into the
permittee's MS4; (3) the
procedures and actions the
permittee takes to enforce
the prohibition of non-
stormwater discharges to the
permittee's MS4; (4) the
status of the program that
identifies the procedures
and actions the permittee
will take to detect and
address non-stormwater
discharges, including
illegal dumping, to the
permittee's MS4; and (5) the
status of procedures and
actions the permittee will
take to inform public
employees, businesses and
the general public of
hazards associated with
illegal discharges and
improper disposal of waste.
MS4 Measurable Goals Associated The one or more unique codes/ 122.34(d)(1)(ii)... 1, 2.
With Illicit Discharge Detection descriptions that identifies
and Elimination Program. the measurable goals
associated with the illicit
discharge detection and
elimination program,
including, as appropriate,
the months and years in
which the permittee will
undertake required actions,
including interim milestones
and the frequency of the
action. This data element
only applies to Phase II
MS4s.
[[Page 64127]]
MS4 Construction Site Stormwater The one or more unique codes/ 122.21(f), 1, 2.
Runoff Control. descriptions that identify 122.26(d)(2)(iv)(D
how the permittee will ),
comply with the Construction 122.28(b)(2)(ii),
Site Runoff Control 122.34(b)(4)(ii),
requirements, including (at 122.34(d)(1)(i).
a minimum): (1) status of
the ordinance or other
regulatory mechanism to
require erosion and sediment
controls, including
sanctions to ensure
compliance; (2) status of
requirements for
construction site operators
to implement appropriate
erosion and sediment control
BMPs and control waste at
the construction site that
may cause adverse impacts to
water quality; (3) status of
procedures for site plan
review that incorporate
consideration of potential
water quality impacts; (4)
status of procedures for
receipt and consideration of
information submitted by the
public; and (5) status of
procedures for site
inspection and enforcement
of control measures.
MS4 Measurable Goals Associated The one or more unique codes/ 122.34(d)(1)(ii)... 1, 2.
with the Construction Site descriptions that identify
Stormwater Runoff Control the measurable goals
Program. associated with the
construction program,
including, as appropriate,
the months and years in
which the permittee will
undertake required actions,
including interim milestones
and the frequency of the
action. This data element
only applies to Phase II
MS4s.
MS4 Post-Construction Stormwater The one or more unique codes/ 122.21(f), 1, 2.
Management In New Development descriptions that identify 122.26(d)(2)(iv)(A
And Redevelopment. how the permittee will )(2),
comply with the Post- 122.28(b)(2)(ii),
Construction Stormwater 122.34(b)(5),
Management in New 122.34(d)(1)(i).
Development and
Redevelopment requirements,
including (at a minimum):
(1) Status of ordinance or
other regulatory mechanism
to address post-construction
runoff from new development
and redevelopment projects;
(2) how the permittee plans
to address stormwater runoff
from new development and
redevelopment projects that
disturb a minimum of greater
than or equal to one acre
(including if the permittee
requires on-site retention
of stormwater; and (3)
status of a plan to ensure
adequate long-term operation
and maintenance of BMPs for
controlling runoff from new
development and
redevelopment projects.
MS4 Measurable Goals Associated The one or more unique codes/ 122.34(d)(1)(ii)... 1, 2.
with the Post-Construction: descriptions that identify
Stormwater Management Program. the measurable goals
associated with the post-
construction program,
including, as appropriate,
the months and years in
which the permittee will
undertake required actions,
including interim milestones
and the frequency of the
action. This data element
only applies to Phase II
MS4s.
MS4 Pollution Prevention/Good The one or more unique codes/ 122.21(f), 1, 2.
Housekeeping for Municipal descriptions that identify 122.26(d)(2)(iv)(A
Operations Program. how the permittee will )(1), (2) and (3),
comply with the Pollution 122.28(b)(2)(ii),
Prevention/Good Housekeeping 122.34(b)(6)(i),
requirements. 122.34(d)(1)(i).
MS4 Additional Measures.......... The one or more unique codes/ 122.28(b)(2)(ii), 1, 2.
descriptions that identify 122.34(b),
any other additional 122.34(d)
measures that are required 122.44(d)(1)(vii)(
by the permit such as B).
controls to be consistent
with the assumptions and
requirements of any
available wasteload
allocation prepared by a
state and approved by EPA.
This data element is
optional if there are no MS4
additional measures.
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[[Page 64128]]
POTW Information on NPDES Permit Application or Notice of Intent
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Name of Collection System........ This is the unique name of 122.1(b) and 1, 2.
each collection system that 122.21(j)(1)(iv),
provides flow to the 122.28(b)(2)(ii).
permittee. This includes
unincorporated connector
districts and satellite
collection systems, which
are sanitary sewers owned or
operated by another entity
that conveys sewage or
industrial wastewater to
this permittee. This data
element applies to POTWs.
Owner Type of Collection System.. The unique code/description 122.1(b) and 1, 2.
that identifies the 122.21(j)(1)(iv),
ownership type for each 122.28(b)(2)(ii).
unique collection system
that provides flow to the
permittee (e.g.,
municipality owned,
privately owned). This
includes unincorporated
connector districts and
satellite collection
systems. This data element
applies to POTWs.
Collection System Identifier..... This is the NPDES permit 122.1(b) and 1, 2.
number (``NPDES ID'') for 122.21(j)(1)(iv),
each unique collection 122.28(b)(2)(ii).
system that provides flow to
the permittee. If there is
no NPDES permit number for
the collection system this
data element will be a
unique identifier for each
collection system that
provides flow to the
permittee. This includes
unincorporated connector
districts and satellite
collection systems. This
data element applies to
POTWs.
Population of Collection System.. This is the estimated 122.1(b) and 1, 2.
population for each unique 122.21(j)(1)(iv),
collection system that 122.28(b)(2)(ii).
provides flow to the
permittee. This includes
unincorporated connector
districts and satellite
collection systems. This
data element applies to
POTWs.
Percentage of Collection System For each unique collection 122.1(b) and 1, 2.
That Is a Combined Sewer System. system that provides flow to 122.21(j)(1)(iv)
the permittee, this is the and (vii),
estimated percentage of the 122.28(b)(2)(ii).
collection system that is a
combined sewer system. This
includes unincorporated
connector districts and
satellite collection
systems. This estimated
percentage is calculated
separately for each unique
collection system that
provides flow to the
permittee and is based on
the service population of
each unique collection
system. This data element
applies to POTWs.
POTW Wastewater Treatment This data element describes 122.21(j)(3)(iii), 1, 2.
Technology Level Description. the level of wastewater 122.28(b)(2)(ii)
treatment technology [e.g., and CWA section
raw discharge (no 516.
treatment), primary
treatment, secondary
wastewater treatment,
advanced treatment] used at
the facility. This data
element only applies to
POTWs.
POTW Wastewater Disinfection The one or more unique codes/ 122.21(j)(3)(iii), 1, 2.
Technology. descriptions that describe 122.28(b)(2)(ii).
the types of disinfection
technology that are used at
the facility (e.g.,
chlorination, ozonation,
ultraviolet disinfection).
This data element will also
use a code/description to
identify if this facility is
using dechlorination, which
may be required if the
facility uses chlorination
for disinfection. This data
element only applies to
POTWs.
POTW Wastewater Treatment The one or more unique codes/ 122.21(j)(2)(ii)(A) 1, 2.
Technology Unit Operations. descriptions that describe , 122.28(b)(2)(ii)
the wastewater treatment and CWA section
technology unit operations 516.
(e.g., grit removal, flow
equalization, complete mix
activated sludge secondary
treatment, trickling filter,
facultative lagoon,
biological nitrification)
used at the facility. This
data element is required for
POTWs that have a design
flow capacity equal to or
above 10 million gallons per
day (MGD) and is optional
for POTWs with a design flow
capacity below 10 MGD.
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[[Page 64129]]
Combined Sewer Overflow Information
[Note: All Phase II and post-Phase II combined sewer system NPDES permittees are required to complete and
implement a long-term CSO control plan (LTCP) as described in EPA's Combined Sewer Overflow (CSO) Control
Policy (19 April 1994; 59 Federal Register 18688-18698). These data will be updated by the authorized NPDES
program on a timely basis as changes occur with the combined sewer system and the LTCP as well as with the
POTW's implementation and compliance with the LTCP.]
----------------------------------------------------------------------------------------------------------------
Long-Term CSO Control Plan Permit This data element uses a 122.41(h), 122.43, 1.
Requirements and Compliance. unique code/description that 123.41(a) and CWA
identifies whether the section 402(q)(1),
permit requires the permit Combined Sewer
holder to complete and Overflow (CSO)
implement a LTCP and whether Control Policy (59
the permit holder is in FR 18688-18698, 19
compliance with these permit April 1994).
requirements.
Nine Minimum CSO Controls This data element uses a 122.41(h), 122.43, 1.
Developed. unique code/description to 123.41(a) and CWA
identify by number each of section 402(q)(1),
the nine minimum control Combined Sewer
measures outlines in the CSO Overflow (CSO)
Control Policy that the Control Policy (59
permit holder has FR 18688-18698, 19
implemented in compliance April 1994).
with the applicable permit
and/or enforcement
mechanism. These unique
codes are: (1) Proper
operation and regular
maintenance programs for the
sewer system and the CSOs;
(2) Maximum use of the
collection system for
storage; (3) Review and
modification of pretreatment
requirements to assure CSO
impacts are minimized; (4)
Maximization of flow to the
publicly owned treatment
works for treatment; (5)
Prohibition of CSOs during
dry weather; (6) Control of
solid and floatable
materials in CSOs; (7)
Pollution prevention; (8)
Public notification to
ensure that the public
receives adequate
notification of CSO
occurrences and CSO impacts;
and (9) Monitoring to
effectively characterize CSO
impacts and the efficacy of
CSO controls. For example,
if the permit holder has
only developed the ``Maximum
use of the collection system
for storage'' minimum
control measure then the
permitting authority will
record ``2'' for this data
element. Likewise, if the
permit holder has developed
all nine minimum control
measures then permitting
authority will record 1, 2,
3, 4, 5, 6, 7, 8, and 9 for
this data element.
Nine Minimum CSO Controls This data element uses a 122.41(h), 122.43, 1.
Implemented. unique code/description to 123.41(a) and CWA
identify by number each of section 402(q)(1),
nine minimum control Combined Sewer
measures outlined in the CSO Overflow (CSO)
Control Policy that the Control Policy (59
permit holder has FR 18688-18698, 19
implemented in compliance April 1994).
with the applicable permit
and/or enforcement
mechanism. These unique
codes are: (1) Proper
operation and regular
maintenance programs for the
sewer system and the CSOs;
(2) Maximum use of the
collection system for
storage; (3) Review and
modification of pretreatment
requirements to assure CSO
impacts are minimized; (4)
Maximization of flow to the
publicly owned treatment
works for treatment; (5)
Prohibition of CSOs during
dry weather; (6) Control of
solid and floatable
materials in CSOs; (7)
Pollution prevention; (8)
Public notification to
ensure that the public
receives adequate
notification of CSO
occurrences and CSO impacts;
and (9) Monitoring to
effectively characterize CSO
impacts and the efficacy of
CSO controls. For example,
if the permit holder has
only developed the ``Maximum
use of the collection system
for storage'' minimum
control measure then the
permitting authority will
record ``2'' for this data
element. Likewise, if the
permit holder has developed
all nine minimum control
measures then permitting
authority will record 1, 2,
3, 4, 5, 6, 7, 8, and 9 for
this data element.
[[Page 64130]]
LTCP Submission and Approval Type This data element uses a 122.41(h), 122.43, 1.
unique code/description to 123.41(a) and CWA
identify whether the most section 402(q)(1),
recent version of the LTCP Combined Sewer
was received and approved by Overflow (CSO)
the permitting authority Control Policy (59
(e.g., most recent version FR 18688-18698, 19
of the LTCP was submitted by April 1994).
permit holder and was
approved by the permitting
authority, most recent
version of the LTCP was
submitted by permit holder
but has not yet been
approved by permitting
authority, permit holder is
required to submit a revised
LTCP but the permitting
authority has not yet
received the revised LTCP
from the permit holder,
permit holder has not yet
submitted a LTCP).
LTCP Approval Date............... This data element identifies 122.41(h), 122.43, 1.
the date when the permitting 123.41(a) and CWA
authority approved the most section 402(q)(1),
current version of the LTCP. Combined Sewer
This data element will be Overflow (CSO)
updated for each revision to Control Policy (59
the LTCP. The date must be FR 18688-18698, 19
provided in YYYY-MM-DD April 1994).
format where YYYY is the
year, MM is the month, and
DD is the day.
Enforceable Mechanism and This data element uses a 122.41(h), 122.43, 1.
Schedule to Complete LTCP and unique code/description to 123.41(a) and CWA
CSO Controls. identify whether the permit section 402(q)(1),
holder is on an enforceable Combined Sewer
schedule to complete all Overflow (CSO)
required LTCP and CSO Control Policy (59
controls and the type of FR 18688-18698, 19
enforcement mechanism. April 1994).
Actual Date Completed LTCP and This data element identifies 122.41(h), 122.43, 1.
CSO Controls. the date by which the permit 123.41(a) and CWA
holder completed section 402(q)(1),
construction and Combined Sewer
implementation of all Overflow (CSO)
currently required LTCP and Control Policy (59
CSO controls. This data FR 18688-18698, 19
element will be updated for April 1994).
each revision to the LTCP
and CSO controls. The date
must be provided in YYYY-MM-
DD format where YYYY is the
year, MM is the month, and
DD is the day.
Approved Post-Construction This data element uses a 122.41(h), 122.43, 1.
Compliance Monitoring Program. unique code/description to 123.41(a) and CWA
indicate whether the permit section 402(q)(1),
holder is currently Combined Sewer
implementing an approved Overflow (CSO)
post-construction compliance Control Policy (59
monitoring program. FR 18688-18698, 19
April 1994).
Other CSO Control Measures with This data element uses a 122.41(h), 122.43, 1.
Compliance Schedule. unique code/description to 123.41(a) and CWA
identify whether the permit section 402(q)(1),
holder has other CSO control Combined Sewer
measures specified in a Overflow (CSO)
compliance schedule, beyond Control Policy (59
those identified in the nine FR 18688-18698, 19
minimum controls, long-term April 1994).
CSO control plan (LTCP), or
a plan for sewer system
separation.
----------------------------------------------------------------------------------------------------------------
Pretreatment Information on NPDES Permit Application or Notice of Intent (this includes permit application data
required for all new and existing POTWs [40 CFR 122.21(j)(6)]
[Note: These data will be added or updated through the Annual Pretreatment Program Report, see 40 CFR 403.12(i),
as needed. It is also important to note that the `Associated NPDES ID Number' identifies the receiving POTW's
NPDES permit number for each industrial user.]
----------------------------------------------------------------------------------------------------------------
Pretreatment Program Required The unique code/description 122.28(b)(2)(ii), 1.
Indicator. that describes whether the 122.44(j).
permitted municipality is
required to develop or
implement a pretreatment
program (in accordance with
40 CFR 403).
Pretreatment Program Approval or The date the pretreatment 122.28(b)(2)(ii), 1.
Modification Date. program was approved or 403.8(a) and (b),
substantially modified. This 403.11.
data element can be system
generated by carrying
forward the most recent date
(approval or modification).
The date must be provided in
YYYY-MM-DD format where YYYY
is the year, MM is the
month, and DD is the day.
Pretreatment Program Modification The unique code describing 122.28(b)(2)(ii), 1.
Type. the type of substantial 403.8(a) and (b),
modification to a POTW 403.11, 403.18.
Pretreatment Program, which
includes the initial start
of a pretreatment program.
[[Page 64131]]
Industrial User Type............. The unique code/description 122.21(j)(6), 1, 2, 7.
that identifies the type of 122.28(b)(2)(ii),
each industrial user 122.44(j),
discharging to a POTW [e.g., 403.12(i).
Significant Industrial User
(SIU), Standard Categorical
Industrial Users (CIU), Non-
Significant Categorical
Industrial User (NSCIU), and
Middle Tier Categorical
Industrial User (MTCIU)].
This data element is at the
permit or control mechanism
level and is required for
each SIU, CIU, NSCIU, and
MTCIU. This data element
also applies to SIUs and
CIUs that discharge non-
domestic wastewater by
truck, rail, and dedicated
pipe or other means of
transportation to one or
more POTWs.
Significant Industrial User The unique code (e.g., 122.21(j)(6), 1, 2, 7.
Subject to Local Limits. ``Yes'', ``No'') that 122.28(b)(2)(ii),