United States
Environmental Protection
Agency
EPA831-F-93-001
May 1993
Wastewater Enforcement and Compliance
EN-338
v/EPA Permit Compliance
System
Public Access to PCS
Data Products
Significant NoncomplianceUst
Enforcement Action Information
'on
Made from 100% Recycled Paper
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NPDES
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Introduction
In today's climate of increasing awareness of environmental
issues, more and more organizations are seeking access to
Environmental Protection Agency (EPA) data. EPA is committed
to providing clear, accurate, timely information to the public in
usable forms. The Office of Wastewater Enforcement and
Compliance (OWEC) has put together this booklet to offer Permit
Compliance System (PCS) electronic data products to the public
through the National Technical Information Service (NTIS). These
data products are sets of information from the PCS data base
offered on diskette, magnetic tape, and gummed labels.
This booklet answers the questions:
• What Is PCS? (page 2)
• What Is NPDES? (page 2)
• What Are the PCS Data Types? (pages 4-5)
• What PCS Data Products Are Available? (pages 6-7)
• What Is NTIS? (page 9)
• How Can I Order PCS Data Products? (pages 10-12).
This booklet presents the data products with a brief description
of each. Also included are descriptions of the data types that make
up each data product. You may order PCS data products by using
the order form provided in this booklet on pages 11-12 or by calling
NTIS at 1-800-553-NTIS. ;
{
Also provided are—
• A list of data product order numbers and prices
(insert)
• Definitions of terms used in this booklet (page 3)
• An order form for PCS data products (pages 11-12),
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What Is PCS?
PCS is a national computerized management information sys-
tem that automates entry, updating, and retrieval of National
Pollutant Discharge Elimination System (NPDES) data and tracks
permit issuance, permit limits and monitoring data, and other data
pertaining to facilities regulated under NPDES. PCS was devel-
oped in 1974 and resides on a mainframe .computer at EPA's
National Computer Center (NCC) at Research Triangle Park (RTP)
in North Carolina. PCS records water-discharge permit data on
more than 64,000 facilities nationwide.
What Is NPDES?
The NPDES permit program regulates direct discharges from municipal and
industrial wastewater treatment facilities that discharge into the navigable
waters of the United States. Wastewater treatment facilities (also called "point
sources") are issued NPDES permits regulating their discharge. There are
approximately 49,000 industrial facilities (including commercial and manufac-
turing facilities) and approximately 15,000 municipal facilities, also known as
Publicly Owned Treatment Works (POTWs) regulated by NPDES.
NPDES plays a key role in the Clean Water Act's (CWA) water pollution pro-
grams. EPA's 10 Regional Offices and 39 States are authorized to implement
NPDES. These delegated authorities issue the NPDES permits, which specify
effluent limits and monitoring requirements for the point sources, track compli-
ance, and carry out enforcement actions.
PCS distinguishes between major and minor facilities, based on
the potential threat to human health or the environment. Factors
determining a facility's classification include the discharge amount
per day, the wastewater sources, and the population affected by the
discharge. Although all-facilities must obtain permits and provide
self-monitoring information, only major facilities must provide
complete sets of information to PCS. Minor facilities are required to
provide only facility and enforcement action information, but they
may provide more. The detailed data tracked in PCS include facil-
ity characteristics, discharge characteristics, compliance schedules,
permit conditions, inspections, and enforcement actions.
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The Clean Water Act in Brief
The CWA focuses on controlling and eliminating water pollution by reg-
ulating pollutants harmful to receiving waters and the sources
of the pollutants. Some of these regulated pollutants are:
• Suspended solids
• Nonconventional pollutants such as ammonia ;
• Toxic pollutants such as metals and toxic organic compounds.
To monitor compliance, States and Regional Offices conduct inspec-
tions and examine the Discharge Monitoring Reports (DMRs) submit-
ted by facilities as required by the NPDES permit. The gathered data is
entered into PCS by the EPA Regional Office, or by the State Offices.
Terms to Be Familiar With
Majors—Major facilities have a design or actual flow of one million gallons per
day (MGD) or greater, a service population of 10,000 or greater, or a significant
impact on water quality (i.e., with a potential for toxic discharge, located! close to
a drinking water intake, discharging into stressed receiving waters, or requiring
advanced treatment). Approximately 10 percent of all NPDES permits are
issued to major facilities. i
Minors—Minors are municipal and non-municipal facilities not meeting the
above requirements.
Municipals—Municipal facilities are Publicly Owned Treatment Works
(POTWs) that treat domestic wastewater as well as "indirect" wastes to sewers.
Non-municipals—Non-municipal facilities are wastewater treatment facilities,
other than POTWs, that discharge pollutants into U.S. waters. These facilities
can be federally or commercially owned.
Point Sources—Point sources are any sources discharging wastewater into
waters of the United States through a discrete conveyance, such as a pipe, or a
system of conveyances. Other NPDES facilities, although they do not have a
discrete discharge, (e.g., animal feed lots, fish farms, and other aquacultural
operations) are also point sources. All point sources require NPDES permits.
Significant Non-Compliance (SNC)—SNC are criteria used to identify impor-
tant violations or patterns of noncompliance. These criteria are used to establish
enforcement priorities and comply with special reporting requirements.
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What Are the PCS Data Types?
PCS tracks information for over 64,000 NPDES active permits.
The information for each of these permits is grouped into 12 cate-
gories or DATA TYPES. Within each DATA TYPE there are indi-
vidual data elements or data fields. The DATA TYPES resemble
smaller sub-data bases within PCS. Listed below are the PCS
DATATYPES.
PERMIT FACILITY—general
descriptive information on each
permitted facility (such as its name,
mailing address, and standard
industrial classification). Permit-
facility data elements occur once
only in a facility's permit file; data
elements of other data types may
occur more than once.
PERMIT EVENTS—information
tracking the events relating to the
issuance of a permit, from initial
receipt of the application for a per-
mit through actual permit issuance,
including the date of the permit
issuance, the date of permit expira-
tion, and the Public Notice Date.
PIPE-SCHEDULE—detailed infor-
mation describing each outfall
within a permitted facility and the
discharge monitoring requirements
associated with each (such as efflu-
ent waste type(s), treatment type(s),
and limit start and end dates—
which indicate when a facility may
discharge). Pipe-schedule-level
data elements typically occur as
many times in each permit file as
there are outfalls within the facility.
PARAMETER LIMITS—detailed
information specifying the moni-
toring requirements associated
with each outfall within a permit-
ted facility (such as the monitoring
location, the parameter to be moni-
tored, the required frequency of
analysis, and the quantity and con-
centration limits for each pollutant
and the acceptable units in which
they are reported). Parameter-lim-
its-level data elements typically
occur as often for each outfall as
there are parameters to be moni-
tored at that outfall.
MEASUREMENT VIOLATION—
detailed information on reported
measurement values for effluent
parameters including those that are
in violation of established limits for
the permit, the type of violation, the
reported number of excursions, the
actual measurement values, and the
percentage by which a measure-
ment exceeds quantity and/or con-
centration limits.
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COMPLIANCE SCHEDULE—
information related to a schedule
of milestone events that a permit-
ted facility must accomplish to
upgrade the quality of its effluent
discharge when such milestones
have been established as a condi-
tion of the facility's being granted a
permit or complying with an
enforcement action.
COMPLIANCE SCHEDULE
VIOLATION—information relat-
ed to violations of the compliance
schedule as it applies to a facility,
whether from failure to meet a
milestone date or failure to submit
required report data.
INSPECTION—information
describing inspections that have
been performed at a permitted
facility, including the date of the
inspection, the type of inspection,
and by whom it was performed.
PRETREATMENT AUDIT/PCI—
data related to Pretreatment
Audits/PCI Inspections contain-
ing detailed information about
pretreatment gathered as part of
the inspection.
ENFORCEMENT ACTION—data
related to enforcement actions that
have been taken in response to
violations of effluent parameter
limits, non-receipt of Discharge
Monitoring Reports (E>MRs), or
compliance schedule milestones.
Enforcement action data include
the events in violation and the dates
of occurrence, the type of enforce-
ment action(s) and the dates they
were taken, and the current status
of each action. ;
EVIDENTIARY HEARING—data
related to evidentiary hearings held
when permittees wish to appeal or
negotiate limits or compliance
schedule requirements.
PRETREATMENT PERFOR-
MANCE SUMMARY (PI'S)—infor-
mation gathered as a p>art of the
Pretreatment Annual Report.
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What PCS Data Products Are Available?
The following sets of information currently are available through NTIS.
These are the most commonly requested types of data contained in PCS. In
general, regional data is available on diskette and national data is available on
magnetic tape. Only the SNC List varies from this format. The SNC List for
the entire Nation is provided on diskette. All information on both diskette
andmagnetic tape is provided in ASCII format:. NTIS order numbers and PCS
data product prices are provided as an insert to this booklet. Please call 1-800-
553-NTTS to order, or fill out the order form on pages 11-12 and send it to the
NTIS address listed on page 10.
FACILITY MAILING ADDRESS INFORMATION AND LABELS —This
product contains primary mailing address information for all active
permitted facilities (majors and minors) for the most recent year.
Information for an EPA Region (both majors and minors) is avail-
able on 3.5" and 5.25" diskettes and gummed labels. Information for
the entire Nation (majors or minors) is available on 1600 bpi mag-
netic tape and gummed labels. This data is updated annually. This
product contains data from the PERMIT FACILITY data type.
GENERAL FACILITY AND PERMIT INFORMATION—This product
contains general facility and permit events (e.g., issuance and expi-
ration dates, etc.) for all active permitted facilities for the most recent
year. Information for an EPA Region is available on 3.5" and 5.25"
diskettes. Information for the entire Nation is available on 1600 bpi
magnetic tape. This data is updated annually. This product contains
data from the PERMIT FACILITY and PERMIT EVENTS data types.
CURRENT EFFLUENT LIMITS—This product contains information
describing each outfall for major active permitted facilities and the
associated outfall permit requirements for the current NPDES per-
mit. Information for an EPA Region is available on 3.5" and 5.25"
diskettes. Information for the entire Nation is available on 1600 bpi
magnetic tape. This data is updated annually. This product contains
data from the PERMIT FACILITY, PIPE-SCHEDULE, and PARAMETER LIM-
ITS data types.
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SIGNIFICANT NON-COMPLIANCE (SNC) LIST—lids product
contains a list of major permittees currently in SNC for the most
recent quarter. Information for the entire Nation is available on
3.5" and 5.25" diskettes. The SNC list is updated quarterly. This
product contains data from the PERMIT FACILITY and COMPLIANCE
SCHEDULE VIOLATION data types.
ENFORCEMENT ACTION INFORMATION—This product con-
tains information regarding actions taken in response to violations
of effluent parameter limits, non-receipt of DMR or Compliance
Schedule Reports, or compliance schedule milestones for all active
permitted facilities. This data covers the most recent 2-year peri-
od. Information for an EPA Region is available on 3.5" and 5.25"
diskettes. This data is updated annually. This product contains
data from the PERMIT FACILITY and ENFORCEMENT ACTION data
types.
COMPLIANCE SCHEDULE INFORMATION—This product con-
tains information regarding a set of required compliance events
(milestones a permitted facility must accomplish to upgrade the
quality of its effluent discharge when such milestones have been
established as a condition for granting a permit, or in response to
an enforcement action) for all active permitted facilities. This data
covers the most recent 2-year period. Information for an EPA
Region is available on 3.5" and 5.25" diskettes. This data will be
updated annually. This product contains data from Ithe PERMIT
FACILITY and COMPLIANCE SCHEDULE datatypes.
FACILITY INSPECTION INFORMATION—This product contains
information regarding inspections for all active permitted facili-
ties. This data covers the most recent 2-year period. Lriformation
for an EPA Region is available on 3.5" and 5.25" diskettes. This
data is updated annually. This product contains data from the
PERMIT FACILITY and INSPECTION data types.
Gummed
Labels (GL)
3.5"
Diskette (3D)
5.25"
Diskette (5D)
Magnetic
Tape (MT)
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_8 " '_
More About PCS
In addition to maintaining NPDES permit applications and
issuance status information, PCS also stores data relating to inspec-
tions, effluent limitations, DMR, and enforcement actions. Finally,
PCS forecasts due dates for reports related to compliance schedule
events, automatically detects effluent and compliance schedule vio-
lations, and produces management reports relating to all of the above
information. These reports allow regulatory authorities to maintain
an overview of the NPDES Program.
What Are Some Common Uses of PCS Data?
There are many different uses of PCS data, from informing
newsletter readers of facilities in non-compliance to assisting in citi-
zen suits. Listed below are some of the ways in which PCS data can
be used.
• In newsletters, to inform readers of facilities in non-compliance
or facilities having enforcement actions taken against them.
• In citizen suits and enforcement actions, to establish compliance
of non-compliance.
• In performing Phase I environmental assessments for lending
institutions, ensuring that facilities are under applicable regula-
tions and investigating .the waters surrounding the facility.
• In data networks, to promote dialogue and provide technical
training and information to the environmental community.
• In public interest groups, to assist in litigation,
lobbying, and public and media education through written
materials and press conferences.
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Public access to PCS data is provided through the Freedom of
Information Act (FOIA). In the past, requests for PCS information
were taken through the FOIA office, either at the Regional Offices or
at Headquarters. Now the most commonly requested data products
are available through NTIS. These data products are those listed on
pages 6-7. :
If you do not find the data to fit your needs listed on these pages,
please contact your Regional or Headquarters FOIA representative
for information on additional data or specialized requests. The
Regions are outlined in the map on page 10. Addresses for the
Regional and Headquarters FOIA representatives are provided on
the back inside cover.
What Is NTIS?
The National Technical Information Service, a self-supporting com-
ponent of the Department of Commerce, is the largest single source
of public access to federally produced information. Established by
Harry S Truman in 1945, its original function was to review all gov-
ernment-generated scientific and technical documents and deter-
mine which were fit for public release. NTIS then became a clear-
inghouse for the distribution of scientific, technical, and engineering
information. NTIS's original focus on scientific and technical infor-
mation has expanded to include business, health, and statistical
information.
NTIS sells publications as well as information in electronic formats.
Additionally, NTIS offers online access to certain EPA systems by
providing an account to EPA's mainframe at NCC. Private compa-
nies, corporations, and individuals can make requests for online
access directly to NTIS.
NTIS is a unique government agency that receives no appropriated
funds and is sustained only by its sales revenues.
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10
How Can I Order PCS Data Products?
To order PCS data products you may either call NTIS or fill out the
order form on pages 11 and 12 and mail it to the NTIS address pro-
vided. When filling out the order form please be sure to specify the
media on which you would like your data (GL, 3D, 5D, or MT).
NTIS order numbers are provided on the insert sheet in this booklet.
Refer to pages 6-7 to determine which media types are available for
the product(s) you wish to order. Your data product(s) will be
accompanied by documentation describing the data product and its
data fields. The NTIS address is as follows:
U.S. Department of Commerce
Technology Administration
National Technical Information Service
Springfield, Virginia 22161
Phone: 703 487-4650 or FAX the order .form: 703 321-8547
For Rush Service—1-800-553-NTIS
EPA Regions
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EPA FOIA Offices
If you do not find the data to fit your needs listed in this book-
let, you may contact your Regional or Headquarters Freedom of
Information Act (FOIA) representative at the following addresses:
HEADQUARTERS,
FOI Office - A101
U.S. EPA
401 M Street, SW.
Washington, DC 20460
REGION 1
John F. Kennedy Federal Bldg.
Boston, MA 02203
REGION 2
26 Federal Plaza
New York, NY 10278
REGION 3
841 Chestnut Street
Philadelphia, PA 19107
REGION 4
345 Courtland Street, NE.
Atlanta, GA 30365
REGION 5
77 West Jackson Blvd.
Chicago, IL 60604
REGION 6
1445 Ross Avenue
Dallas, TX 75202-2733
REGION 7
726 Minnesota Avenue
Kansas City, KS 66101
REGION 8
One Denver Place
999 18th Street
Denver, CO 80202-2405
REGION 9
75 Hawthorne Street
San Francisco, C A 94105
REGION 10
1200 6th Avenue
Seattle, WA 98101
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