40
Parts 100 to 135
Revised as of July 1,2004
Protection of Environment

-------
40
Parts 100 to 135
Revised as of July 1, 2004
Protection of
Environment
Containing a codification of documents
of general applicability and future effect

As of July 1, 2()(H

With Audi Ictries

Published by
Office of the Federal Register
National Archives and Records
Administration
A Special Edition of the Federal Register

-------
                          U.S. GOVERNMENT PRINTING OFFICE
                                   WASHINGTON: 2004
          For sale by the Superintendent of Doiumer.ts. T.'.s. Government PriniinK Office
Internet: bookstot-e.gpo.gov    Phone: toll-free (866) 512-1BOO: DC area '202) 512-1800   Fax: >202i 512-2250
                          Mail: Stop S8OP. Washington. DC 20402 0001

-------
           Table  of  Contents

                                                        Page
Explanati on	     v
Title 40:


     Chapter I—Environmental Protection Agency (Continued) 	     3


Finding Aids:



   Material Approved for Incorporation by Reference 	    519


   Table of CFR Titles and Chapters 	    521



   Alphabetical List of Agencies Appearmtr in the CFR	    539


   List of CFR Sections Affected	    549
                            111

-------
Cite this Code:  CFR

To cite the regulations in
  this volume use title,
  part and section num-
  ber. Thus, 40 CFR 100.1
  refers to title 40, part
  100, section 1.
            IV

-------
                               Explanation
  The Code of Federal Regulations is a codification of the general and permanent
rules published in the Federal Register by the Executive departments and agen-
cies of the Federal Government. The Code is divided into 50 titles which represent
broad areas subject to Federal regulation. I3aeh title is divided into chapters
which usually bear the name of the  issuing- agency.  Each chapter is further sub-
divided into parts covering specific regulatory areas.
  Each volume of the Code is revised at least  once each calendar year and issued
on a quarterly basis approximately as follows:
     Title 1 through Title 16	as of January 1
     Title 17 through Title 27	as of April 1
     Title 28 through Title 41	,	as of July 1
     Title 42 through Title 50	as of October 1
  The appropriate revision date is printed on the cover of each volume.
LEGAL STATUS
  The contents of the Federal  Register are required to  be judicially noticed (44
U.S.C. 1507). The  Code of Federal Regulations  is prim a facie evidence of the text
of the original documents (44 U.S.C. 1510).
HOW TO  USE THE CODE OF FEDERAL REGULATIONS
  The Code of Federal Regulations  is kept up to dale by the individual issues
of the Federal Register. These  two publications must, be used together to deter-
mine the latest version  of any given rule.
  To determine whether a  Code volume has been amended since its revision date
(in  this case.  July 1. 2004), consult  the "List of CFR Sections  Affected  tLSA)."
which is  issued monthly, and. the "Cumulative List of Parts Affected." which ap-
pears in  the Reader Aids section  of the daily Federal Register. These two lists
will identify the  Federal Register page number of the latest amendment of any-
given rule.
EFFECTIVE AND EXPIRATION DATES
  Each volume of the Code contains amendmems published in the Federal Reg-
ister since the last revision of that volume  of  the Code. Source citations for
the regulations are referred to by volume number and page number of the  Federal
Register  and date of publication.  Publication dates and effective  dates are usu-
ally not  the same  and care must be exercised by the user  in  determining the
actual effective  date. In instances where  the effective  date is  beyond the cut-
off  date  for the  Code a note has been inserted to reflect the future effective
date. In  those instances where a regulation  published  in the Federal Register
states a date certain for expiration, an appropriate note wil] be inserted following
the text.
OMB CONTROL NUMBERS
  The Paperwork Reduction Act of 1980 (Pub.  L. 96-51.1) requires  Federal agencies
to display  an OMB control number  with  their information collection request.

-------
Many agencies have begun publishing numerous OMB control numbers as amend-
ments to existing regulations in the CFR.  These OMB  numbers are placed as
close as possible to the applicable recordkeeping- or reporting requirements.
OBSOLETE PROVISIONS
  Provisions that become obsolete before the  revision date stated on the cover
of each volume  are not carried. Code users may find the  text of provisions in
effect  on a given date in the past by using the appropriate  numerical list of
sections affected. For the period before  January 1,  2001.  consult either  the  List
of CFR Sections Affected. 1949-1963. 1964-1972.  1973-1985, or 1986-2000. published
in 11 separate volumes. For the period beginning January 1. 2001. a "List of  CFR
Sections Affected" is published at the end of each CFR volume.
INCORPORATION BY REFERENCE
  What is incorporation by reference,? Incorporation by reference was established
by statute and allows Federal agencies to meet the requirement to publish regu-
lations in the Federal Register by  referring  to materials already published else-
where. For an incorporation  to  be valid, the  Director of  the Federal  Register
must approve it. The  legal effect of incorporation by reference is that the mate-
rial is treated as if it  were published in full  in the Federal Register (5 U.S.C.
552(a)). This material, like any other properly issued  regulation, has the force
of law.
  What is a proper incorporation by reference? The Director of the Federal  Register
will approve an  incorporation by reference only when the requirements of 1  CFR
part 51 are met.  Some of the elements on which approval is based are:
  (a) The incorporation will  substantially reduce the volume of material  pub-
lished in the Federal Register.
  (b) The matter incorporated  is  in fact available to the extent necessary to
afford fairness and uniformity in the administrative process,
  (c) The incorporating document is drafted  and submitted for  publication in
accordance with 1 CFR part 51.
  Properly  approved incorporations by reference in  this volume are listed in the
Finding Aids at  the end of this volume.
  What if the material incorporated  by reference cannot be  found? If you have any
problem locating or obtaining- a copy of material listed in the Finding Aids of
this volume as an approved incorporation by reference, please contact the agency
that issued  the regulation containing that incorporation. If, after contacting the
agency, you find the  material is not available, please notify the Director of the
Federal Register, National Archives and  Records Administration, Washington DC
20408, or call (202) 741-6010.
CFR INDEXES AND TABULAR GUIDES
  A  subject index to  the  Code of Federal Regulations is contained in a  separate
volume, revised  annually as of January 1, entitled CFR INDEX AND FINDING AIDS.
This volume contains the Parallel Table  of Statutory Authorities and Agency
Rules  (Table  I). A list of CFR titles, chapters, and  parts and an  alphabetical
list of agencies publishing in the CFR are also included in this volume.
  An index to the text of "Title 3-—The President" is carried within that volume.
  The Federal Register Index is issued monthly in  cumulative form. This index
is based on a consolidation of the "Contents" entries in the daily Federal Register,
  A  List of CFR Sections Affected (LSA) is  published  monthly,  keyed to the
revision dates of the 50 CFR titles.
REPUBLICATION OF MATERIAL

                                     vi

-------
  There are no restrictions on  the  republication of material appearing'  in the
Code of Federal Regulations.
INQUIRIES
  For  a legal  interpretation or explanatiun of any regulation in this volume.
contact the  issuing' agency. The issuing' agency's name appears at the  top  of
odd-numbered pages.
  For  inquiries concerning CFR reference assistance, call 202-741 6000  or write
to the Director. Office of the  Federal Register. National  Archives  and Records
Administration. Washington. DC 20408 or e-mail fedreg.infofanara.gov.
SALES
  The  Government Printing Office (GPG) processes all sales and  distribution  of
the CFR. For payment by credit card, call toll free.  866 512-1800 or DC area. 202-
512-1800. M F.  8 a.m. to 4 p.m. e.s.t.  or fax your  order to 202-512-2250.  24 hours
a day.  For payment by check, write to the Superintendent of Documents, Attn:
New Orders.  P.O. Box 371954, Pittsburgh.  PA 15250  7954. For GPO Customer Serv-
ice call 202-512-1803.
ELECTRONIC SERVICES
  The  full text of the  Code of Federal Regulations, The United States Govern-
ment Manual, the Federal Register. Public I jaws. Public Papers. Weekly Compila-
tion of Presidential Documents  and the  Privacy Act Compilation are  available
in electronic format at www.access.gpo.gov nara ("GPO Access"). For more infor-
mation, contact Electronic Information  Dissemination Services, U.S.  Govern-
ment  Printing Office. Phone  202 512 1530. or  888-293 6498  (toll-free).  E-mail.
gpoaccessitfgpo.gov.
  The  Office of the Federal Register also offers a free service  on the National
Archives and Records  Administration's (NARA) World Wide Web  site for  public
law numbers, Federal  Register  finding aids,  and related  information.  Connect,
to NARA's web site at www.archives.gov federal  register'. The NARA site  also
contains links to GPO Access.

                                                   RAYMOND A. MOSLEY.
                                                                 Director,
                                                 Office of the Federal Register.
  July  1, 2004.
                                     Vll

-------

-------
                                 THIS TITLE

  Title 40—PROTECTION OF ENVIRONMENT is  composed of twenty-nine volumes.
The parts in these volumes are arranged in the following order: parts 1 49. parts
50-51, part 52 (52.01-52.1018), part 52 (52.1019-End),  parts 5$-59. part 60 (60.1-End).
part 60 (Appendices), parts 61-62, part 63 (63.1-63.599). part 63 (63.600-1-63.1199). part
63 (63.1200-63.1439). part 63 (63.1440-End) parts 64-71. parts 72-80. parts 81-85. part
86 (86.1-86.599-99) part 86 (86,600-1-Endi. parts 87-99, parts 100-135. parts 136-149.
parts 150-489. parts 190-259, parts 260-265. parts  266-299,  parts 300-399. parts 400-
424. parts 425-699, parts 700-789, and part 790 to End. The contents of these volumes
represent all current regulations codified under this title of the CPR as of July
1. 2004.

  Chapter I—Environmental Protection Agency  appears in all twenty-eight vol-
umes. An alphabetical Listing of Pesticide Chemicals Index appears in parts ISO-
IBS. Regulations issued by the Council on Environmental Quality appear in the
volume containing part 790 to End. The OMB control numbers for title 40 appear
in §9.1 of this chapter.

  For this volume. Elmer Barksdale was Chief Editor.  The Code of Federal Regu-
lations  publication program is under  the direction of  Prances D. McDonald, as-
sisted bv Alomha S, Morris.
                                     IX

-------
Would  you  like  to

know...

if any changes have been made to the Code
of Federal Regulations or what documents
have been published in the Federal Register
without reading the Federal Register every
day? If so, you may wish to subscribe to the
LSA (List of CFR Sections Affected), the
Federal Register Index, or both.

LSA
The LSA (List of CFR Sections Affected) is
designed to lead users of the Code of Federal
Regulations to amendatory actions published in
the Federal Register. The LSA is issued monthly in
cumulative form. Entries indicate the nature of the
changes—such  as revised, removed, or corrected.
$31 per year.

Federal Register Index
The index, covering the contents of the daily
Federal Register, is issued monthly in cumulative
form. Entries are carried primarily under the names
of the issuing agencies. Significant subjects are
carried as cross-references.
$28 per year.

A finding aid is included in each publication which
lists Federal Register page numbers with the date
of publication in the Federal Register.
           Superintendent of Documents Subscription Order Form
 ^     '
Street acidress
       >, send me the following indicated subscriptions for one year;
	LSA (List of CFR Sections Affected), (LCS) for $31 per year.
	Federal Register Index (FRSU) $28 per year.

                        (Includes regular shipping and handling.)

                        For privacy check box below:
                        _! Do rot make my name available to other mailers
                        Check method of payment:
                        _] Check payable to Superintendent of Documents

                                                         n-n
C;ty, State, ZIP code
Daytime phcne witn area code
Purchase order No
   Fax your orders (202) 512-2250
Phone your orders (202) 512-1800
J GPO Deposit Account |_

i_) VISA G MasterCard I	I	LJ_J (expiration date)



Cred:t card No.                  (must be 20 digits)

                  Thank you for your order!



Authorizing signature                        TOO

Mail To: Superintendent of Documents
       P.O. Box 371954
       Pittsburgh, PA 15250-7954

-------
  Title  40—Protection  of
        Environment
         (This book contains parts 100 to 135 >
                               Part

CHAPTER I—Environmental Protection Agency (Continued)  104

-------

-------
   CHAPTER I—ENVIRONMENTAL  PROTECTION
               AGENCY  (CONTINUED)
 EDITORIAL NOTE: Nomenclature change:-' to chapter I appear at  FR 47324. 47325, Aug. 2,
2000: 66 PR 84375, 34376. June 28. 2001.

               SUBCHAPTER D—WATER PROGRAMS

Part                                                      Page
100     [Reserved]
104     Public hearings on effluent standards for toxic pol-
          lutants	    5
105     Recognition awards under the Clean Water Act .....   11
108     Employee protection hearings	   14
109     Criteria for  State, local  and  regional oil removal
          contingency plans  	   15
110     Discharge of oil ..	,	   17
112     Oil pollution prevention 	   19
113     Liability limits for small onshore storage facilities  106
116     Designation  of hazardous substances 	  108
117     Determination  of  reportable quantities for haz-
          ardous substances	  118
121     State certification of activities requiring a Federal
          license or permit 	  126
122     EPA administered permit programs:  The national
          pollutant discharge elimination system  	  131
123     State program requirements  	,	  240
124     Procedures for decisionmaking	  268
125     Criteria and standards for the national pollutant
          discharge elimination system 	,	  295
129     Toxic pollutant effluent standards	  339
130     Water quality planning and management 	  349
131     Water quality standards	,	  364
132     Water quality guidance for the Great Lakes Sys-
          tem 	  445
133     Secondary treatment regulation 	  508
135     Prior notice  of citizen suits 	  512

-------

-------
               SUBCHAPTER  D—WATER PROGRAMS
        PART 100 [RESERVED]

PART  104—PUBLIC  HEARINGS  ON
  EFFLUENT STANDARDS FOR TOXIC
  POLLUTANTS

Sec.
104.1  Applicability.
104.2  Definitions.
104.3  Notice  of hearing": objection: public
   comment.
104.4  Statement of basis and purpose.
104.5  Docket and record.
104.6  Designation of Presiding' Officer.
104.7  Powers of Presiding" Officer.
104.8  Prehearing' conferences.
104.9  Admission of evidence.
104.10  Hearing'procedures.
104.11  Briefs and finding's of fact.
104.12  Certification of record.
104.13  Interlocutory  and post-hearing  re-
   view of rulings of the Presiding Officer:
   motions.
104.14  Tentative and final decision by  the
   Administrator.
104.15  Promulgation of standards.
104.16  Filing- and time.
  AUTHORITY:  Sees. 501 and 3Q7(a> of the Fed-
eral Water Pollution Control Act. as amend-
ed (33 U.S.C.  1251 et spg.. Pub. L.  92-500. 86
Stat, 816),
  SOfHCE: 41 FR 17902. Apr. 29. 1976, unless
otherwise noted.

§ 104.1   Applicability.
  This part shall be applicable to hear-
ings required by statute to "be held in
connection with the  establishment of
toxic  pollutant   effluent  standards
under section 307(a) of the Act.

§ 104.2   Definitions,
  As used in this part, the term:
  (a) Act means the Federal Water Pol-
lution  Control Act,  as  amended.  33
U.S.C.  1251 et seq..  Public Law 92-500. 86
Stat. 816.
  (b) Administrator means the Adminis-
trator  of the Environmental Protection
Agency, or any employee of the Agency
to whom the  Administrator  may  by
order delegate his authority to carry
out his functions under  section 307(a)
of the  Act, or any person who shall by
operation of  law be authorized to carry
out such functions.
  (O Agency means the Environmental
Protection Agency.
  ids Hearing Clerk means the Hearing
Clerk.  U.S. Environmental Protection
Agency. 401 M Street SW., Washing-ton.
DC 20460.
  ie) Party  means the Environmental
Protection Agency as the  proponent of
an effluent standard  or standards, and
any person who files? an objection pur-
suant to §104.3 hereof.
  if) Person means an individual, cor-
poration,    partnership.   association.
state,  municipality or other  political
subdivision of a state, or any interstate
body.
   of the Act.
  (h) Presiding Officer means the Chief
Administrative Law Judge of the Agen-
cy or a person designated by  the Chief
Administrative Law  Judge or by  the
Administrator to  preside  at a hearing
under  this  part,  in   accordance with
§ 104.6 hereof.

§ 104.3  Notice  of  hearing;  objection;
   public comment.
  (a! Notice of hearing.  Whenever  the
Administrator  publishes  any proposed
effluent  standard, he shall   simulta-
neously publish  a notice of  a  public
hearing to be held within thirty days
following  the date of publication of the
proposed standard. Any person who has
any  objection to  a proposed standard
may file with the hearing clerk  a con-
cise  statement of any such objection.
No person may participate in the hear-
ing- on the proposed toxic pollutant ef-
fluent  standards  unless  the  hearing
clerk has  received within 25 days of the
publication of  the notice of  the pro-
posed standards a  statement of objec-
tion as herein described. In exceptional
circumstances  and  for   good   cause
shown  the Presiding  Officer may allow
an objection to be filed after the filing
deadline  prescribed  in  the preceding-
sentence,  which  good cause  must in-
clude at a minimum  lack of actual no-
tice on the part of the objector  or any

-------
§104.4
          40 CFR Ch. I (7-1-04 Edition)
representative  of such  objector of the
proposed standards despite his exercise
of due diligence, so long as such  later
filing will not cause undue delay in the
proceedings or prejudice to any of the
parties.
  (b) Objections, Any objection to a pro-
posed standard which is filed pursuant
to paragraph  (a) of this section  shall
meet the following requirements:
  (1) It shall be filed in triplicate with
the hearing clerk within the time pre-
scribed in paragraph (a) of this section;
  (2) It  shall state concisely  and  with
particularity each  portion of the pro-
posed standard to  which  objection is
taken; to the greatest extent feasible it
shall state the  basis for such objection:
  (3) To the greatest extent feasible it
shall (i) state specifically the objec-
tor's proposed modification to any such
standard proposed  by  the  Agency  to
which objection is taken, (ii) set  forth
the reasons why such  modification is
sought,  and (iii) identify and describe
the scientific or other basis for  such
proposed modification,  including ref-
erence to any pertinent scientific data
or authority in support thereof.
Any objection which fails to comply
with the foregoing provisions shall not
be accepted  for  filing.  The Presiding
Officer shall promptly notify any per-
son whose objection is not accepted for
any of the reasons set forth in this sec-
tion, stating the reasons therefor.
  (c) Data in support of objection or modi-
fication. In  the  event that the time pre-
scribed  for  filing objections  pursuant
to paragraphs (a) and (b) of this section
is insufficient  to permit an objecting
party to fully  set forth with such ob-
jection the basis therefor together with
the information and data specified in
paragraph (b)(3) of this section, he may
so state at the time  of the filing of
such objection, and file a more  com-
plete statement of such basis, informa-
tion, and data (hereinafter referred to
as  "supplemental  data")  within  the
time prescribed by this paragraph (c).
The   supplemental  data  herein  de-
scribed shall be filed not later than 40
days following publication of the pro-
posed effluent standards.
  (d)  Public  comment.  The notice  re-
quired under paragraph (a) of this sec-
tion shall also provide  for the submis-
sion to the Agency of written  com-
ments on the proposed rulemaking by
interested persons not filing objections
pursuant to this section as herelnabove
described, and hence not  participating
in the hearing as parties.  The notice
shall  fix a time  deadline for the sub-
mission of such comments which shall
be not later than the date set for com-
mencement of the hearing. Such com-
ments shall be received in evidence at
the commencement of the hearing. The
Administrator in making any decision
based upon the  record shall take into
account the unavailability of cross-ex-
amination  in determining  the  weight
to be accorded such comments.
  (e5 Promulgation in absence of objec-
tion. If no objection is filed pursuant to
this section, then the Administrator
shall promulgate the final standards on
the basis of the Agency's statement of
basis and purpose and any public com-
ments received pursuant  to paragraph
id) of this section.

§ 104,4 Statement of basis and purpose.
  Whenever  the  Administrator  pub-
lishes a proposed effluent  standard, the
notice thereof published  in the FED-
ERAL  REGISTER  shall include a state-
ment  of  the basis and purpose of the
standard or a summary thereof.  This
statement shall include:
  (a)  The  purpose   of  the  proposed
standard:
  tb> An explanation of how the pro-
posed standard was derived;
  (c) Scientific and technical  data  and
studies supporting the proposed stand-
ard or references  thereto if the mate-
rials are  published or otherwise readily
available: and
  (d) Such other information as may be
reasonably required to set  forth fully
the basis of the standard.
Where the  notice of the proposed rule-
making summarizes the full statement
of basis  and purpose, or incorporates
documents by reference, the documents
thus summarized or incorporated  by
reference  shall  thereupon  be  made
available by the Agency for inspection
and copying by any interested person.

S 104.5 Docket and record.
  Whenever  the  Administrator  pub-
lishes  a  notice  of hearing  under this
part, the hearing clerk shall promptly
establish a docket for the hearing. The

-------
Environmental Protection Agency
                               §104.6
docket shall include all written objec-
tions filed  by any  party,  any  public
comments   received    pursuant   to
§ 104.3(.d).  a  verbatim transcript  of the
hearing,   the  statement  of basis  and
purpose  required  by  §104.4,  and  any
supporting   documents  referred   to
therein, and other documents of exhib-
its that may be received in  evidence or
marked for  identification by or  at the
direction  of the  Presiding  Officer, or
filed by any party in  connection with
the hearing. Copies of documents in the
docket shall be available to any person
upon payment to  the Agency of such
charges as the Agency  may prescribe to
cover the costs of duplication. The ma-
terials contained  in  the docket shall
constitute the record.

§104.6 Designation of Presiding Offi-
    cer.
  The Chief Administrative Law Judge
of the Agency may preside personally
at any hearing under  this  part, or he
may designate another Administrative
Law Judge as Presiding Officer for the
hearing.  In  the event  of the unavail-
ability of any such Administrative Law
Judge,  the   Administrator  may des-
ignate a  Presiding Officer. No person
who has any personal  pecuniary inter-
est in the  outcome  of  a  proceeding
under  this  part, or who has  partici-
pated in  the development  or  enforce-
ment  of  any  standard or  proposed
standard at  issue in a  proceeding here-
under, shall serve as Presiding Officer
in such proceeding.

§ 104.7 Powers of Presiding Officer,
  The Presiding Officer  shall have the
duty to conduct a  fair hearing within
the time  constraints  imposed by sec-
tion 307(a) of the Act. He shall  take all
necessary action to avoid delay and to
maintain  order. He shall have all pow-
ers necessary to these ends, including
but not limited to the power to:
  (a) Rule upon motions and requests;
  (b) Change the time  and place  of the
hearing, and adjourn the hearing from
time to time or from place to place:
  (c) Examine and cross-examine wit-
nesses;
  (d) Admit  or exclude  evidence; and
  (e) Require any part  or all of the evi-
dence to  be submitted in writing and
by a certain date.
§ 104.8  Prehearing conferences,
  Prehearing  conferences  are encour-
aged for the purposes of simplification
of issues, identification and scheduling
of evidence and  witnesses, the estab-
lishment  of an orderly framework for
the proceedings,  the expediting of the
hearing, and such  other purposes of a
similar nature as may be appropriate.
  (a) The Presiding Officer on his own
motion may. and at the request of any
party made within 20 days of the pro-
posal of standards  hereunder  shall, di-
rect all parties to appear at a specified
time  and place for an  initial hearing
session in the nature  of a prehearing
conference. Matters taken up at  the
conference may include, without limi-
tation:
  (1) Consideration and  simplification
of any issues of law or fact;
  (2)  Identification, advance  submis-
sion,  marking for  identification,  con-
sideration of any objections  to admis-
sion,  and  admission  of  documentary
evidence;
  (3) Possible stipulations of fact:
  (4) The identification of each witness
expected  to be called by  each party.
and the nature and  substance  of his ex-
pected testimony;
  (5)  Scheduling of  witnesses where
practicable, and limitation of  the num-
ber of witnesses  where appropriate in
order to avoid delay or repetition;
  (6) If desirable,  the segregation of the
hearing into separate segments for dif-
ferent provisions  of the proposed efflu-
ent standards  and the establishment of
separate service lists;
  (7) Encouragement of objecting par-
ties to  agree  upon  and designate lead
counsel for objectors with common in-
terests so as to avoid repetitious ques-
tioning of witnesses.
  (b)  The  Presiding Officer may. fol-
lowing a  prehearing conference, issue
an order setting  forth the agreements
reached by the parties or representa-
tives, the schedule  of witnesses, and  a
statement, of issues for the hearing. In
addition such  order  may direct the
parties to file  and serve copies of docu-
ments or materials, file and serve  lists
of witnesses which may include a short
summary of the expected testimony of
each and, in the case of an expert wit-
ness,  his  curriculum vitae.  and  may
contain such other directions as  may

-------
§104.9
          40 CFR Ch. 1 (7-1-04 Edition)
be appropriate  to  facilitate  the pro-
ceedings.

§ 104.9  Admission of evidence.
  (a)  Where the  Presiding  Officer has
directed identification of witnesses and
production of documentation evidence
by a certain date, the Presiding Officer
may  exclude  any  such  evidence,  or
refuse to allow any witness to testify,
when the witness was not identified or
the document  was not  served  by the
time  set by the Presiding- Officer. Any
such direction with respect  to a party's
case in chief shall not preclude the use
of such evidence or  testimony on rebut-
tal or response, or  upon  a showing' sat-
isfactory to the  Presiding Officer that
good  cause existed  for failure to serve
testimony or a document or identify a
witness by the time required. The Pre-
siding Officer  may  require direct testi-
mony to be in writing under oath and
served by a certain date, and may ex-
clude testimony not so served.
  (b)  At  the  first  prehearing con-
ference, or at another time before the
beginning- of the taking of oral testi-
mony to be set by the Presiding Offi-
cer,  the statement of basis  and pur-
pose,  together with any publications or
reference  materials cited  therein, ex-
cept  where excluded  by   stipulation,
shall  be received in evidence.
  (c) The Presiding  Officer may exclude
evidence which  is  immaterial,  irrele-
vant, unduly repetitious or cumulative,
or  would  involve  undue   delay,  or
which,  if hearsay,  is  not  of the  sort
upon  which responsible persons are ac-
customed to rely,
  (d) If relevant  and material evidence
is contained in a report or document
containing  immaterial  or  irrelevant
matter, such immaterial or irrelevant
matter may be excluded.
  (e) Whenever written testimony or a
document or  object is  excluded from
evidence by  the Presiding Officer,  it
shall  at the request of the proponent be
marked for identification.  Where  oral
testimony  is  permitted by  the Pre-
siding Officer, but the Presiding Officer
excludes particular oral  testimony, the
party  offering  such  testimony may
make a brief offer of proof.
  (f) Any relevant  and material docu-
mentary evidence,  including but not
limited to  affidavits,  published arti-
cles, and official documents, regardless
of the availability of the affiant or au-
thor for cross-examination, may be ad-
mitted in evidence, subject to the pro-
visions of paragraphs (a), (cl. and (d) of
this section. The  availability  or non-
availability of cross-examination shall
be considered as affecting the weight to
be accorded such evidence  in any deci-
sion based upon the record.
  (E?) Official notice may be taken  by
the Presiding Officer or the Adminis-
trator of any matter which could be ju-
dicially noticed in the United States
District  Courts,   and of  other facts
within the  specialized knowledge and
experience  of  the Agency. Opposing
parties shall be given adequate oppor-
tunity to show the contrary.

§ 104.10  Hearing procedures.
  ta) Following  the admission in evi-
dence of  the materials  described  in
§104,9(1)).  the  Agency shall have  the
right at  the  commencement of  the
hearing to supplement that evidence or
to  introduce  additional relevant evi-
dence. Thereafter  the evidence of each
objector  shall be presented in support
of its objection and any proposed modi-
fication. The Agency staff shall then be
given an  opportunity to rebut or re-
spond to  the  objectors' presentation,
including at its option the introduction
of evidence which tends to support a
standard or standards other than as set
forth in the Agency's own initially pro-
posed standards. In the event that evi-
dence  which  tends  to  support  such
other standard or standards is offered
and received in evidence, then the ob-
jectors may thereafter rebut or respond
to any such new evidence.
  (b) The burden  of proof as to any
modification of any standard proposed
by  the Agency shall be upon the party
who advocates  such  modification  to
show that the proposed modification is
justified based upon a preponderance of
the evidence.
  (cs Where necessary in order to pre-
vent undue prolongation of the hear-
ing, or to comply with time limitations
set  forth in the Act, the Presiding Offi-
cer may limit the number  of witnesses
who may  testify, and the scope and ex-
tent of cross-examination.

-------
Environmental Protection Agency
                              §104,13
  (d) A verbatim transcript of the hear-
ing shall be maintained and shall con-
stitute a part of the record.
  (e) If a party objects to the admission
or rejection of any evidence or to any
other ruling  of the Presiding Officer
during the hearing, he shall state brief-
ly the grounds of such objection. With
respect to any ruling on evidence,  it
shall not be necessary for any  party  to
claim an exception in order to  preserve
any right, of subsequent review.
  (f) Any party may at any time with-
draw his objection to a  proposed efflu-
ent standard.

$ 104.11   Briefs and findings of fact.
  At the conclusion of the hearing, the
Presiding Officer  shall  set a  schedule
for the  submission by  the  parties  of
briefs and proposed findings of fact and
conclusions. In establishing the afore-
said time schedule, the  Presiding Offi-
cer shall consider the time constraints
placed upon the parties and the Admin-
istrator by the statutory deadlines.

§ 104.12  Certification of record.
  As soon as possible after the  hearing.
the Presiding Officer shall transmit  to
the hearing clerk  the transcript of the
testimony and exhibits introduced  in
the hearing. The Presiding Officer shall
attach to the original  transcript his
certificate stating that, to the best  of
his knowledge  and  belief,  the  tran-
script is a true transcript of the testi-
mony given at the hearing except  in
such particulars  as  he shall  specify,
and that the  exhibits transmitted are
all  the  exhibits as introduced at the
hearing  with  such exceptions  as  he
shall specify.

§ 104.13   Interlocutory  and  post-hear-
   ing   review   of   rulings  of  the
   Presiding Officer; motions.
  (a) The Presiding Officer may certify
a ruling for interlocutory review by the
Administrator where a party so re-
quests and  the Presiding  Officer con-
cludes  that (1) the  ruling from  which
review is sought involves an important
question as to which there is  substan-
tial ground for difference  of  opinion,
and (2) either (i) a subsequent  reversal
of his ruling would  be likely to  result
in substantial  delay  or  expense  if left
to the conclusion of the proceedings, or
iii) a ruling1 on the question by the Ad-
ministrator would be of material  as-
sistance in expediting the hearing. The
certificate shall be in writing and shall
specify the material relevant to the
ruling certified.  If the  Administrator
determines that interlocutory review is
not warranted, he  may decline to con-
sider the ruling which  has been  cer-
tified.
  (b)  Where  the  Presiding Officer  de-
clines to certify a ruling the party who
had  requested certification may apply
to the Administrator for interlocutory
review, or the Administrator may on
his own motion direct that any matter
be submitted to him for review, subject
to the standards for review set forth in
paragraph  (as of this section.  An appli-
cation for review  shall be in writing
and  shall briefly state the  grounds re-
lied  on. If the Administrator takes no
action with respect to such application
for interlocutory review within 15 days
of its  filing, such  application shall be
deemed to have been denied.
  (c) Unless  otherwise ordered by the
Presiding Officer or the Administrator.
the hearing shall continue pending con-
sideration by the Administrator of any
ruling or request,  for interlocutory  re-
view.
  (d) Unless  otherwise ordered by the
Presiding Officer or the Administrator,
briefs  in  response to any  application
for interlocutory  review may be filed
by any party within five days of the fil-
ing of the application for review.
  (e) Failure to request or obtain inter-
locutory review  does not waive  the
rights of any party  to complain of a
ruling  following   completion of  the
hearing. Within five days following the
close of a hearing under this part, any
party may apply to the  Administrator
for post-hearing  review  of any proce-
dural ruling, or any ruling made by the
Presiding Officer concerning  the ad-
mission  or exclusion of  evidence  to
which   timely  objection   was made.
Within seven days following the filing
of any  such application  any  other
party  may file  a  brief  in  response
thereto.
  (f)  If the Administrator on review
under paragraph (e) of this section de-
termines that evidence was improperly
excluded, he may  order its admission

-------
§104.14
          40 CFR Ch. I (7-1-04 Edition)
without   remand  for  further  pro-
ceedings, or may remand with such in-
structions  as  he  deems  appropriate
concerning  cross-examination,  or op-
portunity for any party to submit fur-
ther evidence, with respect to such evi-
dence as he directs should be admitted.
In making his determination whether
to  remand,  the  Administrator  shall
consider whether the  statutory  time
restraints permit a remand, and wheth-
er it would  be constructive  to allow
cross-examination  or further evidence
with respect to the newly admitted evi-
dence. If evidence is admitted without
cross-examination, the  Administrator
shall  consider the lack of opportunity
for cross-examination  in determining
the weight to "be given such evidence.
  (g) Motions shall be brief, in writing,
and may be  filed at any time following
the publication of the proposed effluent
standards, unless otherwise ordered by
the Presiding Officer  or the  Adminis-
trator.  Unless  otherwise  ordered  or
provided in these  rules, responses  to
motions may be filed within seven days
of the actual filing of  the motion with
the hearing- clerk.

8104,14 Tentative  and  final decision
    by the Administrator.
  (a) As soon as practicable following"
the certification of the record and the
filing by the parties of briefs and pro-
posed finding's  of fact and conclusions
under  §104.11, the Administrator, with
such staff assistance as he  deems nec-
essary and  appropriate,  shall  review
the entire record and prepare and file a
tentative  decision  based thereon. The
tentative  decision shall include  find-
ings of fact and conclusions, and shall
be  filed  with  the hearing clerk who
shall  at once  transmit a copy  thereof
to each party who participated at the
hearing, or  his  attorney or other rep-
resentative.
  (b) Upon filing of the tentative deci-
sion,  the  Administrator may allow  a
reasonable time for the parties to file
with   him  any  exceptions   to  the
tenative decision, a brief in support of
such exceptions containing appropriate
references to the  record, and any pro-
posed  changes in  the  tentative  deci-
sion.  Such materials shall, upon sub-
mission, become part of the record. As
soon  as practicable  after the filing
thereof the  Administrator shall pre-
pare and file a final decision,  copies of
which  shall be transmitted to the par-
ties  or  their  representatives in  the
manner prescribed  in paragraph  (a) of
this section.
  
-------
Environmental Protection Agency
                               §105.2
the hearing clerk, if it is filed during
the course of the hearing, shall be also
filed with the Presiding Officer. A copy
of each document or paper filed by any
party with the  Presiding Officer, with
the hearing clerk, or with the Adminis-
trator shall be served upon  all other
parties, except  to the  extent that the
list of parties  to  be so served may be
modified by order of the Presiding Offi-
cer, and each such  document or paper
shall  be accompanied by a certificate
of such service.
  (b)  A party  may "be  represented in
any proceeding under this part by an
attorney or other authorized represent-
ative. When any document or paper is
required under these rules to  be served
upon  a  party  such service  shall be
made upon such attorney or other rep-
resentative.
    Except  where these rules or an
order of the Presiding Officer  require
receipt of a  document  by  a  certain
date,  any document or paper required
or authorized to be filed by  this  part
shall  be deemed to be filed when post-
marked, or in the case of papers deliv-
ered other than by mail, when received
by the hearing clerk.
  (d) Sundays and legal holidays shall
be included in  computing the time al-
lowed for the filing of any document or
paper, provided, that  when such time
expires on a Sunday or legal holiday.
such  period shall  be  extended  to  in-
clude the next following business day,

PART 105—RECOGNITION AWARDS
   UNDER THE CLEAN WATER ACT
               GKXEKAI.

105.1  Background.
105.2  Definitions.
105.3  Title.

        ELIGIBILITY RKWIKKMKXTS

105.4  What are  the  requirements  for  the
   Awards Program'?
105.5  Who is eligible to win an award?
105.6  What are  the  Awards Program cat-
   egories for which. I may be eligiMe0

   APPLICATION AND NOMINATION FROCKS*

105.7  How do I apply for an award?
105.8  When can I apply for an award'
105,9  How can I get nominated for an award?
           SELECTION CRITKHIA

105.10 What do I need to be  considered for
   an award?
105.11 Who selects the award winners?
105.12 How  is  the awards review committee
   selected?
105.13 How are the awards winners selected1'
105.14  How are award winners notified?
105.15  How- are award winners recognized?
105,16  How are award winners publicized?
  AiTHOKJ'n: Section 501ta) and (et of the
Clean Water Ac! (CWA). 33 U.S.C. 1361(a) and
!P).
  S(>i,m:K: fi" FR 61-12. Feb. 8, 2002. unless
otherwise noted.

              GKXKRAL

S 105.1   Background.
  The Environmental Protection Agen-
cy's (EPA) Clean Water Act (CWA) Rec-
ognition Awards Program is authorized
by CWA section 501(es. The Adminis-
trator  may provide official recognition
to  industrial  organizations and polit-
ical subdivisions of States which dur-
ing the  preceding  year demonstrated
an outstanding  technological  achieve-
ment or an innovative process, method
or device in their waste treatment and
pollution  abatement  programs.  The
wastewater management programs can
generally  he  characterized as  waste
treatment  and or pollution  abatement
programs. Individual EPA Regional Ad-
ministrators  (and  Regional  officials
they may designate)  also may conduct
Regional   CWA   Recognition  Awards
Programs according  to and consistent
with the provisions of this  part.

S 105.2   Definitions.
  Applicant means  the  person author-
ized to complete the application  on "be-
half of an industrial organization or
political subdivision of States.
  Application means a completed  ques-
tionnaire,  nomination  form, or other
documentation submitted  to or by the
States.  EPA Regions or headquarters
for consideration  of a  national  CWA
Recognition Award.
  / means the applicant for an award.
  Industrial  organisation  means  any
company.  corporation,   association,
partnership,  firm,  university,  not-for-
profit   organization.  or   wastewater
                                     11

-------
§105.3
          40 CFR Ch. I (7-1-04 Edition)
treatment facility, as well as a Fed-
eral,  State  or   Tribal   government
wastewater treatment facility, or U.S.
military command to the  extent such
government and   other  organizations
operate in  an "industrial"  capacity in
the treatment of wastes or abatement
of pollution.
  Nominee  means  a  candidate  rec-
ommended  by the State or Tribe or
EPA for consideration for a CWA Rec-
ognition Award,
  Political subdivision  of State  means a
municipality,  city,  town,  borough.
county, parish, district, association, or
other public body (including an inter-
municipal agency of two or more of the
foregoing entities) created by or pursu-
ant to State law.
  State means any of the 50 States, the
District  of  Columbia,  the Common-
wealth of Puerto  Rico, the U.S. Virgin
Islands, Guam. American  Samoa,  and
the Commonwealth  of Northern Mar-
iana Islands.
  State  water pollution  control  agency
means the State  agency designated by
the  Governing Authority  having  re-
sponsibility for  enforcing  State laws
relating to the abatement of water pol-
lution.
  You  means  the applicant  for  an
award.

§105.3 Title.
  The awards  are known  as  the  Na-
tional Clean Water  Act  Recognition
Awards (hereinafter,  the Awards Pro-
gram).

      ELIGIBILITY RKQuiRKMENTb

§ 105.4 What are the requirements for
    the Awards Program?
  (a) EPA will administer  the Awards
Program, and  should establish annual
guidance as necessary to  administer
the Awards Program. EPA  will request
from  the various offices,  and  States
and Tribes as appropriate, nominations
for the Awards Program.
  (b) Nominees must be in total com-
pliance  with all applicable water qual-
ity requirements under the  CWA in
order to be  eligible for an award, and
otherwise have  a satisfactory  record
with respect to environmental quality.
  (c)  Nominees must provide  written
documentation as evidence to  support
their     outstanding    technological
achievement  or  innovative  process,
method or device in their waste treat-
ment  and/or pollution abatement  pro-
grams.
  (d) EPA may issue annual guidance
memoranda  to administer  each year's
awards  programs. For information on
the availability of additional guidance,
contact the U.S. Environmental Pro-
tection  Agency, Municipal  Assistance
Branch.  1200   Pennsylvania  Avenue.
NW..  Mail  Code  4204^M.  Washington.
DC 20460. You may  also visit  BPA's
Web site at www.epa.gov/owm.

§ 105,5   Who is eligible  to  win  an
    award?
  A municipality, city, town, borough,
county, parish, district,  association,
government agency,  or  other  public
body,   (including  an intermunicipal
agency  of two or more of the foregoing
entities) created by or pursuant to
State law; a company, corporation, as-
sociation, partnership, firm,  univer-
sity,  not-for-profit   organization,  or
wastewater  treatment facility, as  well
as a Federal.  State or Tribal govern-
ment wastewater treatment facility, or
U.S. military  command to  the  extent
such government and other organiza-
tions operate in an  industrial capacity
in the  treatment of  wastes or  abate-
ment  of pollution may be  considered
for a recognition award,

S 105.6   What are the Awards Program
    categories for which I may be eligi-
    ble?
  EPA will publish  from  time to time,
a notice in  the FEDERAL REGISTER an-
nouncing the current Awards Program
categories. EPA also may subsequently
discontinue, combine, or  rename  cat-
egories  by notice published in the FED-
ERAL REGISTER.

 APPLICATION AND NOMINATION PROCESS

S 105.7   How do I apply for an award?
  You may contact  your local EPA Re-
gional  office  for information  on  the
Awards Program guidance  each year.
or  check   the  Web  site  at  http://
wiew.epa.gov/oiom/intnet.htm. EPA  may
use an application or nomination proc-
ess, as appropriate  for the program or
Region.
                                     12

-------
Environmental Protection Agency
                             §105,16
§ 105.8  When can I apply for an award?
  You can contact your local EPA Re-
gional  office  for  award  submission
deadline information which may vary
for the  award categories, or check the
Web  site  at  http:.-/www.epa.gor owm
in (net.htm.

§ 105.9  How can I get nominated for an
    award?
  You may apply  to. or ask your State,
Tribe or EPA Region to  nominate you
for an  award.  Only applications or
nominations  recommended  by EPA Re-
gions are considered for the national
award. EPA personnel conduct  compli-
ance  evaluations  prior to presenting a
national award.

         KKLECTIUN CRITERIA

§105.10  What do I need to be consid-
    ered for an award?
  Your  facility or pollution abatement
program, must be in  total  compliance
with  all applicable  water  quality  re-
quirements, and otherwise have a satis-
factory  record with respect to environ-
mental  quality. Additionally, your fa-
cility or pollution abatement program
must provide written documentation as
evidence of  an  outstanding   techno-
logical  achievement or an  innovative
process,  method  or   device   dem-
onstrated in  the preceding  year, which
resulted in  environmental  benefits.
cost saving's and/or public acceptance.

§103,11  Who  selects the award win-
    ners?
  After  EPA receives the  completed ap-
plication, the application is evaluated
by  a  review  committee.  After  the re-
view  committee completes its  evalua-
tion of  the programs that have been
nominated,  they  make  recommenda-
tions  for the  national  awards. EPA
then  analyzes the results  and  selects
the award winners.

§ 105.12  How  is  the  awards  review
    committee selected?
  EPA review committee members are
selected by the EPA and in  some cases.
State or Tribal water pollution  control
agencies. The number of participants
in   a  nominations  review  process is
based on staff availability,  and  may be
one person.
§ 105.13 How  are the award winners
    selected?
  Nominees and  applications are  rec-
ommended by EPA regions.  EPA  per-
sonnel conduct compliance evaluations
prior to  presenting a national award.
EPA  selects national award winners
!>ased on demonstrated evidence of out-
•itanding and or innovative wastewaler
! reatment  and   pollution abatement
programs or projects which  result,  in
environmental  benefits,   cost saving*
and or public  acceptance,  Based  upon
results  of review committee evalua-
: ions,  tht- Ayency  selects first place
winners for a national award  in the ap-
propriate  awards categories,  A second
place winner may or may not be se-
lected. EPA may or may not select an
award  winner  for every  awards  pro-
gram category.  Award decisions  are
not subject to administrative  review.

         AWARDS RKCOGNTITOX

4103.14 How are award winners noti-
    fied?
  EPA notifies national award winners
by letter.

§ 103,15 How are award winners recog-
    nized?
  B]PA presents national award winners
with  a certificate or  plaque at  an
awards presentation ceremony as  rec-
ognition   for an  outstanding techno-
logical achievement or an innovative
process,  method  or  device in waste-
water   treatment  and'or  pollution
abatement programs.  The  President  of
the United States, the Governor of the
State,  or Tribal leader of  the jurisdic-
tion reservation in which  the awardee
is situated, the Speaker of the House  of
Representatives and the President pro
tempore of the Senate are notified by
the Administrator.

S 105.16  How are award winners pub-
    licized?
  EPA announces the annual  national
recognition award winners through no-
tice  published  in the FEDERAL REG-
ISTER.
                                    13

-------
Pt 108
          40 CFR Ch. i (7-1-04 Edition)
PART 108—EMPLOYEE PROTECTION
             HEARINGS

Sec.
108.1  Applicability.
108.2  Definitions.
108.3  Request for investigation.
108.4  Investigation by  Regional  Adminis-
   trator.
108.5  Procedure.
108.6  Recommendations.
108.7  Hearing' "before Administrator.
 AUTHORITY: See. 507(ei, Pub.  L.  92-500. 86
Stat. 816 (33 U.S.C. 1251 et aeq.).
 SOURCE: 39 FE 15398. MAY  3. 1974. unless
otherwise noted.

§ 108.1  Applicability.
 This part shall be applicable to inves-
tigations and hearings required by sec-
tion  507(e)  of the Federal  Water Pollu-
tion  Control Act. as amended. 33 LT.S.C.
1251 et seq. (Pub. L. 92-500).

§ 108.2  Definitions.
 As used in this part, the term:
 (a) Act means the Federal Water Pol-
lution Control Act,  as amended;
 Cb> Effluent  limitation means any ef-
fluent  limitation which is  established
as  a condition of  a permit issued or
proposed to be issued by a State or by
the Environmental Protection Agency
pursuant to section 402 of the Act; any
toxic or pretreatment effluent standard
established under  section  307  of  the
Act;  any standard  of  performance es-
tablished under section 306  of the Act;
and any effluent limitation  established
under section 302.  section 316.  or sec-
tion  318 of the Act.
 (c) Order means any order issued by
the Administrator under  section 309 of
the Act; any order issued  by a  State to
secure  compliance  with  a  permit,  or
condition  thereof,  issued  under a pro-
gram approved pursuant to section 402
of  the  Act; or any order issued by  a
court in an action brought pursuant to
section 309 or section 505 of the Act.
 (d) Party means an employee filing a
request under §108.3.  any employee
similarly situated,  the employer of any
such employee,  and the  Regional  Ad-
ministrator or his designee.
 (e) Administrator or  Regional  Adminis-
trator means  the Administrator or  a
Regional Administrator  of the Envi-
ronmental  Protection Agency.
§ 108.3 Request for investigation.
  Any employee who is discharged or
laid-off. threatened with discharge or
lay-off,  or  otherwise  discriminated
against by any person because of the
alleged results of  any effluent limita-
tion or order issued under the Act, or
any  representative of such  employee.
may submit a request for an investiga-
tion under this part to  the  Regional
Administrator  of  the  region  in which
such discrimination is alleged to  have
occurred.

§ 108.4 Investigation by  Regional Ad-
    ministrator,
  Upon receipt of  any request meeting
the  requirements   of  §108.3,  the  Re-
gional Administrator  shall conduct a
full  investigation  of  the matter,  in
order to determine whether the request
may be related to an effluent limita-
tion or order under the Act.  Following
the investigation,  the Regional Admin-
istrator shall  notify the  employee re-
questing the investigation (or the em-
ployee's  representative)  and  the  em-
ployer of such employee,  in writing, of
his preliminary findings and conclu-
sions.  The employee,  the representa-
tive of such employee, or the  employer
may within fifteen days  following re-
ceipt of  the preliminary findings and
conclusions of the Regional  Adminis-
trator request a  hearing under this
part.  Upon receipt of such a request.
the Regional Administrator,  with the
concurrence of the Chief Administra-
tive Law Judge, shall publish notice of
a hearing to be held not less than 30
days following the date of such publica-
tion where he determines  that  there
are factual Issues concerning the exist-
ence  of the alleged discrimination or
its  relationship to an effluent limita-
tion or order under the Act. The notice
shall specify a date before which any
party (or representative of such party)
may submit a request to appear.

§ 108.5 Procedure.
  Any hearing held, pursuant to this
part shall be of record and shall be con-
ducted according  to the  requirements
of 5 U.S.C. 554. The Administrative Law
Judge shall conduct the hearing in an
orderly and  expeditious manner. By
agreement of  the  parties, he  may dis-
miss  the hearing.  The Administrative
                                     14

-------
Environmental Protection Agency
                              §109.2
Law Judge, on Ms own motion, or at
the request of any party, shall have the
power to hold preheating conferences,
to issue subpoenas for the attendance
and  testimony  of witnesses and  the
production of relevant papers,  books,
and documents, and he may administer
oaths.  The  Regional  Administrator,
and  any  party  submitting  a  request
pursuant to §108.3 or §108.4, or counsel
or other representative of such party
or the Regional  Administrator,  may
appear and offer evidence at the hear-
ing.

§ 108.6  Recommendations,
  At  the  conclusion  of  any  hearing
under  this part, the  Administrative
Law Judg*e shall,  based on the  record.
issue tentative findings of fact and rec-
ommendations concerning the  alleged
discrimination, and shall  submit such
tentative  findings and  recommenda-
tions  to the  Administrator.  The Ad-
ministrator shall  adopt or modify  the
findings and recommendations  of  the
Administrative  Law  Judge, and shall
make  copies  of  such  findings and rec-
ommendations available  to the com-
plaining employee, the employer, and
the public.

S 108.7  Hearing before Administrator.
  At his option, the Administrator may
exercise any  powers of an Administra-
tive  Law Judge with  respect to hear-
ings  under this part.

PART   109—CRITERIA   FOR   STATE,
  LOCAL  AND  REGIONAL OIL RE-
  MOVAL CONTINGENCY PLANS

Sec.
1091  Applicability,
109.2  Definitions.
109.3  Purpose and scope.
109.4  Relationship   to   Federal   response
   actions,
109.5  Development and implementation cri-
   teria for State, local and  regional oil re-
   moval contingency plans.
109.6  Coordination.
 AUTHORITY: Sec. IKJM'IHB). 84 Stat. 96, 33
U.S.C. 116KJH1MB).
 SOURCE: 36 FR 22485, Nov.  25. 1971, unless
otherwise noted.
§ 109.1  Applicability,
  The criteria in this part are provided
to  assist  State,  local  and  regional
agencies in the development of oil re-
moval contingency plans for the inland
navigable waters of the  United States
and all  areas other than the high seas.
coastal  and  contiguous zone  waters.
coastal  and Great Lakes ports and har-
bors and  such  other areas  as  may  be
agreed  upon   between  the  Environ-
mental  Protection Agency and the De-
partment of Transportation in accord-
ance with section ll(j)(l)(B) of the Fed-
eral  Act,  Executive Order No. 11548
dated July 20. 1970  (35 FR 11677) and
§306.2 of  the  National  Oil and  Haz-
ardous  Materials  Pollution  Contin-
gency Plan (35 FR 8511).

§ 109,2  Definitions.
  As used in these guidelines,  the fol-
lowing  terms  shall  have the  meaning
indicated below:
  (a)  Oil means oil  of any  kind or  in
any form, including, but not limited to,
petroleum, fuel oil.  sludge, oil  refuse,
and oil  mixed  with  wastes  other than
dredged spoil.
  (to) Discharge  includes, but is not lim-
ited to,  any spilling, leaking1, pumping.
pouring, emitting, emptying, or dump-
ing.
  (c) Remove or removal refers to the re-
moval of the  oil from the water and
shorelines or the taking of such other
actions  as may be necessary  to mini-
mize or mitigate damage to the public
health or  welfare,  including, but not
limited  to. fish, shellfish, wildlife, and
public and private  property, shorelines.
and beaches.
  (d)  Major disaster  means  any hurri-
cane,  tornado, storm, flood, high water,
wind-driven water, tidal  wave, earth-
quake,  drought, fire,  or other catas-
trophe in  any part of the United States
which,  in the  determination  of the
President, is or threatens to become of
sufficient severity  and  magnitude  to
warrant disaster assistance by the Fed-
eral Government to supplement the ef-
forts and  available resources of States
and local  governments and relief orga-
nizations  in  alleviating the  damage.
loss,  hardship, or  suffering   caused
t hereby.
                                     15

-------
§109.3
          40 CFR Ch. i (7-1-04 Edition)
  (e)  United Statex means the States.
the District of Columbia,  the Common-
wealth of Puerto Rico, the Canal Zone,
Guam, American Samoa, the Virgin Is-
lands, and the Trust Territory of the
Pacific Islands.
  (f)  Federal  Act  means  the  Federal
Water  Pollution  Control   Act.   as
amended. 33 U.S.C. 1151 et  seq.

$ 109.3 Purpose and scope.
  The guidelines in this part  establish
minimum criteria for the development
and  implementation of  State,  local.
and   regional   contingency  plans  by
State  and local governments in con-
sultation with private interests  to  in-
sure timely, efficient,  coordinated and
effective  action  to  minimize damage
resulting from  oil  discharges.  Such
plans will be  directed  toward the pro-
tection of the public health or welfare
of the United States, including, but not-
limited to, fish, shellfish, wildlife, and
public and private property, shorelines,
and beaches. The development and im-
plementation  of such  plans  shall  be
consistent with the National Oil  and
Hazardous Materials Pollution Contin-
gency Plan. State, local  and regional
oil removal contingency plans shall
provide  for the coordination  of  the
total response to an oil  discharge so
that  contingency organizations  estab-
lished thereunder can function inde-
pendently, in  conjunction  with  each
other, or in conjunction  with the Na-
tional and  Regional Response  Teams
established  by  the  National  Oil  and
Hazardous Materials Pollution Contin-
gency Plan.

§109.4 Relationship  to  Federal   re-
    sponse actions,
  The National  Oil and Hazardous Ma-
terials   Pollution  Contingency  Plan
provides   that  the  Federal  on-scene
commander shall investigate all  re-
ported  spills.   If such  investigation
shows that appropriate action is being
taken by either the  discharger or non-
Federal  entities, the Federal on-scene
commander shall  monitor and provide
advice or assistance, as required. If  ap-
propriate containment or cleanup  ac-
tion  is  not being taken by the  dis-
charger  or  non-Federal  entities,  the
Federal  on-scene commander  will take
control of the response activity  in  ac-
cordance  with section life Ml)  of the
Federal Act.

§ 109,5  Development  and implementa-
   tion criteria  for  State,  local  and
   regional  oil  removal contingency
   plans.
  Criteria for the development and im-
plementation of  State,  local  and re-
gional oil  removal contingency plans
are:
  (a) Definition of the authorities, re-
sponsibilities and duties of all persons.
organizations or agencies which are to
be involved  or could be  involved in
planning or directing oil removal  oper-
ations,  with  particular care  to clearly
define the authorities,  responsibilities
and duties of State and local govern-
mental  agencies  to avoid unnecessary
duplication  of contingency  planning
activities and to minimize the poten-
tial  for conflict and  confusion  that
could be  generated in an  emergency
situation  as  a result of such duplica-
tions.
  
-------
Environmental Protection Agency
                               §110.1
  (1) The identification and inventory
of applicable equipment, materials and
supplies which are  available  locally
and regionally.
  (2)  An  estimate of  the  equipment,
materials and supplies which would be
required to remove the maximum oil
discharge to be anticipated.
  (3) Development of agreements and
arrangements in advance of an oil dis-
charge  for  the acquisition of  equip-
ment, materials and supplies to be used
in responding to such a discharge,
  (d)  Provisions  for  well  defined and
specific actions to be taken after dis-
covery  and  notification of an  oil dis-
charge including;
  (1) Specification of an oil discharge
response operating team consisting of
trained, prepared and available  oper-
ating personnel.
  (2)  Predesignation   of  a  properly
qualified oil discharge response coordi-
nator who is charged with the responsi-
bility and delegated commensurate au-
thority for directing and coordinating
response  operations  and  who  knows
how to request assistance from Federal
authorities  operating  under  existing
national  and   regional   contingency
plans.
  (3) A preplanned location for an oil
discharge response  operations  center
and a reliable communications system
for directing  the coordinated  overall
response operations.
  (4) Provisions for varying degrees of
response effort depending on the sever-
ity of the oil discharge.
  (5) Specification of the order of pri-
ority  in which the various water uses
are to be protected where more than
one water use  may  be adversely  af-
fected  as a  result of  an oil discharge
and where response operations may not
be adequate to protect all uses.
  (e) Specific and well  defined  proce-
dures to facilitate recovery of damages
and enforcement measures as provided
for by  State and local statutes  and or-
dinances.

§ 109.6   Coordination.
  For the purposes of coordination, the
contingency plans of State and local
governments should be  developed and
implemented in consultation with pri-
vate interests. A  copy of any oil re-
moval  contingency plan developed by
State and local governments should be
forwarded to  the  Council on Environ-
mental Quality upon request to facili-
tate the coordination of these  contin-
gency  plans with  the National  Oil and
Hazardous Materials Pollution  Contin-
gency Plan-

   PART 110—DISCHARGE OF OIL
Sec-
110.
110
110.
no
1  Definitions.
2  Applicability.
3  Discharge of oil in such quantities as
"may be harmful" pursuant  to  section
311(b)(4) of the Act.
,4  Dispersants,
5  Discharges of oil not determined "as
may be  harmful" pursuant  to  section
31Kb K3» of the Act.
6  Notice.
  AUTHORITY; 33 U.S.C. 1321 and 
-------
§110.2
          40 CFR Ch. I (7-1-04 Edition)
that are subject to the ebb and flow of
the tide;
  (b) Interstate waters, including inter-
state wetlands;
  (c) All  other  waters such  as intra-
state lakes, rivers, streams (including
intermittent    streams),    mudflats,
sandflats, and wetlands, the  use. deg-
radation, or destruction of which would
affect or could affect interstate or for-
eign commerce including' any such wa-
ters:
  (1) That are or could be used by inter-
state  or foreign  travelers  for  rec-
reational or other purposes;
  (2) From which fish or shellfish are or
could be taken and sold in interstate or
foreign commerce;
  (3) That are used or could be used for
industrial purposes  by industries in
interstate commerce;
  (d) All impoundments of  waters oth-
erwise  defined   as  navigable  waters
under this section:
  (e) Tributaries of waters  identified in
paragraphs (a) through (d)  of this  sec-
tion, including adjacent wetlands: and
  (f) Wetlands adjacent to  waters iden-
tified in paragraphs ia) through (e) of
this  section:  Provided,   That  waste
treatment systems (other than  cooling
ponds meeting the criteria of this para-
graph)  are  not waters of  the  United
States;
Navigable waters do not include prior
converted cropland.  Notwithstanding"
the determination of an area's status
as  prior  converted  cropland  by  any
other federal  agency, for the purposes
of the Clean Water Act.  the final  au-
thority regarding Clean Water  Act ju-
risdiction remains with EPA.
  NPDES means  National  Pollutant
Discharge Elimination System;
  Sheen  means  an  iridescent  appear-
ance on the surface of water:
  Sludge means  an aggregate of oil or
oil and other matter of any kind in any
form other than dredged spoil having a
combined specific gravity equivalent to
or greater than water:
  United States means the  States,  the
District  of  Columbia,  the Common-
wealth  of Puerto Rico, Guam.  Amer-
ican Samoa, the Virgin Islands,  and the
Trust Territory of the Pacific Islands:
  Wetlands means those areas that  are
inundated or saturated by surface or
ground water at a frequency or dura-
tion sufficient  to  support, and  that
under  normal  circumstances  do  sup-
port, a prevalence  of vegetation  typi-
cally adapted for life in saturated soil
conditions. Wetlands generally include
playa  lakes,  swamps,  marshes,  bogs
and similar areas such as sloughs,  prai-
rie  potholes,  wet  meadows,  prairie
river overflows, mudflats,  and natural
ponds.
152 FR  10719. Apr. 2. 1987, as amended at 58
FR 45039. Aug. 25. 1993: 61 FR 7421. Feb. 28.
1996]

§ 110.2   Applicability.
  The regulations of this part apply to
the discharge of oil prohibited by sec-
tion 311(b)(3)  of the  Act.
[61 FR7421, Feb. 28. 1996J

8110.3   Discharge of oil in such quan-
   tities as "may be harmful" pursuant
   to section 311(b)(4) of the Act.
  For  purposes  of  section  311(b)(4)  of
the Act. discharges of oil in such quan-
tities  that, the  Administrator has de-
termined may be harmful to the public
health or welfare or the environment of
the United States include discharges of
oil that:
  cat Violate applicable water quality
standards:  or
  ib> Cause a film or sheen upon or dis-
coloration  of the surface of the water
or  adjoining shorelines  or cause  a
sludge or emulsion to be deposited be-
neath  the surface of the water or  upon
adjoining shorelines.
[61 FR 7421. Feb. 28. 1996]

§110,4   Dispersants.
  Addition of dispersants or emulsifiers
to oil  to be discharged that would cir-
cumvent: the provisions  of this part is
prohibited.
[52 FR  10719. Apr.  2. 1987. Redesignated at 61
FR 7421. Feb. 28. 1996]

fi 110.5  Discharges   of  oil  not deter-
    mined  "as may be harmful" pursu-
    ant to Section 311{b)(3) of the Act.
  Notwithstanding   any  other provi-
sions of this part,  the  Administrator
has not determined the following dis-
charges of oil "as may be  harmful" for
purposes of section 311(b) of the Act;
  (a) Discharges of oil from a  properly
functioning vessel engine (including an
                                      18

-------
Environmental Protection Agency
                                Pt.  112
engine on a public vessel) and any dis-
charges of such oil accumulated in the
bilges of  a vessel discharged in compli-
ance with MABPOL 73/78, Annex I.  as
provided  in 33 CFR part 151. subpart A:
  (b) Other discharges of oil permitted
under MARPOL 73/78.  Annex I. as pro-
vided in 38 CFR part 151. subpart A: and
  (c) Any  discharge  of  oil  explicitly
permitted by the Administrator in con-
nection  with  research,  demonstration
projects,  or studies relating to the pre-
vention,  control, or abatement of oil
pollution.
[61 FR 7421, Feb. 28, 1996')

§ 110.6  Notice.
  Any person in charg'e of a vessel or of
an onshore or offshore facility shall, as
soon as he or she has knowledge of any
discharge of oil from such vessel or fa-
cility in violation of section 311(b)<3> of
the  Act.   immediately  notify the Na-
tional Response  Center (NEC) <800--124
8802; in the Washington. DC metropoli-
tan  area. 202-426-2675). If direct report-
ing  to the NBC  is not practicable, re-
ports may be made  to  the Coast Guard
or EPA predesignated On-Scene Coordi-
nator  (OSC)  for  the  geographic area
where the discharge  occurs. All such
reports shall  be  promptly relayed  to
the  NEC. If it is  not possible to notify
the  NBC  or the predestinated DCS im-
mediately, reports may be made imme-
diately to the  nearest  Coast  Guard
unit,  provided   that   the   person   in
charg'e of the  vessel or onshore or off-
shore facility notifies the NRC as soon
as possible. The reports shall be made
in accordance with such  procedures  as
the  Secretary of Transportation may
prescribe. The procedures for such no-
tice  are set forth in U.S. Coast Guard
regulations. 33 CFR part 153, subpart B
and  in the National Oil and Hazardous
Substances   Pollution    Contingency
Plan. 40 CFR part 300. subpart B.
(Approved  by the Office of Management and
Budget under control number 2050-0046)
[52 FR 10719, Apr.  2. 1987.  Redesignated and
amended at 61  FR 7421, Feb. 28. 1996: 61 FR
14032. Mar.  29. 1996J
     PART 112—OIL POLLUTION
             PREVENTION

Subpart A—Applicability, Definitions, and
    General Requirements For All Facilities
    and All Types of Oils
.1  General Applicability.
.2  Definitions.
.3  Requirement to  prepare and  imple-
 ment a  Spill Prevention.  Control, and
 Countermeasure Plan.
.4  Amendment of Spill Prevention, Con-
 trol,  and Counter-measure  Plan by Re-
 gional Administrator.
.5  Amendment of Spill Prevention. Con-
 trol, and Counter-measure Plan bv owners
 or operators.
.6  [Reserved]
 7  General requirements for Spill Preven-
 tion.   Control,   and   Countermeasure
 Plans.
112
Subpart  B—Requirements  for  Petroleum
    Oils and Non-Petroleum  Oils,  Except
    Animal  Fats and Oils  and  Greases,
    and  Fish and  Marine  Mammal Oils;
    and  Vegetable  Oils  (Including Oils
    from Seeds, Nuts, Fruits, and Kernels)

112,8 Spill  Prevention, Control, and Coun-
   termeafure Plan  requirements  for on-
   shore facilities 
-------
§112.1
          40 CFR Ch. I (7-1-04 Edition)
112,15  Spill Prevention. Control, and Coun-
   termeasure  Plan  requirements for  off-
   shore   oil   drilling.   production.   or
   workover facilities.

   Subpart D—Response Requirements

112.20  Facility response plans.
132.21  Facility  response training and drills
   exercises.
APPENDIX A TO PART 112—MEMORANDUM  OK
   UNDERSTANDING BETWEEN THE SECRETARY
   OF TRANSPORTATION  AND THE ADMINIS-
   TRATOR OF THE ENVIRONMENTAL PROTEC-
   TION AGENCY
APPENDIX B TO PART 112—MEMORANDUM  OF
   UNDERSTANDING AMONG THE SECRETARY
   OF THE INTBRIOK,  SECRETARY OF TRANS-
   PORTATION,  AND ADMINISTRATOR  OF THE
   ENVIRONMENTAL PROTECTION AGENCY
APPENDIX C TO PART 112—SUBSTANTIAL HARM
   CRITERIA
APPENDIX D TO  PART 112—DETERMINATION OF
   A WORST CASE DISCHARGE PLANNING VOL-
   UME
APPENDIX  E  TO PART  112—DKTKRMI.NATION
   AND EVALUATION OF RKQUIKKD  RESPONSE
   RESOURCES   FOR   FACILITY   RESPONSE
   PLANS
APPENDIX F TO  PART  112- .FACILITY-SPECIFIC
   RESPONSE PLAN
  AUTHORITY: 33 U.S.C. 1251 el seq.: 33 U.S.C.
2720: E.O, 127T7 (October 18. 1991), 3 CFR. 1991
Comp., p. 351.
  SOURCE: 38 FR 34165, Dec. 11. 1973. unless
otherwise noted.
  EDITORIAL NOTE: Nomenclature changes to
part 112 appear  at 65 FR 4079B. June 30. 2000.

Subpart  A—Applicability,   Defini-
    tions,  and  General  Require-
    ments for All Facilities  and  All
    Types of Oils

  SOURCE: 67 FR 47140, July  17. 2002. unless
otherwise noted.

§112.1  General applicability.
  (a)(l)  This  part  establishes  proce-
dures, methods, equipment, and other
requirements  to prevent  the discharge
of oil from non-transportation-related
onshore  and offshore facilities into  or
upon  the  navigable  waters  of the
United  States or adjoining  shorelines,
or into  or upon the waters of the con-
tiguous zone,  or in connection with ac-
tivities  under the  Outer Continental
Shelf Lands Act or the Deepwater Port
Act of 1974, or that may  affect natural
resources  belonging to, appertaining
to. or under the exclusive management
authority of the United States (includ-
ing  resources   under  the  Magnuson
Fishery Conservation and Management
Act).
  (2) As used in this part, words in the
singular also  include the  plural  and
words in the masculine gender also in-
clude the feminine and  vice versa, as
the case may require.
  tb) Except as provided in paragraph
(d) of this section, this part applies to
any owner or  operator of a non-trans-
portation-related  onshore  or  offshore
facility engaged in drilling, producing,
gathering', storing, processing, refining,
transferring,  distributing,   using,  or
consuming oil  and oil products, which
due to its location, could reasonably be
expected to discharge oil in quantities
that may be harmful, as described in
part 110 of  this chapter, into or upon
the  navigable  waters  of  the  United
States or adjoining shorelines,  or into
or upon the waters of the contiguous
zone, or in  connection with activities
under   the  Outer Continental Shelf
Lands Act or the Deepwater Port Act
of 1974, or that may  affect natural re-
sources belonging to, appertaining to,
or under the exclusive management au-
thority of the United States (including
resources under the Magnuson Fishery
Conservation  and Management Act)
that has oil  in:
  (1) Any aboveground container;
  (2) Any completely buried tank as de-
fined in § 112,2:
  <3> Any container  that  is used  for
standby storage, for  seasonal storage,
or for temporary storage, or not other-
wise "permanently closed" as defined in
§112.2:
  (4) Any "bunkered tank" or "partially
buried tank" as defined in §112.2, or any
container in a vault, each  of which is
considered  an  aboveground   storage
container for purposes of this part.
  (c> As provided  in section 313 of the
Clean Water Act  (CWA). departments,
agencies, and instrumentalities of the
Federal government are subject to this
part to the  same extent as  any person.
  (d) Except as provided in paragraph
(f) of this  section, this part does not
apply to;
  (1) The owner or operator of any fa-
cility, equipment, or operation that is
not subject to the jurisdiction  of the
                                      20

-------
Environmental Protection Agency
                              §112.1
Environmental   Protection   Agency
(EPA) under section SlKjxlxC) of the
CWA. as follows:
   of this section,
  (ii) Any equipment, or operation of a
vessel  or transportation-related  on-
shore or offshore facility which is sub-
ject to the authority and control of the
U.S. Department of Transportation, as
defined in the Memorandum of Under-
standing  between  the  Secretary  of
Transportation and  the  Administrator
of EPA, dated November 24. 1971 (Ap-
pendix A of this part).
  (iii) Any equipment, or operation of a
vessel or  onshore or offshore  facility
which is subject  to  the  authority and
control of the  U.S.  Department  of
Transportation or the U.S. Department
of the Interior, as defined in the Memo-
randum of Understanding between the
Secretary  of Transportation, the  Sec-
retary of  the Interior, and the Admin-
istrator of EPA, dated November 8, 1993
(Appendix B of this part),
  (2) Any  facility which, although oth-
erwise subject to the  jurisdiction  of
EPA, meets both  of  the  following re-
quirements:
  
-------
§112.2
          40 CFR Ch. 1 (7-1-04 Edition)
all  relevant spill  prevention, control,
and countermeasures necessary  at the
specific facility. Compliance with this
part does not in any way relieve the
owner  or operator of an onshore or an
offshore facility from compliance with
other Federal. State, or local laws.
  (f) Notwithstanding paragraph (d)  of
this section,  the Regional Adminis-
trator  may  require that the owner  or
operator of  any facility subject  to the
jurisdiction  of EPA under section 311 (j)
of the  CWA  prepare  and implement an
SPCC Plan,  or any applicable part,  to
carry out the purposes of the CWA.
  (1) Following a preliminary  deter-
mination, the Regional Administrator
must provide  a written notice  to the
owner  or operator stating  the reasons
why he must prepare an SPCC Plan,  or
applicable part. The Regional Adminis-
trator  must send such notice  to the
owner  or operator by certified mail  or
by personal delivery. If  the owner  or
operator is a corporation, the Regional
Administrator must also mail a copy of
such notice  to the registered agent, if
any and if known,  of the corporation in
the State where the facility is located.
  (2) Within 30 days of receipt of such
written notice, the owner  or operator
may provide information and data and
may consult with the Agency about the
need to prepare an SPCC Plan, or appli-
cable part.
  (3) Within 30 days following- the time
under  paragraph (b)(2) of this section
within which  the owner or operator
may provide information and data and
consult with  the Agency  about the
need to prepare an SPCC Plan, or appli-
cable part, the Regional Administrator
must make  a final  determination re-
garding whether the owner or operator
is required  to prepare and  implement
an SPCC Plan, or applicable part. The
Regional Administrator must send the
final determination to the owner or op-
erator  by certified mail or by personal
delivery. If  the owner or operator is a
corporation,  the  Regional  Adminis-
trator  must also  mail  a copy  of the
final determination  to  the registered
agent,  if any and if known,  of the cor-
poration in the State where the facility
is located.
  (4) If  the  Regional  Administrator
makes a final determination that an
SPCC Plan,  or applicable part,  is nec-
essary, the owner or operator must pre-
pare the Plan, or applicable part, with-
in six months of that final determina-
tion and implement the Plan, or appli-
cable part, as soon as possible, but not
later than one year after the Regional
Administrator has made a  final deter-
mination.
  (5) The owner or operator may appeal
a final determination made by the Re-
gional  Administrator requiring  prepa-
ration and implementation of an SPCC
Plan, or  applicable  part,  under  this
paragraph. The owner or operator must
make the  appeal to the Administrator
of EPA within 30 days of receipt of the
final  determination  under paragraph
(b)(3) of this section from the Regional
Administrator  requiring   preparation
and-'or  implementation of an  SPCC
Plan, or applicable part. The owner or
operator must send a complete  copy of
the  appeal to  the Regional  Adminis-
trator at the time he makes the appeal
to the Administrator. The appeal must
contain a  clear and concise statement
of the issues  and points of fact in the
case. In the appeal, the owner or oper-
ator may also provide additional infor-
mation. The  additional  information
may be from any person. The Adminis-
trator may request additional informa-
tion from the owner  or operator.  The
Administrator must  render a  decision
within 60  days of receiving the  appeal
or additional  information submitted by
the owner or operator and must serve
the owner or operator with the decision
made in the appeal in the  manner de-
scribed in paragraph (f)(l)  of this  sec-
tion.

§112.2  Definitions.
  For the purposes of this part:
  Adverse weather means weather condi-
tions that make it  difficult  for re-
sponse equipment  and personnel to
clean up or remove spilled oil, and that
must be considered  when  identifying
response systems and  equipment in a
response plan for the applicable oper-
ating environment. Factors to consider
include  significant  wave  height  as
specified in Appendix E to this part (as
appropriate),  ice conditions, tempera-
tures,  weather-related  visibility,  and
currents within the area in which the
systems or equipment  is intended to
function.
                                     22

-------
Environmental Protection Agency
                               §112.2
  ,1/;er;/*(i^: means any work  o<; a  r..;>-
tainer  Involving   cutting,   byrnhia.
weidlna.  or Iieutirsi/  operations  That
changes  the  physical di!Yit'iisior,.~  r>r
configuration of the container.
  Animal  tut  means a  rirm-pefroJcuni
fill. fal. or grease of animal,  fish  or
marine mammal origin,
  Brt',(tk':>i(i Sunk means a container  used
to relieve surges in an oil pipeline sys-
tem or to receive  and store  oil trans-
ported by a pipeline for reinjeetion and
continued transportation by pipeline,
  Bulk x forage container means any  con-
tainer  used to store oil.  These  con-
tainers are  used for purposes including1.
but not limited to. the storage of oil
prior to use. while being  used, or prior
to  further  distribution  in commerce.
Oil-filled  electrical, operating1, or man-
ufacturing'  equipment is?  not  a bulk
.storage container.
  Bunkered  tank  means  a  container
constructed or placed in the ground by
cutting; the earth  and re-covering the
container in a manner that breaks the
surrounding natural grade, or thai lies
above grade, and is covered with earth.
sand, gravel,  asphalt, or  other mate-
rial. A  bunkered tank is considered an
abovegTound storage container for  pur-
poses of this part;.
  Completely buried  tank-   means  any
container completely  below grade and
covered with earth, sand, gravel,  as-
phalt,  or other material.  Containers  in
vaults,  bunkered   tanks,  or  partially
buried  tanks  are  considered  above-
ground storage containers for purposes
of this part.
  Complex means a  facility possessing- a
combination of transportation-related
and non-transportation-related compo-
nents that is subject to the jurisdiction
of more than one Federal agency under
flection 3.1KJ) of the CWA.
  Contiguous zone, means the  zone es-
tablished  by the United  States under
Article 24 of the Convention of the  Ter-
ritorial Sea and Contiguous Zone,  that
is contiguous to the territorial sea and
that extends nine  miles seaward from
the outer limit of  (lie territorial area.
  Contract   or  other  approved  >>ieit.ns
means:
  (Is A  written contractual agreement
with an oil spill removal  organization
that identifies and ensures the avail-
ability  of the necessary  personnel  and
•.• -., iipnit-n! wiUiU
r "its: and. or
  .:!)  A  written  Certification  by the
owner or operator that the necessary
personnel  and  equipment  resources.
owned  or  operated   by  the   facility
ouuer or operator, are available to re-
spond to  a discharge  within  ;>ppro-
pr.ate response times: and or
  i3i  Active membership in  a local or
ivgional oil spill removal  organization
that  has identified  and ensures  ade-
quate access through such membership
to necessary personnel and  equipment.
to respond to a discharge within appro-
pi iate response times in the specified
geographic area: and'or
  •At  Any  other  specific arrangement
approved by  the  Regional  Adminis-
trator upon request of the owner or op-
erator.
  Diwharpc includes,  but is not limited
to.  any  spilling,  leaking,   pumping.
pouring, emitting, emptying, or dump-
ing of oil. but excludes  discharges in
compliance with a permit under sec-
tion 402 of the  CWA:  discharges result-
ing from  circumstances identified, re-
viewed, and made a part of  the public
lecord with respect to a permit issued
or modified  under section 402 of the
CWA.  and subject to  a condition in
such  permit; or continuous  or antici-
pated  intermittent discharges  from a
point source, identified in a permit or
permit application under section 402 of
the CWA. that are caused by events oc-
curring within the scope of relevant op-
c'rating or treatment  systems.  For pur-
poses of this part, the term discharge
shall  not include  any discharge of oil
that  is authorized by a permit  issued
under section 13 of the River and Har-
bor Act of 1899 (33 U.S.C. 407).
  Facility means  any  mobile or fixed.
onshore or offshore building, structure,
installation, equipment, pipe,  or pipe-
line (other than a vessel or a  public
vessel) used  in oil well drilling  oper-
ations, oil production,  oil refining, oil
storage,  oil gathering, oil  processing.
oil transfer, oil distribution, and waste
treatment, or in  which oil is  used, as
described in Appendix  A to  this part.
The boundaries of a facility  depend on
several sire-specific factors,  including.
but not  limited to,  the  ownership or
operation of buildings, structures, and
                                     23
      203-159 D-2

-------
§112.2
          40 CFR Ch, i (7-1-04 Edition)
equipment on  the same site  and the
types of activity at the site,
  Fish and wildlife and wnsitiw environ-
ments means areas that may he identi-
fied  by their legal designation  or by
evaluations  of Area Committees (for
planning) or members of the Federal
On-Scene Coordinator's  spill response
structure  (during-  responses).  These
areas may include wetlands. National
and  State parks,  critical habitats for
endangered or  threatened species, wil-
derness  and natural  resource  areas.
marine  sanctuaries and  estuarine re-
serves,  conservation areas,  preserves.
wildlife  areas,  wildlife   refuges,  wild
and  scenic  rivers, recreational  areas.
national  forests.   Federal  and   State
lands that are  research national areas.
heritage  program  areas,  land  trust
areas,  and  historical   and  archae-
ological sites  and parks. These  areas
may also include  unique habitats such
as aciuaculture sites and agricultural
surface  water  intakes,  bird nesting
areas,  critical   biological  resource
areas,  designated  migratory  routes,
and designated seasonal habitats.
  Injury means a  measurable adverse
change, either long- or  short-term,  in
the chemical or physical  quality or the
viability  of a  natural resource result-
ing either directly or indirectly from
exposure  to a discharge, or exposure  to
a product of reactions resulting from a
discharge.
  Maximum   extent  practicable   means
within  the  limitations  used to  deter-
mine oil  spill  planning  resources and
response  times for on-water recovei-y.
shoreline protection,  and cleanup for
worst case  discharges  from  onshore
non-transportation-related facilities  in
adverse   weather.  It   includes  the
planned  capability to  respond  to  a
worst case discharge in adverse weath-
er, as contained in a response plan that
meets the requirements  in §112.20 or  in
a specific plan approved by  the Re-
gional Administrator.
  Navigable waters means the waters  of
the United  States, including the terri-
torial seas.
  (1) The  term  includes:
  (i) All waters that are currently used,
were used in the  past, or may be sus-
ceptible to  use in interstate or foreign
commerce, including all waters subject
to the'ebb and  flow of the tide;
  fiii  All  interstate waters, including'
inter.st.ate wetlands;
  •iiii Ail other waters such as intra-
nt-ate  lakes, rivers, streams (including
intermittent    streams).    mudflats.
sandflats.  wetlands,   sloughs,  prairie
pot-holes, wet meadows, playa lakes, or
natural ponds,  the use. degradation, or
destruction  of which could affect inter-
state  or foreign commerce including'
any such waters;
  (A)  That  are or could  be  used by
interstate or foreign  travelers for rec-
reational or other purposes; or
  (B)  Prom  -which fish or shellfish are
or could be taken and sold in interstate
or foreign commerce; or.
  (C> That are  or could be used for in-
dustrial purposes  by  industries  in
interstate commerce;
  (ivi All impoundments of waters oth-
erwise defined  as waters of the United
States under this sect-ion;
  
-------
Environmental Protection Agency
                               §112.2
the United States and is located in. on.
or under any other waters,
  Oil means  oil of any kind or in any
form,  including,  but not  limited  to:
fats, oils, or greases of animal, fish, or
marine mammal origin; vegetable oils.
including oils from seeds, nuts, fruits,
or kernels; and, other oils and greases.
including petroleum,  fuel  oil. sludge,
synthetic oils, mineral oils, oil refuse.
or oil mixed with wastes  other  than
dredged spoil.
  Oil Spill Removal Organization means
an  entity  that provides oil  spill  re-
sponse resources, and includes any for-
profit  or not-for-profit contractor,  co-
operative,  or  in-house  response  re-
sources that have been established in a
geographic area to provide required re-
sponse resources,
  Onshore facility means any facility of
any  kind located  in.  on, or under any
land within  the United  States,  other
than submerged lands,
  Owner or operator means  any person
owning or operating an onshore facility
or an offshore facility, and in  the case
of any abandoned offshore facility,  the
person who owned or  operated  or main-
tained the facility immediately  prior
to such abandonment.
  Partially buried tank means a storage
container that is  partially inserted or
constructed in the ground,  but not  en-
tirely below  grade, and not completely
covered  with earth,  sand,  gravel,  as-
phalt,  or other material. A partially
buried  tank is considered  an above-
ground storage  container for  purposes
of this part.
  Permanently closed  means any  con-
tainer or facility for which:
  (1) All liquid and sludge has  been re-
moved  from  each container and con-
necting line;  and
  (2) All connecting  lines  and piping
have been disconnected  from  the con-
tainer and blanked off,  all valves (ex-
cept for ventilation valves) have  been
closed  and   locked,  and  conspicuous
signs have been posted  on each con-
tainer stating that it is  a permanently
closed container and noting the date of
closure.
  Parson includes  an  individual,  firm.
corporation,  association,  or  partner-
ship.
  Petroleum oil means  petroleum in any
form,  including but  not  limited  to
crude oil. fuel oil,  mineral oil, sludge,
oil refuse, and refined products,
  Production  facility means  all  struc-
tures (including but  not  limited to
wells, platforms, or storage  facilities),
piping (including but not limited to
flowlines or gathering lines), or equip-
ment (including but  not  limited to
workover equipment, separation equip-
ment, or auxiliary  noii-transportation-
related equipment) used in the produc-
tion, extraction, recovery, lifting, sta-
bilization, separation or  treating of oil.
or associated  storage or measurement.
and located in a single geographical oil
or gas field operated by a single oper-
ator.
  Regional Administrator  means the Re-
gional Administrator  of the Environ-
mental  Protection  Agency,  in and for
the Region  in which the facility is lo-
cated.
  Repair means  an5r work  necessary to
maintain  or restore a container to a
condition suitable  for safe  operation,
other than that necessary for ordinary.
day-to-day  maintenance to  maintain
the functional  integrity  of the con-
tainer and that does  not weaken the
container.
  Spill Prevention. Control,  and Counter-
measure Plan: SPCC Plan, or Plan  means
the document required  by §112.3 that
details the equipment, workforce, pro-
cedures, anil steps to prevent, control.
and provide adequate counter-measures
to a discharge.
  Storage capacity of a  container  means
the shell capacity of the container.
  Transpoilation-reluted and  non-trans-
portation-rtilated. as  applied  to an on-
shore or offshore facility, are defined
in the Memorandum of  Understanding
between  the  Secretary  of  Transpor-
tation and  the  Administrator of the
Environmental   Protection   Agency,
dated November 24, 1971. (Appendix A
of this part),
  United States  means the States, the
District  of Columbia,  the  Common-
wealth of Puerto Rico,  the Common-
wealth  of  the  Northern  Mariana  Is-
lands,  Guam.  American  Samoa, the
U.S. Virgin Islands,  and  the  Pacific Is-
land Governments,
  Vegetable oil means a non-petroleum
oil or fat of vegetable  origin, including
but not limited  to oils and fats derived
                                     25

-------
§112.3
          40 CFR Ch, I (7-1-04 Edition)
from plant seeds, nuts, fruits, and ker-
nels.
  Vessel  means every  description  of
watercraft or other artificial  contriv-
ance used, or capable of being used, as
a means  of  transportation  on water.
other than a public vessel.
  Wetlands means  those areas that are
inundated or saturated by surface or
groundwater at a frequency or duration
sufficient to support, and that  under
normal circumstances do support,  a
prevalence   of  vegetation   typically
adapted for life in saturated soil condi-
tions. Wetlands generally include playa
lakes,  swamps,  marshes,  bogs,  and
similar areas such as sloughs, prairie
potholes,  wet  meadows,  prairie river
overflows, mudflats, and natural ponds.
  Worst case discharge  for an onshore
non-transportation-related     facility
means  the  largest   foreseeable  dis-
charge in adverse weather conditions
as determined  using the worksheets in
Appendix D to this part.

§112.3 Requirement  to prepare  and
    implement  a Spill Prevention, Con-
    trol, and Countermeasure Plan.
  The owner or operator of an onshore
or offshore facility subject to this  sec-
tion must prepare a Spill Prevention,
Control,   and  Countermeasure   Plan
(hereafter "SPCC  Plan" or "Plan)," in
writing, and in accordance with §112.7,
and any other applicable section of this
part.
  (a) If your onshore or offshore facil-
ity was in operation on or before  Au-
gust 16, 2002, you  must maintain your
Plan, but must amend it.  if necessary
to ensure compliance with  this part, on
or before  August 17. 2004. and must im-
plement  the amended Plan as soon as
possible,  but not  later than  February
18.  2005, If your onshore or offshore fa-
cility  becomes operational  after  Au-
gust 16. 2002. through February 18. 2005.
and could reasonably  be  expected to
have   a   discharge  as described  in
§112.Kb),  you must prepare a Plan on
or before February 18, 2005 ,  and fully
implement it as  soon as possible, but
not later than February 18. 2005.
  (b) If you are the owner or operator
of an onshore  or offshore  facility that
becomes operational after  February 18.
2005. and  could reasonably be expected
to  have   a  discharge  as  described in
§112.lib), you must prepare and imple-
ment a  Plan  before you  begin oper-
ations,
  (c) If you are  the owner or operator
of an onshore  or offshore mobile facil-
ity,  such  as  an  onshore drilling  or
workover rig.  barge mounted  offshore
drilling  or  workover rig.  or portable
fueling facility,  you must prepare, im-
plement, and maintain  a facility Plan
as required by this section. This provi-
sion does not require that you prepare
a new Plan each time you move the fa-
cility to  a new site. The Plan may be a
general plan. When you move  the mo-
bile or portable facility, you must  lo-
cate and install it  using the discharge
prevention  practices outlined  in  the
Plan for  the facility. You may not op-
erate a mobile or portable facility sub-
ject to this part unless you have imple-
mented the Plan. The Plan is  applica-
ble only  while the facility is in a fixed
(non-transportation) operating  mode.
  
-------
Environmental Protection Agency
                              §112.4
  «2) Have the Plan available to the Re-
gional Administrator for on-site review
during normal working hours,
  (f) Extension of lima. 

  • -------
    §112.5
             40 CFR Ch. i  (7-1-04 Edition)
    all information you provided to the Re-
    gional  Administrator under paragraph
    (a) of this section. Upon receipt of the
    information such State agency or agen-
    cies  may conduct  a review and make
    recommendations to the Regional Ad-
    ministrator as to  further procedures,
    methods, equipment, and other require-
    ments necessary to prevent and to con-
    tain  discharges from your facility.
      
    -------
    Environmental Protection Agency
                                   §112.7
    SPCC Plan within six months of the re-
    view to Include more effective preven-
    tion and control technology if the tech-
    nology  has been field-proven  at  the
    time  of the review  and  will  signifi-
    cantly reduce the likelihood of a  dis-
    charge  as  described  in  §112.lib) from
    the facility. You must implement  any
    amendment as soon as possible, but not
    later than  six months following prepa-
    ration of any  amendment.  You must
    document  your completion  Of the  re-
    view and evaluation, and  must slim a
    statement  as  to  whether  you  will
    amend  the Plan,  either at  the begin-
    ning' or end of the Plan or in  a log or an
    appendix to  the Plan.  The  following-
    words  will suffice. "I have  completed
    review  and evaluation  of  the  SPCC
    Plan for (name of facility)  on (date).
    and will (will not) amend the Plan  as a
    result."
      (O Have  a Professional Engineer  cer-
    tify any technical amendment to your
    Plan ill accordance with §112.3(d).
    
    § 112.6   [Reserved!
    
    S 112.7   General requirements for Spill
       Prevention,  Control, and Counter-
       measure Plans.
      If you are the owner or operator  of a
    facility subject to this part you must
    prepare a Plan  in accordance with g'ood
    engineering practices. The Plan must
    have the full approval of management
    at a level  of authority to  commit the
    necessary resources to fully implement
    the Plan. You must prepare the Plan in
    writing'. If you do not  follow the  se-
    quence specified in this section  for the
    Plan, you  must prepare an  equivalent
    Plan acceptable  to  the Regional  Ad-
    ministrator that meets all  of the appli-
    cable requirements listed  in this part,
    and you must supplement it with a  sec-
    tion cross-referencing the location of
    requirements listed in this  part and the
    equivalent  requirements in  the other
    prevention  plan. If the  Plan calls  for
    additional   facilities  or  procedures.
    methods, or  equipment not yet fully
    operational,  you  must  discuss  these
    items in separate paragraphs, arid must
    explain separately the details of instal-
    lation and  operational start-up. As de-
    tailed  elsewhere in  this section,  you
    must also:
      ;a)(l) Include a discussion of your fa-
    cility's conformance  with the require-
    ments listed in this part.
      (2)  Comply  with all  applicable  re-
    quirements listed  in  this  part.  Your
    Plan  may deviate from the  require-
    ments in  paragraphs  (g).  «
    The facility diagram must also include
    ail  transfer  stations  and  connecting
    pipes. You must also address in your
    Plan:
      (i)  The type of oil in each container
    and its storage capacity;
      (ii)  Discharge  prevention measures
    including procedures  for routine han-
    dling of  products  (loading, unloading.
    and facility transfers, etc.):
                                         29
    

    -------
    §112.7
              40 CFR Ch. I (7-1-04 Edition)
      (ill) Discharge or drainage controls
    such as secondary containment  around
    containers and other structures, equip-
    ment, and procedures for the control of
    a discharge;
      (iv) Countermeasures  for discharge
    discovery, response, and cleanup (both
    the facility's capability and those that,
    might he required of a contractor);
      (v) Methods of disposal of recovered
    materials in accordance with applica-
    ble legal requirements: and
      (vi) Contact list and phone numbers
    for the facility  response coordinator.
    National Response Center, cleanup con-
    tractors with whom you have an agree-
    ment for response,  and all appropriate
    Federal, State, and  local agencies who
    must be contacted in  case of a  dis-
    charge as described in §112,Kb).
      (4) Unless you have submitted a re-
    sponse  plan under  § 112,20.  provide in-
    formation and procedures in your Plan
    to  enable  a person reporting  a  dis-
    charge  as described in  §112,Kb) to re-
    late information on the exact address
    or location and phone number of the fa-
    cility;  the date  and time  of the  dis-
    charge,  the  type  of  material   dis-
    charged; estimates  of the total quan-
    tity discharged; estimates of the quan-
    tity  discharged  as  described   in
    §112,l(b); the source of the discharge; a
    description  of  all affected  media; the
    cause of the discharge; any  damages or
    injuries caused by  the discharge; ac-
    tions being used to stop, remove,  and
    mitigate the effects of the discharge;
    whether an evacuation may be needed;
    and. the names of individuals and/or or-
    ganizations who have also  been con-
    tacted.
      (5) Unless you have submitted a re-
    sponse plan under §112.20, organize por-
    tions of the Plan describing procedures
    you will use when a discharge occurs in
    a way that will make them readily usa-
    ble in  an emergency,  and  include ap-
    propriate supporting material  as ap-
    pendices,
      (b) Where experience indicates a rea-
    sonable potential for equipment failure
    (such as  loading or unloading equip-
    ment, tank overflow, rupture, or leak-
    age, or any other equipment known to
    be a source of a discharge), include in
    your Plan a prediction of the direction,
    rate of flow, and total quantity of oil
    which could be discharged from the fa-
    cility as a result of each type of major
    equipment failure.
      to Provide appropriate containment
    and or   diversionary   structures   or
    equipment to prevent  a  discharge as
    described in  §112.Kb). The entire con-
    tainment, system, including  walls  and
    floor, must be capable of containing oil
    and  must be constructed so that  any
    discharge from a primary containment
    system, such as a tank or pipe, will not
    escape the containment system before
    cleanup  occurs.  At  a  minimum,  you
    must use one of the  following preven-
    tion systems or its equivalent:
      (I) For onshore facilities:
      (ii Dikes,  berms. or  retaining walls
    sufficiently impervious  to contain oil:
      (ii i Curbing:
      (ill)  Culvert-ing',  gutters,  or  other
    drainage systems;
      (iv) Weirs, booms, or other barriers;
         of   this   section,   and
    §§112.8.   112.8(0(11).    112.9(c)<2).
    112.10(0,    112.12(0(2).    112,12(03(11).
    112.13(0(2). and 112.14(c) to  prevent a
    discharge as described in §112.Kb) from
    any  onshore  or  offshore facility is not
    practicable, you must  clearly explain
    in your  Plan why such measures are
    not practicable; for bulk storage con-
    tainers,  conduct both  periodic integ-
    rity testing of the containers and peri-
    odic integrity and leak testing of the
    valves paid piping: and.  unless you have
    submitted  a  response  plan   under
    §112.20. provide  in your Plan  the  fol-
    lowing1:
      (1) An oil  spill contingency plan fol-
    lowing the provisions of part 109 of this
    chapter.
      (2)  A written commitment of man-
    power,  equipment, and materials  re-
    quired to expeditiously control  and re-
    move any quantity  of oil discharged
    that may be harmful.
      (e) Inspections, teats, and records. Con-
    duct inspections and tests required by
    this part in accordance  with written
    procedures that  you  or the  certifying
                                         30
    

    -------
    invironmento; Protection Agency
                                   §112.
    enuu,!-!1! develop  for the facility- You
    must  keep  these  wilt-ten  prucecUirt-s
    Hiiii  a  record  of  the inspections; and
    tests, signed by the appropriate super-
    visor or inspector, with tlie  SPCC Plan
    joi: a period  of three years.  Records of
    inspections and tests kept under usual
    ,md  customary  business practices will
    suffice for purposes of this paragraph.
       Provide facility lighting commen-
    surate with  tlu;  type and  location  of
    the facility thai will assist, in th*3:
      i); Discovery of discharges  occurring
    iiuring hours of darkness, both by opei -
    •:u ing personnel, if present, and by  non-
    operating personnel (the general  uub-
    ":ic. local police, etc.): and
      Mi! Prevention  of  discharges  occur-
    mig through acts of vandalism.
      (hi  Facility tank' car and  tank truck
    !:>ading.unloading  rack  (excluding  tiff-
    \','W /aei/int'.sj. (1)  Where  loading-un-
    loading  area drainage  does  not  flow
    into a catchment  basin or  treatment
    facility designed  to handle discharges.
    use a Quick  drainage system  for tank
    r,*.!' or Lank  truck loading and unload-
    ing areas.  You must  design any  con-
    tainment system  to  hold at least the
    maximum capacity of any single com-
    partment of  a  tank car or tank truck
    loaded or unloaded at the facility.
      (2s Provide an  interlocked warning
    light or physical  barrier system, warn-
    ing  signs,  wheel   chocks,  or  vehicle
    '".•eak interlock system in loading'un-
    ;oading areas to prevent vehicles from
    departing before  complete  disconnec-
    tion of  flexible  or fixed oil transfer
    Sines.
      (3> Prior to filling and departure  of
    any tank car or tank truck,  closely in-
    spect  for  discharges  the  lowermost-
    drain and all outlets of such  vehicles.
    and if necessary, ensure that they are
    tightened, adjusted, or replaced to pre-
    vent liquid discharge while in transit.
      iii If a field-constructed aboveground
    container undergoes  a repair,  alter-
    ation,  reconstruction, or  a  change in
    .service that  might affect the risk  of a
    discharge or  failure due  to brittle frac-
    ture or other catastrophe,  or has dis-
    charged oil or failed due to brittle frac-
    lure  failure   or   other  catastrophe.
    evaluate the container for risk  of dis-
    charge or failure due to brittle fracture
    or other catastrophe, and as necessary.
    take appropriate action.
      (j) In addition to the minimal preven-
    tion standards listed under  this  sec-
    tion, include in your Plan  a complete
    discussion of conformance with the ap-
    plicable  requirements and other effec-
    tive  discharge prevention and contain-
    ment procedures  listed in this part, or
                                          31
    

    -------
    §112.8
              40 CFR Ch. I (7-1-04 Edition)
    any  applicable  more  stringent  State
    rules, regulations, and guidelines.
    
    Subpart  B—Requirements  for Pe-
        troleum  Oils  and  Non-Petro-
        leum Oils, Except Animal Fats
        and  Oils  and Greases,   and
        Fish and Marine Mammal Oils;
        and  Vegetable Oils (Including
        Oils  from  Seeds, Nuts,  Fruits,
        and  Kernels)
    
      SOVHCK: 67 FR 47146. July 17, 2002, unless
    otherwise noted.
    
    SI 12.8  Spill Prevention,  Control, and
       Countermeasure Plan requirements
       for  onshore facilities  (excluding
       production facilities).
      If you are the owner or operator of an
    onshore facility (excluding a produc-
    tion facility), you must:
      (a) Meet the general requirements for
    the Plan  listed under §112.7, and the
    specific discharge prevention  and con-
    tainment  procedures listed in this sec-
    tion.
      (b)  Facility  drainage.  (1)  Restrain
    drainage from  diked  storage  areas by
    valves to  prevent a discharge into the
    drainage  system or  facility  effluent
    treatment system, except  where facil-
    ity systems are designed  to control
    such  discharge.  You may empty  diked
    areas by  pumps or ejectors;  however.
    you   must  manually  activate  these
    pumps or  ejectors and must inspect the
    condition of the accumulation before
    starting,  to ensure no  oil will be dis-
    charged.
      (2)  Use  valves of manual, open-and-
    closed design, for the drainage of diked
    areas. You may not use  flapper-type
    drain valves to  drain  diked  areas. If
    your  facility drainage  drains directly
    into a watercourse and not into an oil-
    site  wastewater treatment plant, you
    must   inspect   and    may    drain
    uncontaminated retained  stormwater.
    as  provided in paragraphs  (e)<3)(ii).
    Ciii). and (iv) of this section.
      (3)  Design facility  drainage systems
    from  undiked areas with a potential for
    a discharge (such as where piping is lo-
    cated outside   containment,  walls  or
    where tank truck discharges may occur
    outside the loading  area)  to  flow into
    ponds, lagoons, or catchment basins de-
    simiod to retain oil or return it, to the
    facility.   You   must   not    locate
    catchment  basins in  areas  subject to
    periodic flooding'.
      (Ji If facility drainage is not engi-
    neered as in  paragraph (bu3)  of this
    section, equip the final discharge of all
    ditches inside the facility with  a diver-
    sion system  that would, in the event of
    an uncontrolled discharge, retain oil in
    the facility.
      15) Where drainage waters are treated
    in more than one treatment unit  and
    such  treatment is  continuous,   and
    pump  transfer is needed, provide  two
    "lift" pumps  and permanently install at
    least one of  the pumps. Whatever tech-
    niques you use. you must engineer fa-
    cility  drainage  systems to prevent a
    discharge  as described in §112.Kb) in
    case there is an equipment failure or
    human error at the facility.
      to Bulk storage containers.  <1)  Not use
    a container for the storage of oil unless
    its material and construction are com-
    patible with the material stored  and
    conditions of storage such as pressure
    and temperature.
      (2s Construct all bulk storage  con-
    tainer installations so that you provide
    a secondary means of containment for
    the entire capacity of the largest single
    container  and sufficient freeboard to
    contain precipitation. You must ensure
    that diked areas are sufficiently imper-
    vious to contain discharged oil. Dikes,
    containment curbs, and pits are com-
    monly employed for this purpose. You
    may  also use an  alternative   system
    consisting of a  drainage trench enclo-
    sure that must be arranged so that any
    discharge  will terminate and be safely
    confined in  a facility  catchment basin
    or holding pond,
      (3)    Not    allow     drainage    of
    uncontaminated  rainwater from  the
    diked  area  into a storm drain or  dis-
    charge of an effluent into an open wa-
    tercourse, lake, or pond, bypassing the
    facility treatment system unless you:
      
    -------
    Environmental Protection Agency
                                   §112.3
      (iv> Keep adequate records of such
    events,  for example, any  records  re-
    quired under permits issued in accord-
    ance with  §§122.41(jt<2) and 122.4Urr.tf3)
    of this chapter.
      (4)  Protect any  completely buried
    metallic storage tank installed on or
    after  January  10. 1974 from  corrosion
    by  coating's  or  cathodic  protection
    compatible with local  soil conditions.
    You must  regularly leak  test  such
    completely  buried   metallic   storage
    tanks,
      (5)  Not   use   partially  buried  or
    bunkered metallic tanks for the  stor-
    age of oil.  unless you protect the bur-
    ied section of the tank from corrosion.
    You must protect, partially buried and
    bunkered  tanks  from  corrosion  by
    coatings or cathodic protection  com-
    patible with local soil conditions.
      (8i Test each  aboveground container
    for integrity on  a regular schedule, and
    whenever you make material repairs.
    The frequency  of and  type of testing
    must  take  into  account container size
    and design (such as  floating roof,  skid-
    mounted, elevated, or partially buried).
    You must  combine  visual  inspection
    with another testing' technique such as
    hydrostatic testing, radiographic  test-
    ing, ultrasonic testing, acoustic emis-
    sions  testing,  or another system of
    non-destructive   shell  testing.  You
    must keep  comparison records and you
    must,  also  inspect the container's sup-
    ports and foundations. In addition, you
    must  frequently  inspect the outside of
    the container for  signs  of deteriora-
    tion, discharges,  or accumulation of oil
    inside diked areas.  Records of inspec-
    tions  and  tests  kept under usual  and
    customary  business  practices will  suf-
    fice for purposes of this paragraph.
      (7s Control leakage through defective
    internal  heating coils by  monitoring
    the st/ea.m return and exhaust lines for
    contamination  from internal  heating
    coils that  discharge  into an  open wa-
    tercourse, or pass the steam return or
    exhaust lines through a settling tank.
    skimmer, or other separation or reten-
    tion system.
      (8) Engineer or update each container
    installation in  accordance with  good
    engineering  practice  to   avoid   dis-
    charges. You must provide at least one
    of the following devices:
      d) High  liquid level alarms with an
    audible or  visual signal at a constantly
    attended operation or surveillance sta-
    tion. In smaller facilities an audible air
    vent may suffice.
      (ii) High  liquid level pump cutoff de-
    vices  set to stop flow  at a  predeter-
    mined  container content level.
      iiii)  Direct audible or code  signal
    communication between  the container
    ganger and the pumping  station.
      dv) A fast, response system for deter-
    mining the liquid level  of each bulk
    storage container such as digital com-
    puters,  telepulse.  or  direct  vision
    gauges. If  you  use this alternative, a
    person  must  be  present to  monitor
    gauges and the overall  filling of bulk
    storage containers.
      (v> You  must regularly  test  liquid
    Ifvel sensing devices to ensure proper
    operation.
      (9) Observe effluent treatment facili-
    ties frequently  enough  to detect  pos-
    sible system upsets that could cause a
    discharge as described in §112.l(b).
      (10)   Promptly  correct  visible  dis-
    charges which  result  in a  loss  of oil
    from the container, including but not
    limited  to  seams,  gaskets,  piping.
    pumps, valves,  rivets, and  bolts.  You
    must promptly  remove any accumula-
    t ions of oil in diked areas
      (11) Position or locate mobile or port-
    able oil storage  containers to prevent a
    discharge as described in §112.1(b), You
    must furnish a secondary means of con-
    tainment, such as a dike or catchment
    basin,  sufficient to contain the capac-
    ity of  the  largest single compartment
    or container with sufficient freeboard
    to contain  precipitation.
       Facility transfer operations,  pump-
    ing, and fat-Hit y process. (1) Provide bur-
    ied piping  that is installed or  replaced
    on or after August 16. 2002, with a pro-
    tective wrapping  and  coating.   You
    must   also   cathodlcally  protect  such
    buried  piping installations or otherwise
    -.ar.isfy the corrosion  protection stand-
    ards for piping  in part 280 of this chap-
    ter or  a State program approved under
    part 281 of this chapter.  If a section of
    buried  line is exposed for any reason.
    you must carefully inspect it for dete-
    rioration. If you find corrosion damage,
    you must  undertake  additional  exam-
    ination and corrective  action  as indi-
    cated by the magnitude of the  damage.
                                         33
    

    -------
    §112.9
              40 CFR Ch. I (7-1-04 Edition)
      (2) Cap or blank-flange the terminal
    connection at  the transfer  point and
    mark it as to origin when piping is not
    in service  or is in standby service  for
    an extended time.
      (3) Properly  design pipe supports to
    minimize abrasion and corrosion and
    allow for expansion and contraction.
      (4) Regularly inspect all abovegronnd
    valves, piping,  and appurtenances. Dur-
    ing the inspection you must assess the
    general  condition  of items, such as
    flange joints,  expansion joints,  valve
    glands and "bodies, catch pans, pipeline
    supports, locking of valves,  and metal
    surfaces. You must also conduct integ-
    rity and leak  testing of buried  piping
    at the time  of installation,  modifica-
    tion,  construction,  relocation,  or  re-
    placement.
      (5) Warn all vehicles entering the fa-
    cility to be sure that  no vehicle will
    endanger aboveground  piping or  other
    oil transfer operations.
    
    §112.9 Spill Prevention, Control, and
        Countermeasure Plan requirements
        for onshore oil production facilities,
      If you are the owner or operator of an
    onshore production facility,  you must:
      (a) Meet  the general requirements for
    the Plan listed  under  §112.7, and the
    specific discharge prevention and con-
    tainment procedures listed  under this
    section.
      (b) Oil  production facility drainage.. (1)
    At  tank batteries and separation and
    treating  areas  where there is a reason-
    able possibility  of a discharge  as  de-
    scribed in § 112.Kb), close and seal at all
    times  drains  of dikes or  drains  of
    equivalent  measures  required  under
    §112.7(c)(l),  except   when   draining
    uncontaminated rainwater.   Prior to
    drainage, you  must inspect the diked
    area  and take action  as provided  in
    §112.8(C)(3Xii).  (iii), and (iv). You must
    remove accumulated oil on  the rain-
    water and return it to storage or dis-
    pose  of it in accordance with legally
    approved methods.
      (2) Inspect at regularly scheduled in-
    tervals field drainage systems (such as
    drainage ditches or road ditches), and
    oil  traps, sumps, or skimmers,  for an
    accumulation of oil that may have re-
    sulted from any small discharge. You
    must promptly remove any  accumula-
    tions of oil.
      id Oil  production facility hulk storage
    containers.  il> Not use a container for
    the storage of oil unless its material
    and construction are compatible with
    •he material stored and the conditions
    of storage.
      <2) Provide all tank battery, separa-
    tion, and treating facility installations
    with  a secondary  means  of contain-
    ment  for the  entire capacity  of the
    largest single container and sufficient
    freeboard to contain precipitation. You
    must,   safely  confine  drainage  from
    undiked areas in a catchment basin or
    holding poncl.
      (3) Periodically  and upon a regular
    schedule visually  inspect  each con-
    tainer of  oil  for deterioration  and
    maintenance needs, including" the foun-
    dation and  support  of  each container
    that is on  or above  the surface  of the
    ground.
      fli Engineer  or  update new  and old
    tank  battery  installations in accord-
    ance with good engineering practice to
    prevent discharges. You must provide
    at least one of the following:
      (i) Container capacity adequate to as-
    sure that a container will not overfill if
    a pumper gauger is delayed in making
    regularly scheduled rounds.
      (ii) Overflow equalizing lines  between
    containers  so that a full container can
    overflow to an adjacent container.
      (iii)  Vacuum protection  adequate to
    prevent  container  collapse during  a
    pipeline  run 01 other  transfer  of oil
    from the container.
      (iv)  Hig'h  level  sensors  to generate
    and transmit, an alarm signal to the
    computer where the facility is  subject
    to a computer  production control sys-
    tem.
      (d) Facility transfer  operations, oil pro-
    duction facility. (1)  Periodically and
    upon  a  regular  schedule  inspect all
    aboveground valves  and piping associ-
    ated with  transfer operations for the
    general  condition  of  flange   joints.
    valve glands and bodies, drip pans, pipe
    supports,  pumping   well   polish, rod
    stuffing  boxes,  bleeder  and  gauge
    valves, and other such items.
      (2) Inspect saltwater  (oil  field brine)
    disposal  facilities  often,  particularly
    following a sudden  change  in  atmos-
    pheric temperature, to detect  possible
    system upsets capable of causing a dis-
    charge.
                                          34
    

    -------
    Environmental Protection Agency
                                  §112.11
      (3) Have a program of flowline main-
    tenance  to  prevent discharges  from
    each flowline,
    
    §112.10  Spill Prevention, Control, and
        Countermeasure Plan requirements
        for   onshore   oil   drilling   and
        workover facilities.
      If you are the owner or operator of an
    onshore oil drilling and workover facil-
    ity. you must:
      (a)  Meet, the general  requirements
    listed under §112.7,  and also  meet, the
    specific discharge prevention and con-
    tainment procedures listed under this
    section,
      (to) Position or locate mobile drilling
    or  workover equipment so as to  pre-
    vent  a   discharge   as  described  in
        Provide  catchment basins  or di-
    version  structures  to  intercept  and
    contain discharges of fuel, crude  oil. or
    oily drilling .fluids.
      fd)  Install   a  blowout  prevention
    (BOP) assembly and well control  sys-
    tem before drilling below  any  casing
    string or during workover operations,
    The BOP  assembly and well control
    system must be capable of controlling
    any well-head pressure that may be en-
    countered  -while  that BOP  assembly
    and well control  system are on  the
    well.
    
    §112.11  Spill Prevention, Control,  and
        Countermeasure Plan requirements
        for offshore oil drilling, production,
        or workover facilities.
      If you are the owner or operator of an
    offshore  oil  drilling,  production,  or
    workover facility,  you must:
      ias  Meet  the genera,!  requirements
    listed under §112.7.  and also  meet the
    specific discharge  prevention and con-
    tainment procedures listed under  this
    section.
      tb) Use oil drainage  collection  equip-
    ment to prevent and control small  oil
    discharges  around   pumps,  glands.
    valves, flanges, expansion joints,  hoses.
    drain lines, separators, treaters.  tanks.
    and associated  equipment. You must
    control and direct  facility drains to-
    ward a central collection sump to  pre-
    vent  the  facility  from  having  a  dis-
    charge as described  in §112.1(b>.  Where
    drains and sumps  are not practicable.
    you must remove  oil contained in  col-
    lection equipment  as  often  as  nec-
    essary to prevent overflow,
      to For  facilities employing a sump
    system, provide adequately sized sump
    and drains and make available a spare
    pump to remove liquid from the sump
    and  assure  that oil  does not escape.
    You must employ a regularly scheduled
    preventive maintenance inspection and
    testing program  to assure reliable op-
    eration of the liquid removal system
    and pump start-up device. Redundant-
    automatic sump pumps and control de-
    vices may l»e required on some installa-
    tions.
      ul) At facilities with areas where sep-
    arators and treaters are equipped with
    dump valves which predominantly fail
    ir, the  closed position and where pollu-
    t ion risk is high, specially equip the fa-
    cility to prevent the discharge of oil.
    You  must preveni the discharge of oil
    by:
      (1) Extending the flare line to a diked
    area if the separator is near shore:
      (2) Equipping the  separator with  a
    high liquid level  sensor that will auto-
    matically shut  in  wells  producing to
    the separator: or
      (3)   Installing   parallel   redundant
    damp valves.
      (e)  Equip  atmospheric'  storage  or
    surge containers with high liquid  level
    sensing devices that activate an alarm
    or control the flow,  or otherwise pre-
    vent discharges.
      (f)  Equip  pressure containers  with
    high and  low pressure  sensing devices
    that activate an alarm or control the
    '"low,
      !g> Equip  containers  with  suit-able
    corrosion protection.
      (h) Prepare and maintain at the facil-
    ity a written procedure  within the Plan
    for inspecting and   testing pollution
    prevention equipment and systems.
      (i)  Conduct testing and inspection of
    the  pollution  prevention  equipment.
    and systems at. the facility on  a sched-
    uled periodic basis, commensurate with
    the complexity,  conditions,  and  cir-
    :'umstances  of  th<>   facility  and any
    other  appropriate  regulations.  You
    must use simulated discharges  for test-
    nig and inspecting human and equip-
    ment  pollution control  and counter-
    measure systems.
      (ji  Describe in detailed  records sur-
    face and subsurface well shut-in valves
                                         35
    

    -------
    §112.12
              40 CFR Ch. \ (7-1-04 Edition)
    and devices in use at the facility for
    each  well sufficiently  to determine
    their  method  of activation or control,
    such as pressure differential, change in
    fluid  or flow  conditions, combination
    of pressure and flow, manual or remote
    control mechanisms.
      (k)  Install a BOP assembly and welj
    control system during' workover oper-
    ations and before  drilling below any
    casing string1. The  BOP  assembly and
    well control system must be capable of
    controlling any well-head pressure that
    may be encountered while the BOP as-
    sembly and well control  system are  on
    the well,
      (1) Equip all manifolds  (headers) with
    check valves on individual flowlines.
      (m) Equip the  flowline with  a high
    pressure  sensing  device and  shut-in
    valve at  the  wellhead if the shut-in
    well pressure is greater than the work-
    ing pressure of the flowline and mani-
    fold valves  up  to  and  including the
    header  valves. Alternatively you may
    provide a pressure  relief system for
    flowlines.
      (n)  Protect all piping appurtenant to
    the facility  from  corrosion, such  as
    with  protective  coatings  or  cathodic
    protection.
      (o)  Adequately  protect  sub-marine
    piping  appurtenant  to  the  facility
    agrainst  environmental   stresses and
    other activities such  as fishing oper-
    ations.
      (p)  Maintain sub-marine piping ap-
    purtenant to the facility in good oper-
    ating condition at all times. You must
    periodically and according to a sched-
    ule inspect or test such piping for fail-
    ures.  You must document and  keep a
    record of such inspections  or tests  at
    the facility.
    
    Subpart  C—Requirements  for Ani-
        mal   Fats    and    Oils    and
        Greases, and Fish and Marine
        Mammal Oils;  and for Vege-
        table Oils,  including Oils from
        Seeds,  Nuts, Fruits,  and  Ker-
        nels.
    
      SOURCE: 6? FE 57149, July 17, 2002. unless
    otherwise noted.
    §112.12  Spill Prevention, Control, and
       Countermeastire Plan requirements
       for  onshore  facilities  (excluding
       production facilities)
      If you are the owner or operator of an
    onshore facility (excluding a  produc-
    tion facility), you must:
      i a) Meet the general requirements for
    the Plan listed under §112.7. and  the
    specific discharge prevention and  con-
    tainment procedures listed in this sec-
    tion.
      (b>  Facility   drainage.   (It Restrain
    drainage from  diked storage areas by
    valves to prevent a discharge into the
    drainage system or  facility  effluent
    treatment system, except where facil-
    ity  systems  are designed  to  control
    such discharge. You may empty diked
    areas by pumps or ejectors; however.
    you  must,  manually  activate  these
    pumps or ejectors and must  inspect the
    condition  of  the accumulation before
    starting, to ensure no oil will  be dis-
    charged.
      (2) Use valves of manual, open-and-
    closed design, for the drainage of diked
    areas.  You may  not use flapper-type
    drain valves  to drain diked areas. If
    your  facility drainage drains  directly
    into  a watercourse and not  into an on-
    slte  waslewater treatment  plant, you
    must   inspect   and    may    drain
    uncoiitaminated retained stormwater.
    subject to  the requirements of para-
    graphs  (c)(3i(ii). tili), and (iv)  of this
    section.
      (3) Design facility drainage  systems
    from uncliked areas with a potential for
    a discharge (such as where piping is lo-
    cated  outside  containment walls  or
    where tank truck discharges may occur
    outside the loading area) to flow into
    ponds, lagoons, or catchment basins de-
    signed to retain oil or return it to the
    facility.  You   must   not   locate
    catchment  basins in  areas  subject to
    periodic flooding.
      (4) If facility drainage is not engi-
    neered  as in paragraph (b)(3)   of this
    section, equip the final discharge of all
    ditches inside the facility with  a diver-
    sion system that would, in the  event of
    an uncontrolled discharge, retain oil in
    the facility.
      (5) Where drainage waters  are treated
    in more than one treatment unit  and
    such  treatment  is  continuous,   and
    pump transfer  is needed, provide two
                                         36
    

    -------
    Environmental Protection Agency
                                  §112.12
    "lift" pumps and permanently install at
    least one of the pumps. Whatever tech-
    niques you use, you must engineer fa-
    cility drainage systems  to  prevent a
    discharge as described in §112.iCb» in
    case there is an equipment failure or
    human error at the facility.
      (c) Bulk storage containers. (I) Not use
    a container for the storage of oil  unless
    its material and construction are com-
    patible  with the  material  stored and
    conditions of storage such as pressure
    and temperature.
      (2) Construct all  bulk storage con-
    tainer installations so that you provide
    a secondary means of containment, for
    the entire capacity of the largest single
    container and  sufficient freeboard to
    contain precipitation. You must ensure
    that diked areas are sufficiently imper-
    vious to contain discharged  oil. Dikes.
    containment curbs, and pits are com-
    monly employed for this purpose. You
    may also  use  an  alternative system
    consisting  of a drainage  trench  enclo-
    sure that must be arranged so that any
    discharge will terminate  and be  safely
    confined in a facility catchment  basin
    or holding pond.
      (3)    Not    allow    drainage   of
    uncontaminated  rainwater  from the
    diked area into a storm drain  or dis-
    charge of an effluent into an open wa-
    tercourse, lake, or pond, bypassing the
    facility treatment system unless you:
      (i) Normally keep  the  bypass  valve
    sealed closed.
      (ii) Inspect the retained rainwater to
    ensure that its presence will  not  cause
    a discharge as described in §112.1(b).
      (ill) Open the bypass valve and reseal
    it following- drainage under responsible
    supervision; and
      (iv) Keep adequate  records of such
    events,  for example,  any records re-
    quired under permits issued  in accord-
    ance with §§ 122.41(j>(2> and 122.41un><3>
    of this chapter.
      (A)  Protect any completely  buried
    metallic storage tank installed  on or
    after  January  10. 1974  from  corrosion
    by  coatings  or  eathodic   protection
    compatible with local soil  conditions.
    You  must  regularly  leak  test  such
    completely   buried  metallic  storage
    tanks.
      (5)  Not   use  partially  buried  or
    bunkered  metallic tanks for the stor-
    age of oil.  unless  yon  protect the bur-
    ied section of the tank from corrosion.
    You must protect partially buried and
    bunkered  tanks  from  corrosion  by
    coatings or  eathodic  protection  com-
    patible with local soil conditions,
      c6) Test each aboveground container
    for integrity on a regular schedule, and
    whenever you make material repairs.
    The frequency of and type  of testing
    must take into account container size
    and design (such  as  floating"  roof,  skid-
    rnounted. elevated, or partially buried!.
    You must combine visual  inspection
    with another testing technique such as
    hydrostatic testing, radiographie  test-
    ing, ultrasonic testing, acoustic emis-
    sions testing,  or another system of
    non-destructive   shell   testing.   You
    must keep comparison records and you
    must also inspect the container's  sup-
    ports and foundations. In addition, you
    must frequently  inspect the  outside of
    the  container  for  signs  of  deteriora-
    tion, discharges,  or accumulation of oil
    inside diked areas.  Records  of  inspec-
    tions and tests  kept under  usual and
    customary business practices will suf-
    fice for purposes of this paragraph.
      (7) Control leakage through defective
    internal  heating coils by monitoring
    the steam return and exhaust lines for
    contamination from internal  heating
    coils  that discharge into an open wa-
    tercourse, or pass the steam return or
    exhaust lines through a settling tank.
    skimmer, or other separation or reten-
    tion system.
      (8) Engineer or  update each container
    installation  in accordance with  good
    engineering  practice   to  avoid   dis-
    charges. You must provide at least one
    of the following devices:
      (i) High liquid  level alarms with an
    audible or visual  signal at a constantly
    attended operation or surveillance sta-
    tion. In smaller facilities an audible air
    vent may suffice.
      (ii)  Hig*h liquid level pump cutoff de-
    vices set to stop flow at a predeter-
    mined container content level.
      ;iii)  Direct audible  or  code signal
    communication between the container
    gaugrer and the pumping station,
      (iv) A fast response system for deter-
    mining  the liquid  level of  each  bulk
    storage container such as digital  com-
    puters,   telepulse.   or  direct  vision
    gauges.  If you use  this alternative, a
    person must  be present  to monitor
                                         37
    

    -------
    §112.13
              40 CFR Ch. I (7-1-04 Edition)
    gauges and the overall filling of bulk
    storage containers.
      (v)  You  must  regularly  test  liquid
    level  sensing devices to ensure proper
    operation.
      (9) Observe effluent treatment facili-
    ties  frequently  enough to  detect pos-
    sible system upsets that couid cause a
    discharge as described in §112.Kb).
      (105  Promptly  correct  visible  dis-
    charges which result  in  a loss  of  oil
    from  the container, including but not
    limited  to  seams,  gaskets,  piping1.
    pumps,  valves,  rivets,  and bolts. You
    must promptly  remove any accumula-
    tions of oil in diked areas.
      (11) Position or locate mobile or port-
    able oil storage containers to prevent a
    discharge as described in §112.libs. You
    must furnish a secondary means of con-
    tainment, such as a dike or catchment
    basin, sufficient to contain the  capac-
    ity of the  largest single compartment
    or container with sufficient  freeboard
    to contain  precipitation.
      Cd)  Facility transfer operations,  pump-
    ing, and facility process. (1)  Provide bur-
    ied piping  that is installed or replaced
    on or after August 16, 2002. with a pro-
    tective  wrapping-  and  coating. You
    must, also  cathodically protect such
    buried piping installations or otherwise
    satisfy the  corrosion protection  stand-
    ards for piping in part 280 of this chap-
    ter or a State program approved under
    part 281 of this  chapter. If a section of
    buried line is exposed  for any reason.
    you must carefully inspect it for dete-
    rioration. If you find corrosion damage,
    you  must  undertake additional  exam-
    ination and corrective action as indi-
    cated by the magnitude of the damage.
      (2) Cap or blank-flange the terminal
    connection at  the transfer point  and
    mark it as to origin when piping is not
    in service  or is in standby service  for
    an extended time.
      (3) Properly  design pipe  supports to
    minimize abrasion and corrosion  and
    allow for expansion and contraction.
      (4) Regularly inspect all  aboveground
    valves, piping, and appurtenances. Dur-
    ing the inspection you  must assess the
    general condition of items, such as
    flange joints,  expansion  joints, valve
    glands and  bodies, catch pans, pipeline
    supports, locking of valves, and metal
    surfaces. You must also conduct integ-
    rity and leak testing of buried  piping
    at the time  of  installation, modifica-
    tion,  construction,  relocation, or  re-
    placement.
      (5) Warn all vehicles entering' the fa-
    cility to be sure that no vehicle  will
    endanger  aboveground piping or other
    oil transfer operations.
    
    §112.13  Spill Prevention, Control,  and
        Countertneasure Plan requirements
        for onshore oil production facilities.
      If you are the owner or operator of an
    onshore production facility,  you must:
      (a) Meet the general requirements for
    the Plan  listed under §112.7,  and the
    specific discharge prevention and con-
    tainment  procedures listed under  this
    section.
      (b) OiZ production  facility drainage. (!)
    At  tank batteries  and  separation  and
    treating areas where there is a reason-
    able possibility of a discharge as  de-
    scribed in §112.l(b). close and seal at all
    times  drains of dikes  or  drains  of
    equivalent  measures required  under
    §112.7(cMl).   except   when   draining
    uncontaminated  rainwater,  Prior   to
    drainage,  you must  inspect  the diked
    area and  take  action  as provided  in
    §H2.12(c)(3)tii). (iil). and (iv). You must
    remove accumulated oil on the rain-
    water and return it  to storage or dis-
    pose of it in accordance with legally
    approved methods.
      (2) Inspect  at regular1 y scheduled in-
    tervals field drainage systems  (such as
    drainage ditches or road ditches),  and
    oil  traps, sumps, or  skimmers, for an
    accumulation of oil that may  have re-
    sulted from any small discharge. You
    must promptly remove any  accumula-
    tions of oil.
      (c) Oil production facility hulk storage
    containers. (1) Not  use a container  for
    the storage of oil  unless  its material
    and  construction are compatible with
    the material stored and  the  conditions
    of storage.
      (2) Provide all tank battery, separa-
    tion, and  treating facility installations
    with  a secondary  means of contain-
    ment for the  entire capacity of  the
    largest  single container and sufficient
    freeboard to contain precipitation. You
    must  safely  confine  drainage  from
    undiked areas in a catchment  basin or
    holding pond.
                                          38
    

    -------
    Environmental Protection Agency
                                  §112.15
      (3) Periodically and upon a regular
    schedule  visually  inspect each  con-
    tainer  of  oil  for  deterioration  and
    maintenance needs, including' the foun-
    dation and  support, of each container
    that, is  on or above the surface of the
    ground
      (4) Engineer  or update new and old
    tank  battery installations in accord-
    ance with good engineering' practice to
    prevent discharges.  You  must provide
    at least one of the following:
      (i) Container capacity adequate to as-
    sure that a container will not overfill if
    a pumpergauger is delayed in makinsr
    regularly scheduled rounds.
      (ii) Overflow equalizing lines between
    containers so that a full container can
    overflow to an adjacent container'.
      (iiit Vacuum  protection adequate to
    prevent container collapse during'  a
    pipeline run or  other  transfer of oil
    from the container.
      (ivi High  level  sensors to  generate
    and transmit an alarm signal to the
    computer  where the facility is subject
    to a computer  production control sys-
    tem.
      (d) Facility transfer operations, oil pro-
    duction  facility.  (1) Periodically  and
    upon  a regular  schedule  inspect all
    aboveground valves  and piping associ-
    ated with transfer operations for the
    general condition   of  flange  joints.
    valve glands and bodies, drip pans, pipe
    supports,  pumping  well  polish  rod
    stuffing   boxes,  bleeder  and gauge
    valves, and other such items,
      (2) Inspect saltwater (oil field brine)
    disposal  facilities  often,  particularly
    following  a  sudden  change in atmos-
    pheric temperature, to detect possible
    system upsets capable  of causing a dis-
    charge.
      (3) Have a program of flow-line main-
    tenance to  prevent  discharges  from
    each flowline.
    
    § 112.14  Spill Prevention, Control, and
        Countermeasure Plan requirements
        for  onshore   oil   drilling  and
        workover facilities.
      If you are  the owner or operator  of an
    onshore oil drilling and workover facil-
    ity, you must:
      (a)  Meet  the general  requirements
    listed under §112.7. a,nd  also meet the
    specific discharge prevention  and con-
    tainment, procedures listed under  this
    section.
      :b) Position or locate mobile drilling1
    01 workover equipment so as tc  pre-
    vent:  a   discharge  as  described  in
    §112.Kb).
      •,c) Provide  catchment basins  or di-
    version  structures  to intercept  and
    contain discharges of fuel,  crude  oil. or
    oily drilling fluids.
      id)  Install  a blowout   prevention
    (BOP)  assembly and well  control  sys-
    tem  before  drilling below  any casing
    suing  or during workover operations.
    The  BOP assembly and  well control
    system  must be capable of controlling
    any well-head pressure that may  be en-
    countered  while that  BOP  assembly
    and  well control  system  are on  the
    well.
    
    § 112.15   Spill Prevention, Control,  and
       Countermeasure Plan requirements
       for offshore oil drilling, production,
       or workover facilities.
      If you are  the owner or operator of an
    offshore  oil  drilling,  production,  or
    workover facility, you must:
      
    -------
    §112,20
              40 CFR Ch. I (7-1-04 Edition)
    automatic sump pumps and control de-
    vices may be required on some installa-
    tions.
      (d) At facilities with areas where sep-
    arators and treaters are equipped with
    dump valves which predominantly fail
    in the  closed position and where pollu-
    tion risk is high, specially equip the fa-
    cility to prevent the discharge of oil.
    You must prevent the discharge of oil
    by:
      (1) Extending the flare line to a diked
    area if the separator is near shore:
      (2) Equipping the separator  with  a
    high liquid level sensor that will auto-
    matically shut  in wells producing to
    the separator: or
      (3)   Installing  parallel   redundant
    dump valves.
      (e)  Equip  atmospheric   storage  or
    surge containers with high  liquid level
    sensing devices  that activate an alarm
    or control the flow, or  otherwise pre-
    vent discharges.
      (f) Equip pressure  containers  with
    high and low pressure  sensing  devices
    that, activate an alarm  or  control the
    How,
      (g>  Equip  containers  with suitable
    corrosion protection.
      (h) Prepare and maintain at the facil-
    ity a written procedure within the Plan
    for inspecting  and  testing pollution
    prevention equipment and systems.
      (i) Conduct testing and inspection of
    the  pollution   prevention  equipment
    and systems at the facility  on a sched-
    uled periodic basis, commensurate with
    the complexity, conditions,  and  cir-
    cumstances  of  the  facility  and  any
    other  appropriate  regulations,  You
    must use simulated discharges for test-
    ing and  inspecting  human  and  equip-
    ment  pollution control and counter-
    measure systems,
      (j) Describe in detailed records  sur-
    face and subsurface well shut-in valves
    and devices in  use  at the  facility for
    each  well  sufficiently  to  determine
    their  method of activation or control,
    such as pressure differential, change in
    fluid  or flow conditions, combination
    of pressure and flow, manual or remote
    control mechanisms,
      (k) Install a BOP  assembly and well
    control system during workover  oper-
    ations and  before  drilling below any
    casing string.  The BOP assembly and
    well control system  must be capable of
    controlling any well-head pressure that
    may be encountered while that BOP as-
    sembly and well control system are on
    the well,
      (1) Equip all manifolds (headers) with
    check valves on individual flowlines.
      urn Equip the  flowline with a high
    pressure sensing  device and shut-in
    valve at the  wellhead if  the shut-in
    well pressure is greater than the work-
    ing pressure of the flowline arid mani-
    fold valves  up  to and  including the
    header valves.  Alternatively  you may
    provide a pressure relief system for
    flowlines.
      
    -------
    Environmental Protection Agency
                                  §112.20
    before February 18. 1993 who submitted
    a response  plan  by February 18,  1993
    shall  revise the response plan to satisfy
    the requirements of this section and re-
    submit  the response plan  or updated
    portions of the response plan to the Re-
    gional Administrator  by February 18.
    1995.
      iii)  The owner or operator of an exist-
    ing facility in operation on  or before
    February 18. 1993 who failed to submit
    A response  plan  by February 18.  1993
    shall  prepare and submit  a response
    plan that satisfies the  requirements of
    this section to the Regional Adminis-
    trator before August 30. 1994.
      (2) The owner or operator of a facility
    in operation on or after August 30. 199!
    that satisfies  the eriieria in paragraph
    (f)(l)  of tins section or that is notified
    by  the Regional  Administrator pursu-
    ant  to  paragraph  (b)  of this  section
    shall  prepare  and submit a facility re-
    sponse plan that satisfies the require-
    ments of this section to the Regional
    Administrator.
      (i) For a facility that commenced op-
    erations   after February 18. 1993  but
    prior to August 30. 1994. and is required
    to prepare and submit  a response plan
    based on the criteria in paragraph (fxli
    of this section, the  owner or operator
    shall  submit the response plan or up-
    dated portions of the response plan.
    along with a completed version of the
    response plan cover sheet contained in
    Appendix F  to this  part,  to  the  Re-
    gional Administrator  prior  to  August
    30. 1094.
      (ii)  For a newly constructed facility
    that  commences  operation  after  Au-
    gust 30. 1994. and  is required to prepare
    and submit a response plan based on
    the criteria in paragraph (fid) of  this
    section,  the owner  or operator shall
    submit the response plan, along with a
    completed version of the response plan
    cover sheet  contained in Appendix F to
    this part, to the  Regional  Adminis-
    trator prior to the start  of operations
    (adjustments  to  the  response plan to
    reflect changes that occur at the facil-
    ity during the start-up phase of oper-
    ations must be  submitted  to the  Re-
    gional Administrator  after  an oper-
    ational trial period of 60 days).
      (iiii For a facility required to prepare
    and submit a response plan after  Au-
    gust 30, 1994.  as a result of a planned
    ch.-mge in design,  construction,  oper-
    ation,  or maintenance chat renders the
    facility subject to the criteria in  para-
    graph  (full of this section, the owner
    01 operator bha.ll submit the response
    plan, along with a completed version of
    the  response plan  cover  sheet  con-
    tained in Appendix  F to this part, to
    the Regional Administrator before the
    portion  of  the   facility   undergoing
    change commences operations (adjust-
    ments to the response plan to reflect
    cli.inges that occur at the  facility dur-
    ini;  the start-up phase of operations
    must be submitted to the Regional Ad-
    ministrator after an operationa]  trial
    period of 60 (lays)
      •iv) For a facility required to prepare
    and  submit- a response plan after Au-
    gust 30, 1994. as  a result of ,-ui un-
    planned event or  change  in facility
    characteristics that renders the  facil-
    ity subject to the criteria in paragraph
    (fnl> of this section, the owner or  oper-
    ator shall submit  the response  plan.
    along with a completed version of the
    response plan cover  sheet, contained in
    Appendix F'  to  this  part,  to  the Re-
    gional   Administrator    within   six
    months  of the  unplanned event  or
    change.
      (3) In the event the owner or operator
    of a  facility that is required to prepare
    and  submit a response plan uses an al-
    ternative formula that  is  comparable
    to one contained in Appendix C to this
    part to evaluate the criterion in  para-
    graph ifxlKiiKB) or <:f)clHii)(C) of this
    section, the owner or operator shall at-
    tach  documentation to the  response
    plan cover sheet contained In Appendix
    F1  to this  part that denionstrat.es the
    reliability and analytical soundness of
    the alternative formula.
      (4) Preparation and submission  of re-
    sponse plans	Animal fa I and vegetable.
    ml facilities. The owner or  operator of
    any  non-transportation-related facility
    that handles, stores, or transports ani-
    mal  fats and  vegetable oils must pre-
    pare and submit  a  facility  response
    plan as follows:
      (i)  FaciUti(.'x itith approved plans. The
    owner  or  operator of a facility with a
    facility response plan that  has been ap-
    proved under paragraph ici of this sec-
    tion  by July 31. 2000 need not prepare
    

    -------
    §112.20
              40 CFR Ch. I (7-1-04 Edition)
    or submit a revised plan except as oth-
    erwise required by paragraphs (b). fet,
    or (d) of this section.
      (ii) Facilities with plans that have been
    submitted to the Regional Administrator,
    Except  for facilities  with approved
    plans as provided in paragraph 
    of this section, must prepare and sub-
    mit  a plan to the Regional Adminis-
    trator in accordance with paragraph
     of this section after
    July 31, 2000. including plans that had
    been previously approved, must also re-
    view  the plan to determine if it meets
    or exceeds the applicable provisions of
    this part. If the plan does not  meet or
    exceed the applicable provisions of this
    part, the owner or operator  must revise
    and resubmit  revised  portions of  an
    amended plan  to the Regional Adminis-
    trator in accordance with paragraph (d)
    of  this section, as  appropriate. The
    plan must meet or exceed the applica-
    ble provisions of this part,
      (bid)  The  Regional  Administrator
    may at any time require the owner or
    operator of  any non-transportation-re-
    lated onshore facility to prepare  and
    submit  a facility  response plan  under
    this  section after  considering the  fac-
    tors  in paragraph  (f>(2> of this section.
    If such a determination is  made,  the
    Regional  Administrator shall  notify
    the facility  owner or operator in writ-
    ing and shall provide a basis for the de-
    termination. If the Regional Adminis-
    trator notifies the owner or operator in
    writing of the requirement to  prepare
    and submit  a response plan  under  this
    section, the  owner or operator of the
    facility shall submit the response plan
    to the Regional Administrator  within
    six months  of receipt of such  written
    notification.
      (2) The Regional Administrator shall
    review plans submitted  by such facili-
    ties  to determine  whether the facility
    could, because of  its location, reason-
    ably  be expected  to  cause significant
    and  substantial harm to the environ-
    ment by discharging oil  into or on the
    navigable waters  or adjoining  shore-
    lines.
      (c) The Regional Administrator shall
    determine whether a facility could, be-
    cause of its  location, reasonably be ex-
    pected  to cause significant and  sub-
    stantial harm  to  the  environment by
    discharging  oil into or on the navigable
    waters  or adjoining shorelines,  based
    on the factors in paragraph (f)(3) of this
    section.  If  such  a determination is
    made,  the   Regional   Administrator
    shall notify  the owner  or operator of
    the facility in writing and:
      (1)  Promptly review the facility re-
    sponse plan;
      (2)  Require amendments to any re-
    sponse plan  that does not meet the re-
    quirements of this section:
      «3)  Approve any  response plan that
    meets the requirements of this section;
    and
      (4)  Review each response  plan  peri-
    odically thereafter on a schedule estab-
    lished by the Regional  Administrator
    provided that the  period between plan
    reviews does not exceed five years.
      (did)  The  owner or operator of a fa-
    cility for which a response plan is re-
    quired under this part shall revise and
                                         42
    

    -------
    Environmental Protection Agency
                                  §112.20
    resubmit  revised  portions of the  re-
    sponse plan within 60 days of each fa-
    cility change  that materially may af-
    fect  the  response  to  a worst case dis-
    charge, including:
      (i) A change in the  facility's configu-
    ration that materially alters the infor-
    mation included in the response plan:
      (lit A change in the type of oil han-
    dled, stored, or transferred that mate
    rially alters the  required response re-
    sources:
      fiii) A material change in capabilities
    of the oil spill removal organization!s>
    that provide equipment and personnel
    to respond  to  discharges of oil  de-
    scribed in paragraph  (h)<5) of this sec-
    tion:
      (iv) A material  change in  the  facili-
    ty's   spill  prevention  and  response
    equipment or  emergency response pro-
    cedures: and
      (v)  Any other changes that materi-
    ally  affect the implementation  of  the
    response plan.
      (2) Except as  provided in  paragraph
    (d)il) of  this  section, amendments to
    personnel and telephone number lists
    included in the response plan  and a
    change in the  oil spill removal organi-
    zationis) that  does not result in a ma-
    terial change in support capabilities do
    not  require approval by the Regional
    Administrator. Facility owners  or  op-
    erators shall  provide a  copy of such
    changes to the Regional Administrator
    as the revisions occur.
      (3> The owner or operator of a facility
    that  submits  changes  to a response
    plan as provided in paragraph (d)(l) or
    (d)(2) of  this section  shall provide  the
    EPA-issued facility identification num-
    ber (where one has been assigned) with
    the changes.
      (4) The Regional Administrator shall
    review for approval  changes to  a  re-
    sponse  plan  submitted  pursuant  to
    paragraph (d)d) of this section for a fa-
    cility  determined  pursuant  to   para-
    graph (f)(3) of this section to have  the
    potential to cause  significant and sub-
    stantial harm  to the environment.
      tej If the owner or operator of a facil-
    ity determines pursuant to  paragraph
    (a)(2) of  this section  that the facility
    could not. because of its location, rea-
    sonably be expected to cause substan-
    tial  harm to the  environment by dis-
    charging oil into  or  on the navigable
    waters  or  adjoining  shorelines,  the
    owner or  operator shall Complete and
    maintain  at the  facility  the  certifi-
    cation form contained in Appendix C to
    this  part  and.  In the event  an alter-
    native formula  that  is comparable to
    one  contained  in Appendix  C  to this
    part is used to evaluate the criterion in
    paragraph ifxlxii'xB) or (fiilKii'iC) of
    this  section,  the  owner  or operator
    shall attach documentation, to the cer-
    tification form  that  demonstrates the
    reliability and  analytical soundness of
    the comparable formula and shall no-
    tify  the  Regional  Administrator  in
    wilting that  an  alternative  formula
    was used.
      ifx'l) A  faeiiifv  could, because of its
    location,  reasonably  be  expected  to
    cause substantial  harm to  the environ-
    ment by discharging oil into  or on the
    navigable  waters or adjoining shore-
    lines pursuant  to paragraph (ax2> of
    this  section, if i' meets any  of the fol-
    lowing criteria,  applied  in accordance
    with  the  flowchart contained  in At-
    tachment  C-I to  Appendix  C to this
    part:
      • i) The  faciiiiy transfers  oil  over
    water to or from vessels and has a  total
    oil  storage capacity greater  than  or
    equal to 42.000 gallons: or
      iii) The  facility's total oil storage ca-
    pacity is greater than or equal to 1 mil-
    lion  gallons, and one of the following is
    true:
      (A) The  facility does not have sec-
    ondary  containment for  each  above-
    ground storage  area  sufficiently  large
    to contain the capacity of the  largest
    aboveground oil storage  tank  within
    each   storage   area  plus   sufficient
    freeboard  to allow for precipitation:
      (Bi The  facility  is located at, a dis-
    tance (as  calculated using the appro-
    priate  formula  in  Appendix C  to this
    part or a comparable formula i  such
    that a discharge from the facility could
    cause injury to  fish and  wildlife and
    sensitive environments. For further de-
    scription  of fish and wildlife and sen-
    sitive environments,  see Appendices 1.
    II. and III of the "Guidance for Facility
    and  Vessel Response Plans:  Fish and
    Wildlife and Sensitive Environments"
    (see  Appendix E to this part,  section 13.
    for  availability^  and  the  applicable
                                          43
    

    -------
    §112.20
              40 CFR Ch, 1 (7-1-04 Edition)
    Area Contingency Plan prepared pursu-
    ant to  section  311
    -------
    Environmental Protection Agency
                                  §112.20
    to identify the location of the elements
    listed  in  paragraphs  (h)(2)  through
    ('hj(IO) of this section. To meet the re-
    quirements of  this  part,  a response
    plan  shall address  the  following ele-
    ments, as  further described in  Appen-
    dix F to this part:
      (1)  Kmergcncy  rt'.iponxv  action  plan
    The response  plan  shall  include an
    emergency response action plan in the
    formal, specified in paragraphs  (hxlxi)
    through  (viii)  of this section  that  is
    maintained in the front of the response
    plan, or as a separate document, accom-
    panying the response plan, and that in-
    cludes the following information:
      (i) The identity and telephone  num-
    ber of a qualified individual having- full
    authority,  including'  contracting au-
    thority, to implement removal actions:
      di) The identity of individuals or or-
    ganizations to  be  contacted  in the
    event of a discharge so that immediate
    communications between the qualified
    individual identified in paragraph (hxl)
    of this section and the appropriate Fed-
    eral officials and the persons providing
    response personnel and equipment can
    be ensured;
      (iii) A  description  of information to
    pass to response personnel in the  event
    of a reportable discharge;
      (iv) A description of the facility's re-
    sponse equipment and its location:
      (v)  A  description  of  response  per-
    sonnel capabilities, including the du-
    ties of persons at the facility during  a
    response  action  and  their  response
    times and qualifications:
      (vi) Plans for  evacuation of the facil-
    ity and a reference to community evac-
    uation plans, as appropriate:
      (viii A  description   of  immediate
    measures to secure the source of the
    discharge, and to provide adequate con-
    tainment, and  drainage  of discharged
    oil: and
      (viii) A diagram of the  facility.
      (2) Facility information. The response
    plan shall identify and discuss the loca-
    tion and type cf the  facility, the iden-
    tity and tenure of  the  present owner
    and operator, and  the identity of the
    qualified individual identified in  para-
    graph (h)(l) of this section.
      (3)  information  about   emergency re-
    sponse. The response plan shall include:
      (i) The identity of private personnel
    and equipment necessary to remove to
    trie  maximum  extent  practicable  a
    worst  case discharge  and  other  cli-s-
    cluirges of oil  described in  paiv.gro.ph
    (hit5) of this -section, and to militate  or
    pi-event a substantial threat- of a worst
    case discharge (To identify response re-
    sources to meet the facility  response
    plan requirement* of this section, own-
    ers or operators shall follow Appendix
    B  to this par: or. where  not  appro-
    priate, shall clearly demonstrate in the
    response plan why use of Appendix K of
    this  part  is not appropriate at the fa-
    cility  and rnakr comparable  arrange-
    ments for response  resources):
      i ii) Kvidem e of contracts or other ap-
    proved mean.-;  for  ensuring  the avail-
    ability  of .such personnel  and  equip-
    n^'iit:
      (iii)  The identity and the telephone
    number of individuals or organizations
    to be contacted in the event  of a dis-
    charge so that immediate communica-
    tions between the  qualified  individual
    identified  in paragraph  (hill) of  this
    section and the  appropriate Federal of-
    ficial  and the  persons  providing  re-
    sponse personnel and equipment can  be
    ensured;
      (iv) A description of information  to
    pass to response personnel in the event
    of a reportable discharge:
      (v)  A  description  of response  per-
    sonnel capabilities, including the du-
    ties  of persons at the  facility  during a
    response  action and  their  response
    times and qualifications:
      (vi) A description of the facility's re-
    sponse equipment,  the location of the
    equipment, and equipment testing:
      mi) Plans for evacuation of the facil-
    ity and a reference  to community evac-
    uation plans, as appropriate.
      .'viii) A diagram of evacuation routes;
    and
      fix) A description of the duties of the
    qualified individual identified in para-
    graph  (h)(l)  of this  section,  that- in-
    clude:
      (A) Activate internal alarms and haz-
    ard communication systems to notify
    all facility personnel:
      (B) Notify all response personnel,  as
    needed;
      (C)  Identify   the  character,  exact
    source, amount, and extent of the re-
    lease, as well as the other items needed
    for notification;
                                          45
    

    -------
    §112.20
              40 CFR Ch. I (7-1-04 idition)
      (D- Notify  and pi'-jvidf iH'i:^h,<,ii ,• in-
    formation to  the  appropriAt-j  Federal.
    State, and local authorities with  des-
    ignated response  roles. Including tin-
    National Response Center. .State Emer-
    gency Response Commission, and Local
    Emergency Planning- Committee:
      (E) Assess  the interaction of the dis-
    charged  substance  with water  and-or
    other substances stored at the  facility
    and  notify response personnel at the
    scene of that assessment:
      (F) Assess  the  possible hazards to
    human health and the environment due
    to the release. This assessment must
    consider both  the direct,  and  indirect
    effects of the release (i.e., the effects of
    any  toxic, irritating-, or  asphyxiating
    g-ases that may be generated, or the ef-
    fects of  any  hazardous surface water
    runoffs from water or chemical agents
    used  to control fire and  heat-induced
    explosion);
      (G) Assess and implement prompt re-
    moval actions to  contain and  remove
    the substance released:
      (Hi Coordinate  rescue and response
    actions as previously arranged with all
    response personnel;
      (I) Use authority to immediately ac-
    cess company funding to initiate clean-
    up activities: and
      (J)  Direct  cleanup activities  until
    properly relieved of this responsibility.
      (4)  Hazard evaluation. The response
    plan shall discuss the facility's known
    or reasonably identifiable history of
    discharges reportable  under  40 CFR
    part 110 for the entire life of tin- facil-
    ity and shall  identify areas within the
    facility where discharges could occur
    and  what the  potential effects  of the
    discharges would be on the affected en-
    vironment. To assess the range of areas
    potentially  affected, owners or opera-
    tors shall, where  appropriate,  consider
    the  distance  calculated in paragraph
    (f)(l)(ii)  of  this section to determine
    whether a facility could, because of its
    location,  reasonably  be  expected to
    cause substantial  harm to the  environ-
    ment by discharging oil into or on the
    navigable waters  or adjoining-  shore-
    lines.
      (5)  Response  planning  levels.  The re-
    sponse plan shall  include  discussion of
    specific planning scenarios for:
      (it  A worst  case  discharge,  as cal-
    culated using the  appropriate work-
    .-hs-ot in Appendix i.'  to  this  part. In
    rA~es where  the  Regional  Adminis-
    trator determines that the wortst case
    
    -------
    Environmental Protection Agency
                                  §112.21
          A description of the training' pro-
    gram to be carried  out under the  re-
    sponse plan as described in §112.21; and
      (iv)  Logs  of  discharge  prevention
    meetings, training sessions, and  drills-
    exercises.  These  logs  may  be  main-
    tained as  an annex  to  the  response
    plan.
      (9) Diagrams. The response plan shall
    include site plan and drainage plan dia-
    grams.
      (10)  Security  systems.  The  response
    plan shall  include a description  of  fa-
    cility security systems.
      (11) Response, plan carer sheet. The  re-
    sponse plan shall include a completed
    response plan cover sheet provided in
    Section 2.0 of Appendix F to this part.
      fi'KD In the  event the owner or oper-
    ator of a facility does not agree with
    the  Regional  Administrator's   deter-
    mination that the facility could,  be-
    cause of its location, reasonably  be  ex-
    pected to  cause substantial  harm  or
    significant and substantial harm  to the
    environment by discharging ojl into or
    on  the  navigable waters or adjoining-
    shorelines, or  that amendments to the
    facility  response plan  are  necessary
    prior  to  approval, such  as changes to
    the worst case discharge planning vol-
    ume,  the owner  or operator may sub-
    mit  a request  for reconsideration  to
    the Regional  Administrator  and pro-
    vide additional information and data, in
    writing to support the request. The  re-
    quest and accompanying- information
    must  be  submitted to the Regional Ad-
    ministrator within 60 days of receipt of
    notice of the Regional Administrator's
    original decision. The Regional Admin-
    istrator shall  consider the request and
    render a decision as rapidly  as  prac-
    ticable.
      (2) In the event the owner or operator
    of a facility believes  a change in the fa-
    cility's  classification  status is  war-
    ranted because  of an  unplanned  event
    or change in the facility's characteris-
    tics (i.e.. substantial harm or signifi-
    cant and substantial harm), the  owner
    01 operator may submit a request  for
    reconsideration  to  the  Regional  Ad-
    ministrator and  provide additional  in-
    formation and data  in writing to sup-
    port the  request. The Regional Admin-
    istrator shall  consider the request and
    render a decision as rapidly  as  prac-
    ticable.
      tji  After  a  request  for  reconsider-
    ation under paragraph i'i)d) or (i>(2) of
    this section has been denied by the Re-
    gional Adminlritrat-or. an owner or op-
    erator  may  appeal  a  determination
    made by  the  Regional Administrator.
    The appeal shall be made to the EPA
    Administrator  and  shall be  made in
    writing within GO days of receipt  of the
    derision from  the Regional  Adminis-
    trator that the request for  reconsider-
    ation was denied. A  complete copy or
    the  appeal must  be sent to the  Re-
    gional Administrator at the  time the
    appeal is  made. The  appeai  shall con-
    tain a clear and concise statement of
    the  issues and points  of  fact  in  the
    case. It also may contain additional in-
    formation from the owner or operator,
    or from any -..-.ther person. The EPA Ad-
    ministrator may request additional in-
    formation from the owner or operator.
    or from any other person. The EPA Ad-
    ministrator shall  render a decision as
    rapidly as practicable and shall notify
    the owner or operator of the decision.
    §112.21   Facility response training and
        drills/exercises.
      i a) The owner or operator of any fa-
    cility required to prepare a facility re-
    sponse plan under §112.20 shall develop
    and  implement  a  facility  response
    training program and  a drill-exercise
    program that satisfy the requirements
    of this section. The owner or operator
    shall describe the programs in the re-
    sponse plan as provided in §112.201) The owner or operator shall  be re-
    sponsible for the  proper instruction of
    facility personnel in the procedures to
    respond to discharges of oil and in ap-
    plicable  oil spill  response laws,  rules,
    and regulations.
    

    -------
    Pt. 112, App. A
               40 CFR Ch. I (7-1-04 Edition)
      (2) Training shall be functional in na-
    ture according' to job tasks for both su-
    pervisory  and  non-supervisory  oper-
    ational personnel.
      (3) Trainers shall develop specific les-
    son plans on  subject areas relevant to
    facility  personnel  involved  in oil  spill
    response and cleanup.
      (c)  The  facility  owner or  operator
    shall develop a program of  facility re-
    sponse drills/exercises, including eval-
    uation procedures.  A program that fol-
    lows the National  Preparedness for Re-
    sponse Exercise Program (PREP) isee
    Appendix E to this part, section 13. for
    availability)  will  be  deemed  satisfac-
    tory for purposes of this section. An al-
    ternative program  can also  be accept-
    able  subject  to approval  by  the  Re-
    gional Administrator,
    [59 FR 34101. July 1.  1994. as amended at  65
    FR 40798, June 30, 2000]
    
    APPKXDIX A TO PART 112—MKMOBANDUM
        OF  UNDERSTANDING   BKTWKKN THK
        SECRETARY OF TRANSPORTATION AND
        THK   ADMINISTRATOR.  OF  THK  ENVI-
        RONMENTAL  PROTKCTION AGKNCY
      The Environmental Protection Agency and
    the Department of Transportation agree that
    for the purposes of Executive Order 11548.  the
    term:
      (1!  Non-transportation-rflated  'inshore and
    offshore futilities means;
      (A) Fixed onshore  and offshore  oil well
    drilling facilities  including- all  equipment
    and  appurtenances  related  thereto used  in
    drilling operations for exploratory or devel-
    opment wells, but excluding  any terminal fa-
    cility, unit or process integrally associated
    with the handling' or transferring' of oil  in
    bulk to or from a vessel.
      (B) Mobile  onshore and offsliuie oil well
    drilling platforms, barges, trucks, or  other
    mobile facilities including all equipment and
    appurtenances  related  thereto when  such
    nioliile facilities are fixed in position for  the
    purpose of drilling operations for exploratory
    or development wells, but excluding any ter-
    minal facility, unit- or process integrally as-
    sociated with the handling or transferring of
    oil in bulk to or from a vessel.
      (.C) Fixed onshore and offshore oil produc-
    tion structures, platforms, derricks, and rigs
    including  all equipment and appurtenances
    related thereto,  as  well  as  completed  wells
    and  the wellhead separators, oil separators.
    and storage facilities used in the production
    of oil. but excluding  any terminal facility.
    unit or process integrally  associated with
    the handling or transferring of oil in bulk to
    or from a vessel,
      (D) Mobile onshore and offshore oil produc-
    tion facilities including all equipment and
    appurtenances  related  thereto  as  well as
    completed  wells  and  wellhead  equipment,
    piping'  from wellheads to oil separators, oil
    separators, and storage facilities used in the
    production of oil when such mobile facilities
    are fixed in position for the purpose of oil
    production operations,  but  excluding  any
    terminal facility, ur.it or process integrally
    associated with the handling or transferring
    of oi! in bulk to or from a vessel.
      (E)  Oil  refining1  facilities  including  all
    equipment and appurtenances related there-
    to as well as in-plant- processing units, stor-
    age  units, piping,   drainage  systems  and
    waste treatment units used In the refining of
    oil. but excluding any terminal facility, unit
    or  process integrally associated  with  the
    handling or transferring- of oil in bulk to or
    from a vessel.
      (Ft  Oil  storage  facilities  including  all
    equipment and appurtenances related there-
    to as well as  fixed  bulk plant storage, ter-
    minal  oil  storage facilities, consumer stor-
    age, pumps and drainage systems used in the
    storage of oil.  but excluding inline or break-
    out storage tanks needed for the continuous
    operation  of a pipeline system and any ter-
    minal facility, unit or process integrally as-
    sociated with the handling  or transferring of
    oil in bulk to or from a vessel.
      (Gi Industrial, commercial, agricultural or
    public  facilities which use and store oil, but-
    excluding any  terminal facility, unit or proc-
    ess integrally  associated with the  handling
    or transferring- of oil in hulk to or from a
    vessel.
      (H)  Waste treatment  facilities  including
    in-plant pipelines, effluent discharge  lines,
    and  storage   tanks,  but  excluding waste
    treatment facilities  located  on  vessels and
    terminal storage tanks  and appurtenances
    for the reception of oily  ballast  water or
    tank washings from vessels  and associated
    systems used for off-loading vessels.
      d! Loading  racks, transfer hoses, loading
    arms and other equipment  which are appur-
    tenant, to  a nontransportation-related facil-
    ity or  terminal facility and which  are  used
    to transfer oi!  in bulk to or from highway ve-
    hicles or railroad cars.
      i'J)  Highway vehicles and  railroad  cars
    which are used for the transport of oil exclu-
    sively  within  the confines of a nontrans-
    portation-related facility and which are not
    intended to transport oil  in interstate or
    intrastate commerce.
      lK) Pipeline  systems which are used for the
    transport  of oil exclusively within  the con-
    fines of a, nontransportation-related facility
                                              48
    

    -------
    Environmental  Protection Agency
                               Pt. 112, App. B
    .H' terminal lacility and which  are  not  in-
    cended to transport oil in interstate or intra-
    •?tate commerce, but, excluding' pipeline sys-
    tems used to transfer oil in bulk to or from
    i vessel.
      {.2i  Tianxportutiim-rt'iatt'ii onshore, and rni-
    •ilioi'f t'w.iiitics means;
      (A) Onshore and offshore  terminal facili-
    ties  iiiohiding' transfer hoses,  loading'  arms
    and other equipment and appurtenances used
    for the purpose of handling; or transferring
    oil in hulk to or from a vessel aa well as slor-
    .•is?e tanks and  appurtenances for the rec.fip-
    tion of oily ballast  water or tank washings
    from  vessels, but axcludmg  terminal waste
    treatment facilities  and terminal oil storage
    facilities.
      (B< Transfer hoses, loading arms  and  other
    equipment appurtenant  to a  aon-transpor-
    tation-related facility which is used ».o trans-
    fer oil in bulk to or from a vessel.
      iC)  Interstate and intrastate onshore aiid
    offshore pipeline  system;' including pump*
    and appurtenances related thereto  as well .is
    in-line cr breakout storage tanks needed for
    the continuous  operation of a pipeline sys-
    tem, and pipeline;; from onshore and offshore
    oil production  facilities, but excluding on-
    shore and offshore piping from vellueads to
    oil separators and pipelines  which are used
    for the transport of oil  exclusively within
    the confines of a nontransport-ation-relat-ed
    facility or terminal facility and which are
    not. intended to transport oil in interstate or
    intrasfate commerce or  to  transfer  oil in
    bulk to or from a vessel.
      (D» Highway  vehicles  and  railroad ear*
    which are used for  the  transport  of oil in
    interstate or intrastate commerce and the
    equipment and appurtenances related there-
    to, and equipment used for the fueling'  of lo-
    comotive units, as well as the rig'hts-of-way
    on which they  operate.  Excluded  are  high-
    way vehicles and railroad cars  and motive
    power used exclusively within the confines of
    a  nontransportation-related  facility or ter-
    minal facility and which are not intended for
    use in iru-erstate or intrastate commerce.
    
    APPENDIX B TO PART 112—MKMOKANDCM
        OF UNDERSTANDING AMONG THE  SEC-
        RETARY  OF  THK   INTERIOR,   sr.c--
        KETAHY OF  TRANSPORTATION.  AND
        ADMINISTRATOR  OF THE  ENVIRON-
        MENTAL PROTECTION AGENCY
      This   Memorandum   of   Understanding
    i MOO) establishes the jurisdictional  >f-*pon-
    sibilii-ies  for  offshore  facilities,  including
    pipelined, pursuant  to  section 311 fjXliic).
    (j)(5). and (j)(6)(A> of the Clean Water Act
    !CWA). as amended by the Oif Pollution Act
    of 1990 (Public Law 10.1-380). The Secretary ol
    trie Department of the Interior (DOI>, Sec-
    retary ol the Department  of Transportation
    i DOT), and Administrator  of the Environ-
    meiral  Protection Agency (EPA) agree to
    the  division  of responsibilities  set  forth
    below for  spill  prevention  and control,  re-
    sponse planning, and  equipment  inspection
    activities pursuant  to those provisions.
      Executive Order '.E.G.;  12777 (36  FK .V175T)
    delegates to DO1, DOT. and KPA various re-
    sponsibilities  identified  in section Sllij)  of
    the CVVA. Sections 2(13X31. 2(d)(3). and L!«.>x3>
    of F..O. 12777 assigned to DOI spill prevention
    and  control,   eonfting'eney  planning',  and
    e.'iiupment inspection activities  assoi inted
    wilh offshore facilities. Section SIKahlli de-
    fin*-> the term "offshore facility" to include
    I'aclHties of any kind located in. on, or under
    nav.tfatile waters of the  United States. By
    usiiijj '.his definition,  the traditional  DOI
    rol-'-  of   reg'ul;U'ing' facilities on  the Outer
    Conrinental tJhelf is expanded by E.O  12777
    to include inland lakes, rivers, streams, and
    anv other inland vvMtr-rs,
      Pursuant to section 2ii)  of lii.O. 1277,. DOt
    widelcigates, and EPA and  DOT agree to as-
    sume,  the  functions  vested  in DOI  i>y sec-
    tion,-. 2fb>(3),  2id)i3). and 2(en3) of E.O. 1.277"
    as .ss-t forth below. For purpose.-', of this MOU.
    the term "coast HUP" shall be defined as in
    thr- Submerged Lands Act  (43  f.a.C. 1301ic))
    to rneaii  "the  line  of ordinary low water
    aloim that portion of the  coast which is in
    direct, contact with the open sea and the line
    marking the seaward  limit of inland waters."
      1. To  EPA. DOI redelegat.es  responsibility
    for non-transportation-related offshore  fa-
    cilities located landward of the coast linp.
      2. To  DOT. DOI redelegat.es  responsibility
    for transportation-related  facilities, includ-
    ing1 pipelines, located landward of the coast.
    line. The DOT retains jurisdiction for deep-
    water  ports  a ad  their  associated  seaward
    pipelines, as delegated by E.O. 12777.
      3 The DOI  retains jurisdiction over facili-
    ties, including' pipelines, located seaward of
    the coast line,  except for deepwafer ports
    and  associated seaward pipelines delegated
    by K O.  12777 to DOT,
    
                  E:'Tt:rr:vK DATK
      1. The DOI. DOT. and EPA may agree  in
    writing to exceptions to this MOU on a facil-
    ity-specific  basis. Affected parties will  re-
    ceive notification of the exceptions.
      2, Nothing in this MOU is intended : o re-
    place,  supersede,  or  modify  any  existing
    agreements  between or among" DOI. DOT.  or
    EPA.
                                               49
    

    -------
    Pt.  112, App. C
               40CFRCh. I (7-1-04 Edition)
          MODIFICATION AND TERMINATION
      Any party to this agreement may  propose
    modifications  by submitting them in writing
    to the heads of the other agency department
    No modification may be adopted except with
    the consent of all parties.  All parties shall
    indicate  their consent to  or  disagreement.
    with any proposed  modification  within  60
    days of  receipt. Upon the  request  of  any
    party,  representatives  of all  parties  shall
    meet for the  purpose of  considering excep-
    tions or modifications  to  this  agreement.
    This MOU may be terminated only with the
    mutual consent of all parties.
      Dated: November 8. 1993.
    Bruce Babbitt.
      Secretary of I lie Interim .
      Dated: December 14. 1993.
    Federico Pena.
      Secretary of Transportation.
      Dated: February 3. 1994.
    Carol M. Browner.
      Administrulor,   K'icinir»nentul   Protection
    Agency.
    [59 FR 34102. July 1. 1994 ]
    
     APPENDIX C  TO PA in' 112--- SUBSTANTIAL
                 HARM CKITKRIA
    
                  1.0 Introduction
      The flowchart provided in Attachment C I
    to this appendix shows the decision tree with
    the  criteria to  identify  whether a.  facility
    "could reasonably be expected  to  cause sub-
    stantial  harm to the  environment  by  dis-
    charging into  or on  the navigable waters  or
    adjoining  shorelines." In addition,  the Re-
    gional  Administrator has the  discretion  to
    identify facilities that must prepare and sub-
    mit facility-specific response plans to EPA.
    
                  l.l  Definitions
      1.1.1  Great  Lakes  means  Lakes Superior.
    Michigan. Huron. Erie, and Ontario,  their
    connecting and  tributary waters, the Saint
    Lawrence River as  far as Saint  Regis, and
    adjacent port areas.
    
       1.1.2  Higher Volume Port Ar<-
    -------
     •nvironmental Protection Agency
                               Pt. 112, App. C
     nillion gallons  must  submit  its  response
     )lan if it  is located at a distance such that
     t discharge from the facility could  cause in
     ury (as defined at 40 OFR 112.2)  to fish and
     •vilcilife and sensitive environments. For fur-
     her description of fish and wildlife and sen-
     sitive environments, see Appendices I. II. and
     II  to  DOCNOAA's "Guidance for Facility
     ind Vessel Response Plans: Fish and Wildiil'e
     ind  Sensitive Environments" (see  Appendix
     3 to this  part, section 13. for availability)
     :u:m  the applicable Area Contingency Plan.
     Facility owners or operators must determine
     :;he distance a,t which an oil discharge could
     •ause  injury  to  fish and wildlife  and sen-
     ^itive  environments  using"  the appropriate;
     formula  presented in Attachment  C-II.I to
     ;his appendix or a comparable formula.
      ~2A  Prcnimity  to Public Drinking  Water  In-
     takes ill Facilities with a  Total Oil  Storage (.'«-
     oaf.ity  Grcatf>  than or Equal to  1 Million -
     '';??v A facility with a total oil storage ca-
     pacity greater than or equal to  1 million gal-
     lons must submit its response plan if it is k"
     oated  at  a distance  such that a discharge
    from the  facility would shut, clown a public
    drinking water intake, which is analogous to
    a public water system as described til -10 C'FU
     143.2'cci. The distance at  which  an oil  dis-
    charge  from   an  SPCO-regulated   facility
     would  shut down a pubiu drinking'  water in-
    take shall  be  calculated using  the  appro-
    priate  formula presented in  Attachment  C-
    III to this appendix or a comparable formula.
      2.5  I-'acilitifs That Hare Experienced Report-
    ii-hlf Oii DUchary.e* in ait Amount. Greater Than
    or Equal a.i 10,000 Gallons \\'it'nn Hn-  Fax! .5
     'i>.:ar.s and  Chat  Have a Total  Oil Stmayt: ("«-
    pwi!i/ Gn'atcf Than f>r Kqual to I Milliii'i Gai-
    Imis A  facility's oil spill history within the
    past 3 years shall be considered in  the eval-
    uation  for  substantial  harm.  Any facility
    with a  total oil storage  capacity greater
    than or equal lo ! million uallons  thu!  has
    experienced a report able oil discharge in an
    amount greatoi than  or equal to 10.000 sal-
    Ions within the pas'  5 years must  submit a
    response plan in KPA.
      II the i'aci'itv do-'" not meet the substan-
    tial harm crilena  Ust-ed ii;  Aua.chrnent 0-1
    to this appendix, the owner or operator shall
    complete  and  maintain at  the  facility the
    certification form  contained in  Attachment
    C-II to this appendix. In the event  an alter-
    native formula that is comparable to the one
    in this appendix is  used to evaluate the sub-
    stantial harm criteria, the owner or operator
    s~i:Al\  attach documentation to  the tvTtiii
    ctiUon form  that   demonstrates the  reli-
    ability and analytical soundness of the com-
    parable1  formula and shall  notify the  Re-
    gional Administrator in writ.it:!.'  that  an al-
    ternative fcrm'iiia was used.
      Chow-. V.T. 19n9 Open Channel Hydiuulics.
    McGraw Hill.
      USCG IFR '5H  FK  7353.  Fabruary  r.. 1993).
    This document  is  available throuHh EPA's
    rulernaKins docket as. nou-d in Appendix E to
    this part, .section 1;:
                                               51
    

    -------
    Pt. 112, App. C
    40 CFR Ch, I (7-1-04 Edition)
                                                   Attachment C-l
                                Flowchart of Criteria for Substantial Harm
    i'Kx-s the; facilirv transfer oi -\IT
    \v
    ihf tacilkv have u u>Uti till
    storage capacifv greater !!K;H  aboveuround storage umk area.
                                                      Jue-ilhc fdttliu lack .seconder)
                                                      i-onlamtneijt '.hat is fiufficiuntly large lu
                                                      Ci«v,aiii the citpaciiy of the larger
                                                      ahinciiruund oil sts>rage sank pkis
                                                      ^nOkicnt freeboard to alJon tor
                         Yes
                  No Submittal of Response Plan
                  Except at RA Discretion
      1 Calculated using the appropriate formula in Attachment (.'-III to this appendix or a comparable
      formula.
      •  For further description offish and wildlife and sensitive en\ ironments. sec Appendices l.II. and
      IH 10 DOC'NOAA's "Guidance tor Fanlit) and vessel ropunse Plans: Fish and Wildlife and
      Sensitive Environments" (5<» I;R  14711 Maah 2V. 19()4i and the applicable Area t ontingeney
      Flan,
      '  Public drinking water intakes are anuliiyou;; to puhlit water .v.'stems us described at CI-'R
                                                   52
    

    -------
    Environmental Protection Agency
                                                                           Pf. 112, App. C
    Vn'A<-!t.M!:N'r C-II- -Cn
     I'l.ri'.Msii. r">  ot' 'mi:
                          T'KK'ATIOX OF 'HI!-. Ai>-
                           BSTANTIAL HARM r;;i-
    RMci',it-.Y Name:
    Facility Address:
      1. Does the facility transfer oil ovtr wafer
    ,o or from vessels and does the facility h-:',e
    'i total oil storag-e capacity greater than  ••!'
    :!f;ual t-O 12.000 '.rtJlOUS?
      Vfr.-.           NO
      '£. Does Uie facility have a total oil storaaf
    capacity  greater than or equal to 1 million
    snilloriN and does the facility lack secondary
    >:;on*ainmeiit that  is  sufficiently large  to
    contain the  capacity  o!  the largest above-
    ground  oil  storage   tank  plus   sufficient
    freeboard  to allow for precipitation within
    any abovegiound oil storage tank area?
      Yes           No
      3, Does tha facility have a total oil storage
    capacity greater than or equal to 1 million
    gallons and IK the  facility  located at  a dis-
    tance (as. calculated  using  the appropriate
    formula in Attachment. C-1II to this appen-
    dix or a comparable  formula1) such that a
    discharge  from  the facility could  cause in-
    jury to fish and wildlife  and sensitive envi-
    ronments? For further description of fish and
    wildlife and sensitive environments, see Ap-
    pendices I. II. and 111 to DOC NCAA's "Guid-
    ance lor Facility and Vessel Response  Plans:
    Pish  and  Wildlife and   Sensitive Environ-
    ments" (see Appendix E to this part, section
    13. for availability) and  the applicable Area
    Contingency Plan.
      Yes           No
      4. Does the facility have a total oil storage
    capacity greater than or equal to 1 million
    gallons and is the  facility  located at a dis-
    tance (as calculated using"  the appropriate
    formula in Attachment C-III to this appendix
    or a comparable formula ' ) such that a dis-
    charge from  the facility  would shut, down a
    public drinking water intake-5?
      Yes           No
      5. Does the facility have a total oil storage
    capacity greater than or equal to 1 million
    gallons and has the facility experienced a re-
    portable oil discharge in  an amount great er
    than or equal to 10.000 gallons within the last
    5 veara?
      Yes           No
    
                   Certification
      1 certify under penalty of law that I have
    personally examined  and am  familiar with
    the information submitted in this document.
      1 If  a  comparable formula  is  used,  docu-
    mentation of the reliability  and analytical
    soundness of  the  comparable  formula must
    be attached to this form.
      -For the purposes of 40 OFR part 112, pub-
    lic drinking water intakes  are analogous to
    public water systems as described at 40 CFR
    143.2(0.
    ;u:-i thiit bast-i mi ii'i,\' iri'iuiry of tho;-f incli •
    viduals respon.-iblf i.'oi  obtaining  this :r;ior
    mat ion. I bcliev^  thai  the  submitted infor-
    mation in true  arcmviH', anil complete
    
    hr-nai urtj
    
    
    IN a. i lie '.please '.vpe or print i
    
    
    Ti'Srt
                                                   1 1  The  facilKy  -"nviier or  operator must
                                                 evaluate whether the facility is located at a
                                                 distance such that  a discharge from the fa-
                                                 cility could cause iujurv to fish and wildlife
                                                 and sensitive  environments or disrupt oper-
                                                 ations at a public drinking- water intake. To
                                                 quantify that distance. EPA considered oil
                                                 transport mechanisms over land and or. still,
                                                 tidal  influence, and  moving navigable wa-
                                                 ters. EPA has determined that the primary
                                                 concern  for calculation of a  planning dis-
                                                 tance is the transport of oil in navigable wa-
                                                 ters   during-  adverse weather  conditions.
                                                 Therefore, two formulas have been developed
                                                 to determine distances for planning purposes
                                                 from the point of discharge at the facility to
                                                 the potential  site of impact ori moving- and
                                                 still waters, respectively. The formula for oil
                                                 transport  on   moving  navigable  water  is
                                                 based on the velocity of the water body and
                                                 the time interval for arrival of response re-
                                                 sources. The still water formula accounts for
                                                 the spread of  discharged oil over the surface
                                                 of the water.  The  method f.o  determine oil
                                                 transport on lirtal influence areas  is based on
                                                 the type of oil discharged and the distance
                                                 down  current  during ebb tide and up current
                                                 during' flood tide to  the point of maximum
                                                 tidai influence.
                                                   1 2  EPA's formulas were  designed to be
                                                 simple to use. However,  facility owners 01
                                                 operators may calculate  planning distances
                                                 using' more sophisticated formulas,  which
                                                 take into account- broader scientific or engi-
                                                 neering' principles,  or local conditions. .Such
                                                 comparable formulas may result in different
                                                 planning distances  than EPA's formulas. In
                                                 the event that an alternative formula  that is
                                                 coiuparuble to one  contained in this  Appen-
                                                 dix is used to evaluate the criterion in  40
                                                 CB'H  il2.20(.f)!li(Ii)(Bi  or  (f)(l)iii)(C).  the
                                                 owner or operator  shall attach documenta-
                                                 tion to the response plan cover  sheet  con-
                                                 tained In Appendix F to this part that dem-
                                                 onstrates  the  reliability   and  analytical
                                                 soundness  of  the  alternative formula and
                                                 shall  notify the  Regional Administrator in
                                               53
    

    -------
    Pt.  112, App. C
               40 CFR Cn. i  (7-1-04 Edition)
      1.3  A regulated t';>< :lirv :ii;o ;?;>-et tii..- cri-
    teria  Tor the potential TO cans*-- sul'Mant bil
    harm to the  cnvironnu-i-i  \viiiii.i.:t  having to
    periorm a planning instance <. ,\!cu!;;tion. Foi
    facilities that meet the substantial harm cri-
    teria  because of inadequate  set.-onciary con-
    tainment or oil  spill history, a.- listed in. tin
    flowchart in Attachment C-I to this appen-
    dix, calculation of the planning distance? is
    unnecessary. For facilities that do not meet
    the substantial  harm  criteria for .>ec:ondary
    containment or oil spill history -is listed in
    the flowchart, calculation of a planning,  dis-
    tance for proximity to fish and wildlife  and
    sensitive environments and public  drinking
    water intakes is required,  unles:-' it  is nle.tr
    without performing the calcuia: ;-m (e.g.. the
    facility is  located in  a wetland:  that these
    areas would be impacted.
      1.4  A facility owner or operator who must
    perform  a  planning- distance calculation on
    navigable water is only required to do so for
    the type of navigable water conditions (i.e..
    moving water,  still  water, or tidal-  influ-
    enced water! applicable to the facility.  If a
    facility owner or operator determine."; that
    more  than  one type of navigable water condi-
    tion applies, then the  facility owner or oper-
    ator is  required to  perform a planning'  dis-
    tance calculation for each  navigable  water
    type  to  determine  the greatest  single  dis-
    tance that oil may  be transported. As a re-
    sult,  the  final  planning  distance  for oil
    transport on water shall be the greatest indi-
    vidual distance  rather than a summation of
    each calculated  planning' distance.
      1.5  The  planning  distance  formula  for
    transport  on moving waterways  contains
    three variables:  the velocity of the navigable
    water (v). the response time interval (t). and
    a conversion factor (c). The velocity, v. is de-
    termined by using- the Chezy-Manning equa-
    tion,  which, in  this case,  models the flood
    flow rate  of  water in open channels.  The
    Chezy-Manning  equation contains three vari-
    ables which must be determined  by facility
    owners  or  operators.  Manning's  Roughness
      'For persistent oils or non-persistent, oils.
    a worst case trajectory model (i.e.. an alter-
    native formula) may  be substituted for the
    distance formulas described in still, moving'.
    and tidal waters, subject to Regional Admin-
    istrator's review of the model. An example of
    an alternative formula that  is comparable to
    the one contained in this appendix would be
    a worst case trajectory calculation based on
    credible adverse winds, currents, and or river
    stages, over a range of seasons, weather con-
    ditions, and river stages.  Based on historical
    information or a spill trajectory model, the
    Agency may require that additional fish and
    wildlife and sensitive environments or public
    drinking water intakes also be protected
    C'oHTi-.-ien; <'o;  ;ii.x>d  i'lov:  rates--,  n. can  be
    ,[e!.-i nuned from Tabli- 1 .-jf fhi.- attachment.
    The  h.\ Inniiit  ra-Hu.-. r.  i .-r-. 'a-  --?t imate.l
    -.i.-iti^  .he avert?'''.' mid-char.!1.':'  depth from
    chart;-  provided  !>.v  lhi-  ^eurces  listed  in
    Table  - of thi-; attachment. The  aveiage
    slope uf the river, s. can be determine;! using
    topographic maps that can be or-leted from
    the  T'.S.  Geologica!  Survey, ^s  listed  in
    Table 2 of this attachment.
      1.6  Table 3 of  this  attachment  contains
    specified time  intervals for  estimating  the
    arrival of response resources  at the scene cf
    a discharge. Assuming no prior planning, re-
    sponse resources should be able to arrive at
    the discharge site within 12 hours of the dis-
    covery of any oil discharge in Higher Volume
    Port  Areas a.nd  within 24 hours in Great
    Lakes and all other river,  canal, inland, and
    nearshore areas. The specified time intervals
    in TaHe 3 of Appendix C are to be used only
    to aid in the identification of whether a fa-
    cility  could cause substantial harm to  the
    environment.  Once  it is  determined that  a
    plan must be  developed for the facility,  the
    owner or operator shall reference Appendix E
    to this part  to  determine appropriate  re-
    source levels and response times. The speci-
    fied time intervals of this appendix include a
    3-hour time period for deployment of boom
    and other response equipment. The Regional
    Administrator may identify additional areas
    as appropriate.
    
    - 0  Oil Transport an Moving Xaviyuhle Waters
    
      2.1  The  facility  owner  or  operator must
    use the following formula or a  comparable
    formula  as described  in §112.^0(a)(3i to cal-
    culate the planning distance for oil transport
    on moving navigable water:
    d=v> txc: where
    d: the distance  downstream  from  a facility
      within which fish and wildlife and sensitive
      environments  could be injured or a public
      drinking water intake would be shut down
      in  the event of an oil discharge (in miles);
    v: the velocity of the river navigable water of
      concern (in ft sec) as determined by Chezy-
      Manning's equation (see below and Tables 1
      and 2 of this attachment):
    t: the time interval specified in Table 3 based
      upon the type  of water  body and location
      (in hours): and
    c: constant conversion factor 0.68 secoi mile
      hnn ft (3600 sec hr -s-5280 ft mile.1
      2.2 Chezy-Manning's equation is used to de-
    termine velocity:
    v=1.5 nxr-'-iixs1'.:; where
    v=the velocity of the  river of concern (in ft
      sec):
    n=Mann.in£'s  Roughness  Coefficient  from
      Table 1 of this attachment:
    r-the hydraulic radius: the hydraulic radius
      can  be  approximated for parabolic  chan-
      nels by  multiplying the  average  mid-chan-
      nel depth of  the  river  [in  feet) by 0.667
                                               54
    

    -------
    Environmental Protection Agency
                                       Pt.  112, App. C
      iiioiiives  for  ybt-nmins  the mM-f'hamir'i
      depth are listed in Table 2 of this atM./h-
      tnent i: and
    s=the average .slope of the river (unlMesss ob-
      tained from  U.S. Geological  Survey topo-
      graphic maps at the address listed in Table
      2 of this attachment.
    
    TABLE 1—MANNING'S ROUGHNESS COEFFICIENT
               FOR NATURAL STREAMS
      [NOTF Coefficients are presented for high flow rates at or
                   near flood stage.]
               Stream description
    
    
          Minor Streams (Top Width <100 ft.)
    Clean:
       Straight 	
       Winding 	
    Sluggish (Weedy, deep pools):
       No trees or brush 	
       Trees and/or brush 	
          Major Streams (Top Width >100 ft)
    Regular section
       (No boulders/brush) 	
    Irregular section:
       (Brush) 	
    Rough-
    ness co-
    efficient
      in)
       003
       0 04
       0.06
       0.10
      0035
    
       005
    TABLE 2—SOURCES OF K AND ,s FOR THE CHKZV-
                 MANNING EQUATION
    All of the charts and related publications for
    navigational waters may be ordered from:
    Distribution Branch
    CN/CG33)
    National Ocean Service
    Riverdale. Maryland 20737-1199
    Phone: (301) 436-6990
    There will be a charge for materials ordered
      and a VISA or Mastercard will  be accepted.
    The mid-channel depth to be used in the cal-
    culation of the hydraulic radius (r) can  be
    obtained directly from the following sources:
    Charts of Canadian  Coastal and Great Lakes
      Waters:
    Canadian Hydrographic Service
    Department  of Fisheries and  Oceans  Insti-
      tute
    P.O. Box 8060
    1675 Russell Road
    Ottawa, Ontario KIG 3H6
    Canada
    Phone: (613) 998-1931
    Charts and Maps of Lower Mississippi  River
    (Gulf   of  Mexico to  Ohio  River  and  St.
      Francis.     White.     Big'     Sunflower.
      Atchafalaya, and other rivers):
    U.S. Army Corps  of Engineers
    Vicksburg District
    P.O. Box 60
    Vicksburg', Mississippi 39180
    Phone: (601) 634-5000
    Charts of Upper Mississippi River  and Illi-
      nois Waterway to Lake Michigan:
    U.S. Army Corps of Engineers
    Rock Island District
    P.O. Box 2004
    R-:vk I.siand. Illinois 61204
    Phi.ne: (809) 79.! 5552
    Charts of Missouri River:
    U.S. Army Corps of Engineers
    Omaha District
    601-1 U.S. Post Office and Courthouse
    Omaha. Nebraska fi8102
    Phone: (402) 221 3900
    Charts of Ohio River:
    U.S. Army Corps of Engineers
    Ohio River Division
    P.O. Box 1159
    Cincinnati. Ohio 45201
    Phone: (513) 684-3002
    Charts of  Tennessee Valley Authority Res-
      ervoirs, Tennessee River and Tributaries:
    Tennessee  Valley Authority
    Maps and Engineering Section
    416 Union Avenue
    Knoxville,  Tennessee 37902
    Phone: (615) 632 2921
    Charts  of  Black Warrior  River. Alabama
      River.   Tombigbee   River.   Apalachicola
      River and Pearl River:
    U.S. Army Corps of Engineers
    Mobile District
    P.O. Box 2288
    Mobile. Alabama 36628 -0001
    Phone: (205) 690-2511
    The average slope of the river (si  may be ob-
    tained from topographic maps:
    U.S. Geological Survey
    Map Distribution
    Federal Center
    Bldg. 41
    Box 25286
    Denver, Colorado 80225
    Additional information can be obtained from
    the following sources:
    1.  The State's Department of Natural  Re-
      sources (DNR) or the  State's Aids to Navi-
      gation  office:
    2. A knowledgeable local marina operator: or
    3.  A  knowledgeable  local  water  authority
      (e.g., State water commission)
      2.3  The  average slope of the river (s)  can
    be  determined from the topographic  maps
    using- the following steps:
      (1) Locate the facility on the map.
      (2) Find the Normal Pool Elevation at the
    point of  discharge from the facility into the
    water (A).
      (3) Find the Normal Pool Elevation of the
    public drinking  water  intake or fish  and
    wildlife  and  sensitive  environment  located
    downstream  (B)  (Note: The owner or oper-
    ator should use a minimum of 20 miles down-
    stream  as  a  cutofi to  obtain the average
    slope if  the  location  of  a  specific  public
    drinking water  intake  or fish and wildlife
    and sensitive environment is unknown).
      (4) If  the Normal  Pool Elevation  is  not
    available, the elevation contours can be used
    to find the slope. Determine elevation of the
    water at the point  of discharge from the fa-
    cility (A).  Determine the  elevation  of  the
                                               55
           203-159  D-3
    

    -------
    Pt.  112, App. C
                                                 40CFRCh. I  (7-1-04 Edition)
    water  at  the  appropriate  distance  down-
    stream (B). The formula presented below can
    be used to calculate the slope.
      (5) Determine the  distance  (in miles) be-
    tween  the  facility and  the public drinking
    water intake or fish and  wildlife  and sen-
    sitive environments (C).
      (6) Use the following  formula to find the
    slope, which  will be a unitless value: Average
    Slope=[(A-B)  (ft),C  (miles)J  x  LI  mile 5280
    feet]
      2.4  If  it is not feasible  to  determine the
    slope and  mid-channel depth  by the  Chezy-
    Manning equation, then the  river velocity
    can  be  approximated  on-  site. A specific
    length,  such as 100 feet, can  be marked  off
    along: the  shoreline.  A float can be dropped
    into the stream above  the mark, and the
    time required for the float to  travel the dis-
    tance can  be used  to determine  the velocity
    in feet per  second. However, this method will
    not yield an average velocity  for the length
    of the stream, but a velocity only for the
    specific  location of  measurement. In  addi-
    tion,  the flow rate will vary depending on
    weather  conditions such as wind and rainfall.
    It is  recommended that facility  owners or
    operators  repeat the  measurement under a
    variety of  conditions to obtain the most ac-
    curate estimate of  the surface  water velocity
    under adverse weather conditions.
      2.5  The  planning distance calculations for
    moving and  still navigable waters  are based
    on  worst case discharges of persistent oils.
    Persistent  oils are of concern because they
    can remain in the  water for significant peri-
    ods of time and can potentially exist in large
    quantities  downstream.  Owners  or  operators
    of facilities  that store persistent  as well as
    non-persistent oils may use  a comparable
    formula. The volume of oil discharged is not
    included as part of the planning  distance cal-
    culation for moving navigable  waters. Facili-
    ties that will meet this substantial harm cri-
    terion are  those  with  facility  capacities
    greater than or equal to 1 million gallons. It
    is assumed that  these facilities are capable
    of having an oil discharge of sufficient quan-
    tity to cause injury  to fish and wildlife and
    sensitive environments or shut down a public
    drinking water intake. While owners or oper-
    ators of  transfer facilities that store greater
    than  or  equal to 42,000 gallons are not  re-
    quired to use a planning distance formula for
    purposes of  the  substantial  harm criteria.
    they should  use a planning distance calcula-
    tion in  the  development of facility-specific
    response plans.
    
         TABLE 3—SPECIFIED TIME INTERVALS
                                          TABLE 3—SPECIFIED TIME INTERVALS—
                                                       Continued
      Operating
        areas
    Higher volume
      port area.
    Great Lakes ...
       Substantial harm planning time (hrs)
                                        Operating
                                         areas
                   Substantial harm planning time (hrs)
                                      All other rivers j 24 hour  arrival+3  hour deployment=27
                                       arid canals,  j   hours
                                       inland, and  j
                                       nearshore
                                       areas.
    12 hour  arrival+3  hour deployments 5
      hours.
    24 hour  arrival+3  hour deployment=27
      hours.
      2.6  Example  of  the Planning  Distance  Cal-
    culation for Oil Transport on Moving .\'avigabl<>
    Wuturs.  The  following example  provides a
    sample  calculation  using the planning  dis-
    tance formula for a facility  discharging oil
    into the Monongahela River:
      ill Solve for v by evaluating n,  r. and s for
    the Chezy-Manning equation:
      Find the roughness coefficient,  n. on Table
    1 of this attachment for a regular section of
    a major stream  with  a top  width greater
    than 100 feet. The top width of the river can
    be found from the topographic map.
    n=0.035.
    Find slope, s. where A=727 feet.  B=710 feet,
      and C=25 miles.
    Solving:
    s=[(727  ft-1710   ftl'25  miles]x[l  mile 5280
      feet]=1.3xlO-t
      The average mid-channel depth is found by
    averaging  the mid-channel depth for each
    mile along the length of the river  between
    the facility and the public drinking water in-
    take or the fish or wildlife or sensitive envi-
    ronment (or  20 miles downstream if applica-
    ble). This value is multiplied by  0.667  to ob-
    tain the hydraulic radius. The mid-channel
    depth is found by obtaining values for r and
    s from  the sources shown in  Table 2 for the
    Monongahela River.
    Solving:
    r=0.667x20 feet=13.33  feet
    Solve for v using:
    V--1.5 nxr3/1xs"~:
    v=[1.5 0.035]x(13.33)2"x(1.3xlO-')!'-
    v=2.73 feet/second
      (2) Find t from Table 3 of this attachment.
    The Monongahela River's resource response
    time is  27 hours.
      (3) Solve for planning distance,  d:
    d=vxtxc
    d=(2.73  ftsec)x(27 hours!x(0.68 secco mile.hrw
      ft)
    d=50 miles
    Therefore, 50 miles downstream is the  appro-
    priate planning distance for this facility.
    
           3.0  Oil Transport on Still Water
    
      3.1  For bodies  of  water including  lakes or
    ponds that do not have a measurable  veloc-
    ity, the spreading of the  oil over the surface
    must be considered. Owners  or operators of
    facilities located next to still water  bodies
    may use a comparable means of  calculating
                                                56
    

    -------
    Environmental Protection Agency
                              Pt. 112, App. C
    the planning  distance. If a comparable  for-
    mula is used,  documentation of  the  reli-
    ability and analytical soundness of the com-
    parable calculation must be attached to the
    response plan cover sheet,
      3.2  Example of  the Planning Distance Cal-
    culation for Oil Transport on Still Water, To as-
    sist those  facilities which  could potentially
    discharge into a still body of water, the fol-
    lowing analysis was performed to provide an
    example of the type of formula that may he
    used to calculate  the planning distance.  For
    this example,  a  worst  case  discharge  of
    2,000,000 gallons is used.
      (1) The surface area in square feet covered
    by an oil dischargee on still water. Al, can be
    determined by the following formula.2 where
    V is the volume of the  discharge in gallons
    and C Is a constant conversion factor:
    A^lOWfcixC
    C=0.1643
    A,=105x(2,000.000 gallons i:i--ix(0. 1643)
    A,=8,74xlOK ft-
      (2) The spreading formula is based on the
    theoretical condition that the  oil will spread
    uniformly  in all directions forming a circle,
    In reality, the  outfall of the  discharge will
    direct  the  oil to  the surface  of the water
    where  it intersects the  shoreline.  Although
    the oil will not spread uniformly in all direc-
    tions, it is assumed that the  discharge will
    spread from the shoreline into a semi-circle
    (this assumption does not account for winds
    or wave action).
      (3) The area of a eircle=t r-'
      (4) To account for the assumption that oil
    will spread in a semi-circular shape, the area
    of a circle is divided by 2 and is designated as
    Solving for the radius, r, using the relation-
      ship A,=A2: 8.74x10* ft:=it').2
    Therefore, 1-23.586 ft
    r=23.586 ft*5.280 ft;mile=4.5 miles
    Assuming a 20 knot wind under storm condi-
      tions:
    1 knot=1.15 miles/hour
    20 knotsxl.15 mile&hoiir,-'knot=23 miles/hr
    Assuming  that the oil  slick moves at 3 per-
      cent of the wind's speed:3
    23 miles hourxO. 03=0. 69 rniles'hour
      (5) To estimate the distance that the oil
    will travel, use  the times required for re-
    sponse resources to arrive at different geo-
    graphic locations as shown in Table 3 of this
    attachment,
    For example:
      J Huang. J.C. and Monastero. F.C.. 1982. Kc-
    view of the State-nf-the-Art  of Oil  Pollution
    Models.  Final  report submitted to the Amer-
    ican Petroleum Institute by Raytheon Ocean
    Systems, Co.,  East Providence, Rhode Island,
      3Oil  Spill Prevention &  Control,  National
    Spill  Control  School, Corpus Christi  State
    University, Thirteenth Edition, May 1990.
    For  Higher Volume Port Areas:  15  hrsxO.69
      rniles/hr=10.4 miles
    For  Great  Lakes  and  all  other areas:  27
      hrsxO.69 miles.'hi—18.6 miles
      :6> The total distance  that the  oil will
    travel from the point of discharge, including
    the distance due to spreading, is calculated
    as follows:
    Higher Volume Port  Areas:  d=10.4+4.5 miles
      or approximately 15 miles
    Great Lakes and all other  areas: d=18.6+4.5
      miles or approximately 23 miles
    
      1.0 Oil Transport on Tidal-Influence Areas
      4.1  The  planning   distance method  for
    tidal influence navigable  water is based  on
    worst case discharges of persistent and non-
    persistent oils. Persistent oils  are of primary
    concern  because they can potentially cause
    harm over a greater distance.  For persistent
    oils  discharged into  tidal waters, the plan-
    ning- distance is 15 miles from the  facility
    down current  during- ebb tide  and  to the
    point of maximum  tidal  influence  or  15
    miles, whichever is less,  during- flood  tide.
      4.2  For non-persistent oils discharged into
    tidal waters, the planning distance is 5 miles
    from the facility  down current  during ebb
    tide  and  to the point of maximum tidal influ-
    ence or  5 miles, whichever is less,  during
    flood tide.
      4.3  Emmplu  of  Detfrmininc/  the Planning
    Distance  for Two  Types  of  Navigable  Waler
    C">iditim$, Below is an example of how to de-
    termine  the proper planning"  distance when a
    facility could impact two types of navigable
    water conditions:  moving- water  and tidal
    water.
      ;li Facility  X stores persistent oil and is
    located  downstream from locks along a slow
    moving river which is affected by tides. The
    river velocity, v. is determined to be  0.5 feefc
    second  from  the   Chezy-Maiming equation
    used to  calculate  oil transport  on  moving-
    navigable waters.  The  specified time  inter-
    val,  t. obtained from Table 3 of this attach-
    ment for river areas is  2? hours. Therefore.
    solving- for the planning  distance, d:
    d=vxtxc
    d=i0.5 ft'sec; )xi 27 hours )x(0.68  secmile hrft)
    d=
    -------
    Pt.  112, App. C
               40 CFR Ch. I (7-1-04 EdiHon)
    waters via open channel flow or from sheet
    flow across the land, or be  prevented  from
    reaching navigable waters when trapped in
    natural or man-made depressions excluding'
    secondary containment structures,
      5.2  As discharged oil travels over land, it
    may enter a storm drain  or open concrete
    channel intended for drainage. It is assumed
    that once oil reaches such an inlet, it.  will
    flow into the, receiving' navigable water. Dur-
    ing a storm event, it is highly probable that
    the  oil will  either flow  into the drainage
    structures  or follow the natural contours of
    the land and flow into  the navigable water.
    Expected minimum and maximum velocities
    are provided as examples  of open concrete
    channel  and pipe  flow. The rang'es  listed
    below  reflect minimum and maximum  ve-
    locities used as design criteria/1 The calcula-
    tion below demonstrates  that the time  re-
    quired for oil to travel through a storm drain
    or open concrete channel to navigable water
    is negligible  and can be considered instanta-
    neous. The velocities are;
    For open concrete channels:
    maximum velocity=25 feet per second
    minimum velocity=3 feet per second
    For storm drains:
    maximum velocity=25 feet per second
    minimum velooity=2 feet per second
      5.3  Assuming a length of 0.5 mile from  the
    point of discharge through an open concrete
    channel or concrete storm drain  to a navi-
    gable water, the travel times (distance- veloc-
    ity ) are;
    1.8 minutes at a velocity of 25 feet per second
    14.7 minutes at a velocity of 3 feet per second
    22.0  minutes for at a velocity of 2 feet  per
      second
      5.4  The distances that shall lie  considered
    to determine the planning  distance are illus-
    trated in Figure C-I of this attachment. The
    relevant distances  can be described as fol-
    lows:
    Dl=Distance from  the  nearest opportunity
      for discharge, X  ,.  to a  storm drain or an
      open concrete channel leading to navigable
      water.
    D2=Distance through  the  storm  drain or
      open concrete channel to navigable water.
    DS^Distance downstream  from  the  outfall
      within which fish and wildlife and sensitive
      ''The design velocities were obtained from
    Howard  County.  Maryland  Department  of
    Public Works'  Storm Drainage  Design Man-
    ual.
      environments could be injured  or a public
      drinking water intake would be shut down
      as determined  by the  planning distance
      formula.
    D4=Distanee  from  the  nearest opportunity
      for discharge,  X.-, to fish and wildlife  and
      sensitive environments not bordering navi-
      gable water.
    
      5.5  A  facility  owner  or  operator whose
    nearest  opportunity for discharge is located
    within 0.5 mile  of  a  navigable water must
    complete  the  planning  distance  calculation
    (D3i for the type  of navigable  water near the
    facility  or use a comparable formula,
      5.6  A facility  that is located at a distance
    greater  than 0,5  mile from a navigable water
    must also calculate a planning distance (D3)
    if it is in close proximity (i.e.. Dl is loss than
    0,5  mile and  other  factors are conducive to
    oil  travel  over  land) to  storm drains that
    flow to  navigable waters.  Factors to be con-
    sidered  in assessing oil transport over land
    to storm drains shall include the topography
    of the surrounding area,  drainage patterns.
    man-made barriers  (excluding  secondary
    containment  structures),  and soil distribu-
    tion and porosity. Storm  drains  or concrete
    drainage channels that are  located in close
    proximity to  the  facility can provide a direct
    pathway to navigable waters, regardless of
    the length of the drainage pipe. If Dl is less
    than or equal to 0,5 mile, a discharge  from
    the facility could pose substantial harm be-
    cause the  time  to travel  the distance  from
    the storm drain to  the navigable water (D2)
    is virtually instantaneous,
      5.7  A facility's proximity to fish and wild-
    life  and  sensitive  environments  not  bor-
    dering a navigable  water, as  depicted as D4
    in Figure C-I of  this attachment, must also
    be  considered,  regardless of the distance
    from the  facility to navigable waters, Fac-
    tors to  be considered in assessing oil  trans-
    port over land to fish and wildlife and sen-
    sitive environments should include the to-
    pography of  the  surrounding'  area, drainage
    patterns,  man-made barriers (excluding' sec-
    ondary containment structures), and soil dis-
    tribution  and porosity.
      5.8  If a facility is not  found to  pose sub-
    stantial harm to fish  and wildlife and sen-
    sitive environments not bordering navigable
    waters via oil transport on land, then sup-
    porting  documentation should be maintained
    at the facility, However, such  documentation
    should be submitted with the response plan
    if a facility  is  found  to pose  substantial
    harm.
                                               58
    

    -------
    Environmental Protection Agency
    Pt. 112, App. C
         Q
    [59 FR 34102, July 1. 199-1. as amended at 65 FR 40798. June 30. 2000: 67 FR 47152. July 17. 2002]
                                           59
    

    -------
    Pt.  112, App. D
               40 CFR Ch. I (7-1-04 Edition)
    APPENDIX D TO  PART 112—-DF.TERMIN.V-
        TION  OF  A  WORST CASK,  DISCHARGE
        PLANNING VOLUME
      1.1  An  owner or operator is required to
    complete this worksheet if the facility meets
    the criteria,  as  presented in Appendix  C to
    this part,  or it is determined by the RA that
    the facility could cause substantial harm to
    the environment. The calculation of a worst
    case discharge  planning volume is used for
    emergency planning  purposes, and  is re-
    quired in 40 CFR 112.20 for facility owners or
    operators  who must prepare a response plan.
    When planning' for the  amount; of resources
    and equipment necessary to respond to the
    worst case discharge planning volume, ad-
    verse weather conditions must  he taken into
    consideration. An owner  or operator is re-
    quired to determine the facility's worst case
    discharge  planning" volume  from either part.
    A of this appendix for a.n onshore storage fa-
    cility, or part B of this appendix for an on-
    shore  production  facility.  The worksheet
    considers  the  provision  of adequate   sec-
    ondary containment at a facility.
      1,2  For onshore storage facilities and  pro-
    duction facilities, permanently manifolded
    oil storage tanks are defined as tanks  that
    are designed, installed, and/or operated in
    such a manner that the multiple tanks func-
    tion as one storage unit" (i.e., multiple  tank
    volumes are  equalized), In a worst, case dis-
    charge scenario, a single failure coultl cause
    the discharge of the contents  of more  than
    one tank. The owner or operator must pro-
    vide evidence in the response plan that tanks
    with  common piping or piping systems are
    not operated as  one unit.  If such evidence is
    provided and is acceptable to   the RA. the
    worst case discharge planning volume would
    be based on  the capacity of the largest oil
    storage tank within a common secondary
    containment area or the  largest oil storage
    tank  within a single secondary containment
    area, whichever is greater. For permanently
    manifolded tanks  that function as one oil
    storage unit, the worst case discharge plan-
    ning volume would be based on  the combined
    oil storage capacity  of  all manifolded tanks
    or the capacity of the largest single oil  stor-
    age  tank  within a  secondary   containment-
    area, whichever is greater. For purposes of
    this  rule,  permanently  manifolded tanks
    that are  separated "by internal  divisions for
    each  tank are considered to be single tanks
    and individual manifolded tank volumes are
    not combined.
      1.3  For production facilities, the presence
    of exploratory  wells, production wells,  and
    oil storage tanks must be considered in the
    calculation. Part B  of this appendix takes
    these additional factors  into  consideration
    and provides steps for their inclusion in the
    total worst case discharge, planning volume.
    Onshore oil production facilities may include
    all  wells, flowlines,  separation equipment,
    storage facilities, gathering lines, and auxil-
    iary non-transportatioc.-relat.8d  equipment
    and facilities in a single geographical oil or
    gas field operated by a single  operator. Al-
    though a  potential  worst  case  discharge
    planning volume is  calculated within  each
    section of the worksheet,  the final worst
    case amount, depends on the risk parameter
    that results in the greatest volume.
      1.4  Marine transportation-related transfer
    facilities that contain fixed aboveground on-
    shore structures used for buik oil storage are
    jointly regulated by  EPA and the U.S. Coast
    Guard  lUSCG), and are termed "complexes."
    Because  the USCG-  also requires  response
    plans from  transportation-related  facilities
    to address a worst case discharge  of oil. a
    separate  calculation Cor the worst  case dis-
    charge planning volume for USCG-related fa-
    cilities is included in the USCG IFR (see Ap-
    pendix K  to this part, section  13, for avail-
    ability). All complexes that are jointly regu-
    lated by EPA and the USCG must compare
    both calculations for worst case discharge
    planning- volume derived by using  the  EPA
    and USCG methodologies and plan for which-
    ever volume is greater.
    
    PART A: WORST CASE DISCHARGE PLAN-
      NINO VOLUME CALCULATION FOR ON-
      SHORE STORAGE FACILITIES :
    
      Part  A of this  worksheet is to  be  com-
    pleted  by the owner  or operator of an SPCC-
    regulated facility (excluding' oil  production
    facilities) if the facility meets the criteria as
    presented in Appendix C to this part,  or if it
    is determined by the RA  that the facility
    could cause substantial  harm to the environ-
    ment.  If  you are  the owner or  operator of a
    production facility, please  proceed to part B
    of this worksheet.
    
           A.I  SINGLE-TANK FACILITIES
    
      For  facilities containing  only  one above-
    ground oil storage tank, the worst case dis-
    charge planning volume equals the capacity
    of the oil storage  tank.  If adequate   sec-
    ondary containment (sufficiently  larg'e to
    contain the capacity of the aboveground oil
    storage  tank plus  sufficient  freeboard to
    allow  for precipitation) exists for the  oil
    storage tank, multiply the capacity of the
    tank by 0,8.
      (1)   FINAL  WORST  CASE  VOLUME:
           GAL
      (2) Do not proceed further.
      1 "Storage facilities" represent all facilities
    subject to this part, excluding- oil production
    facilities.
                                              60
    

    -------
    Environmental Protection Agency
                              Pt. 112, App. D
        A .2  SECONDAR Y CONTAINMENT-
           MULTIPLE-TAXK FACILITIES
      Are alt  aboveground oil  storage  tanks or
    groups of aboveground oil storage  tanks at
    the facility without adequate secondary con-
    tainment?2
            CY.-NJ
      A.2.1  If the answer is yes, the final worst
    case discharge planning  volume equals the
    loUil iiboi'e.ground oil storage capacity at the fa-
    cility,
      (1)  FINAL  WORST   CASE  VOLUME:
            GAL
      (2) Do not proceed further.
      A.2.2  If the  answer is no. calculate the
    total  aboveground oil storage  capacity of
    tanks without  adequate  secondary contain-
    ment. If all abovegTOund oil storage tank,^ or
    groups of aboveground oil storage  tanks at
    the facility have adequate secondary  con-
    tainment. ENTER "0" (zero).
            GAL
      A.2.3  Calculate the capacity of the largest
    single abovegTOund oil storage tank  within
    an adequate secondary containment area or
    the combined  capacity of a group of above-
    ground   oil  storage  tanks   permanently
    manifolded  together, whichever  is greater,
    PLUS  THE  VOLUME  FROM   QUESTION
    A.2.2.
      FINAL    WORST   CASE    VOLUME::t
            GAL
    
    PART B: WORST CASE DISCHARGE PLAN-
      NING VOLUME CALCULATION FOR  ON-
      SHORE PRODUCTION FACILITIES
    
      Part B of this worksheet is to be completed
    by the owner  or operator of an •SPCC-regu-
    lated  oil  production facility if the facility
    meets the criteria presented in Appendix  C
    to this part, or if it is determined by the RA
    that the  facility could  cause  substantial
    harm. A production facility consists of all
    wells  (producing  and  exploratory) and re-
    lated equipment in a single geographical oil
    or gas field operated by a single operator
    
          B.I  SINGLE-TANK FACILITIES
      B.I.I  For facilities  containing' only  one
    aboveground oil storage tank, the worst case
    discharge planning' volume equals the capac-
    ity of the aboveground oil storage tank plus
    the production volume of the well  with the
    highest  output at the facility.  If adequate
      - Secondary containment is described in 40
    CFR part 112. subparts A through C  Accept-
    able methods and structures for containment
    are also given in 40 CPR 112.7(c)U>.
      ;iAll  complexes that are jointly regulated
    by EPA  and the USCG must also calculate
    the worst case discharge planning volume for
    the transportation-related portions of the fa-
    cility  and  plan for  whichever  volume  is
    greater.
    secondary containment (sufficiently large to
    contain the capacity of the aboveground oil
    storage tank plus sufficient  freeboard  to
    allow for precipitation) exists for the storage
    tank, multiply the capacity of  the tank by
    0.8.
      B 1.2  For facilities with production wells
    producing- by pumping, if the rate of the well
    with  the  hig'hesi output  is known and  the
    number of days  the facility  is unattended
    can be predicted, then the production volume
    is equal to the pumping rate of the well mul-
    tiplied by  the greatest number of days  the
    facility is unattended.
      B 1.3  If the pumping rate of the well with
    the highest output is estimated or the max-
    imum number of days the  facility is unat-
    tended is estimated, then the production vol-
    ume is determined from the pumping  rate of
    the well multiplied by  1.5 times the greatest
    number of days that the  facility has been or
    is expected to be unattended.
      B.I.4  Attachment  D-l  to  this appendix
    provides methods for calculating the produc-
    tion volume  lor exploratory wells and pro-
    duction wells producing- under pressure.
        SECONDARY  CONTAINMENT--
           MULTIPLE- / A\'K FACILITIES
    
      Are all  abovejjround oil storage tanks  or
    groups of aboveground oil storage tanks  at
    the facility u-ithuut adequate secondary con-
    tainment?
          (Y.'N)
      B.2,1  If the answer is yes. the final worst
    case volume equals the total aboveground oil
    storage capacity without adequate secondary
    containment plus the  production volume of
    the well with the "highest output at the facil-
    ity
      ill For facilities with production wells pro-
    ducing by  pumping,  if the rate of  the well
    with  the  hifrhest output  is known and  the
    number of days the facility  is unattended
    Cein be predicted, then the production volume
    is equal to the pumping rate of the. well mul-
    tiplied by  the greatest number of days the
    facility is unattended.
      (2) If the pumping rate of the well with the
    highest output is estimated or the maximum
    number of days the facility is unattended is
    estimated, then the production volume is de-
    termined from the pumping rate of the well
    multiplied by 1.5 times the greatest  number
    of days that the facility  has  been or is ex-
    pected to be unattended.
      (3) Attachment D-l  to this  appendix pro-
    vides  methods for calculating the production
    volumes  for  exploratory  wells and  produc-
    tion wells producing under pressure.
      (A)   FINAL  WORST   CASE  VOLUME:
           GAL
      iB> Do not proceed further,
                                              61
    

    -------
    Pf. 112, App. D
               40 CFR Ch, I (7-1-04 Edition)
      B.2.2  If  the  answer is no, calculate  the
    total  aboveground  oil storage  capacity of
    tanks without  adequate  secondary contain-
    ment. If all aboveground  oil storage tanks or
    groups of aboveground oil storage tanks at,
    the facility have adequate  secondary con-
    tainment, ENTER "0" (zero),
            GAL
      B.2.3  Calculate the capacity of the largest
    single aboveground oil storage  tank within
    an adequate secondary containment area or
    the combined capacity of a group of above-
    ground   oil  storage  tanks  permanently
    manifolded  together, whichever is  greater,
    plus tlie production volume of the well with
    the highest output,  PLUS  THE VOLUME
    FROM  QUESTION B.2.2.  Attachment  D-l
    provides methods for calculating' the produc-
    tion volumes for exploratory wells and pro-
    duction wells producing* under pressure.
      (1)  FINAL   WORST  CASE   VOLUME: '
            GAL
      (2) Do not proceed further,
    
            ATTACHMENTS TO APPENDIX D
    
    ATTACHMKNT D-I—METHODS  TO  CALCUI.ATK
      PRODUCTION VOLUMES FOR PRODUCTION FA-
      CILITIES WITH EXPLORATORY WELLS OK PRO-
      DUCTION  WELLS PRODUCING U.NDKR  PRES-
      SURE
    
                 1.0  Introduction
    
      The owner or operator of a production fa-
    cility with exploratory wells or production
    wells  producing'  under  pressure shall com-
    pare the well rate of the highest output well
    (rate of well), in barrels per day. to the abil-
    ity of response  equipment and  personnel to
    recover the volume of oil that could be dis-
    charged (rate of recovery), in barrels per day.
    The result of this comparison will determine
    the method used to calculate the production
    volume for the production facility. This pro-
    duction volume is to be used  to calculate the
    worst case discharge planning' volume in part
    B of this appendix.
    
             2.0 Description of Methods
      2.1  Method A
      If the well rate would overwhelm  the re-
    sponse efforts (i.e., rate of welFrate of recov-
    ery >1). then the production volume would be
    the 30-day  forecasted well rate for a well
    10,000 feet deep or less,  or the 45-day fore-
    casted well rate for a well  deeper than 10,000
    feet.
      (1) For wells 10,000 feet deep or less:
    Production volume=3Q days x rate of well.
      4 All complexes that are jointly regulated
    by EPA and the USCG must also calculate
    the worst case discharge planning volume for
    the transportation-related portions of the fa-
    cility  and  plan for whichever volume  is
    greater.
      (2) For wells deeper than 10.000 feet:
    Production volume=45 days xrate of well.
      2.2  Method B
      2.2.1  If  the  rate  of recovery  would  be
    greater than the well rate  (i.e..  rate of well'
    rate of recovery 
    -------
    Environmental Protection Agency
                               Pt,  112, App. E
      3.3  li  the  recovery  i.itt \vas 5  barrel.* per
    day. the  ratio of rate of well  to rate of recov-
    ery would be 2. so the facility operator would
    use Method A. The production volume would
    have been.
    ,'iO days >< 10 barrels per day=3QQ barrels
    
    !»» FR 34110, July 1. 1994: 59 FR 49006. £ept.
    26.  1994.  ah amended at 65 B'R 40800. June 30.
    2000: 67 FR 47152. July 17. 2002]
    
    APPENDIX  B  TO PART 112—DF/TEKMINA-
        TION AND EVALUATION OF  REQUIRED
        RESPONSE RESOURCES FOR FACILITY
        RESPONSE PLANS
    
             1,0  Purpose, and Definitions
    
      1.1  The  purpose of this appendix is to de-
    scribe the procedures to  identify response re-
    sources to meet the requirements of §112.20.
    To identify response resources to meet the
    facility  response plan  requirements  of  40
    CFR 112.20(h),  owners  or operators shall fol-
    low this  appendix or, where  not appropriate,
    shall  clearly demonstrate in the  response
    plan why use of this appendix Is  not appro-
    priate  at the facility  and make comparable
    arrangements for response resources.
      1.2  Definitions.
      1.2.1  Animal fat means a non-petroleuin
    oil, fat. or grease of animal, fish, or marine
    mammal  origin.  Animal  fats are  further
    classified based  on  specific   gravity as fol-
    lows:
      (1) Group A—specific gravity less than 0.8.
      (2) Group B—specific gravity equal  to  or
    greater than 0.8 and less than 1.0.
      (3) Group C—specific gravity equal  to  or
    greater than 1.0.
      1.2.2  Nearshore  is an  operating  area de-
    fined as extending seaward 12 miles from the
    boundary lines defined in 46 OFR part 7. ex-
    cept in the Gulf of Mexico. In the Gulf of
    Mexico, it means the area extending 12 miles
    from the line of demarcation (COLREG lines)
    defined in 49 CFR 80.740 and 80.850.
      1.2.3  Non-persistent oils or Group  I oils in-
    clude:
      (1) A petroleum-based oil that, at the time
    of shipment,  consists of hydrocarbon  frac-
    tions:
      (A) At  least 50 percent of which by volume.
    distill at a temperature  of 3-10 degrees C (645
    degrees F): and
      (Bj At least 96 percent of which by volume.
    distill at a temperature  of 370 degrees C (700
    degrees F): and
      (2) A non-petroleum  oil. other than an ani-
    mal fat or vegetable oil,  with a specific grav-
    ity less than 0.8.
      1.2.4  Non-petroleum  oil means oil of any
    kind that is not petroleurn-based, including
    but not limited to; fats, oils, and greases of
    animal, fish, or marine mammal origin: and
    vegetable  oils, including oils from  seeds.
    nuts, fruits, and kernels.
      '..2.?.  Oci.-un mean,- Hie nearshore area.
      ."; 2.6  OperiUini/ urea means Rivers and Ca-
    nai.s.  Inland. Nearshore. and Great Lakes g»-
    ot'Triphic;  location!;-.}  in which  a facility is
    hiindiiiur. storing, or transporting oil.
      1.2.7  Operulinfs environment inea-iis  Rivers
    and Canals.  Inland. Great Lakes, or  Ocean,
    These terras  are used to define the  condi-
    tions in  winch response  equipment  is de-
    signed to function.
      \ 2.8  Persistent <>i!s include:
      '!)  A  petroleum-based oil that  does  not
    meet the distillation  criteria for a non-per-
    sistent  oil. Persistent oils are further classi-
    fied based on specific gravity as follows:
      (A) Group 2—specific gravity less than 0.85:
      'B)  Group  3- --specific  gravity equal to or
    gxeater than 0,85 and less than 0.95:
      (O)  Group  4—specific  gravity equal to or
    greater than 0.95 and less than 1.0: or
      iD> Group  5-—specific  gravity equal to or
    greater than 1.0.
      (.2) A non-petroleum oil,  other than an ani-
    mal fat or vegetable oil, with a specific grav-
    ity  of 0,8 or greater.  These oils are further
    classified based on specific gravity  as  fol-
    lows:
      iA)  Group  2—specific  gravity equal to or
    greater than 0.8 and less than 0.85;
      (B)  Group  3—specific  gravity equal to or
    greater than 0.85 and less than 0,95:
      'C)  Group  4 -specific  gravity  equal to or
    greater than 0.95 and less than 1.0; or
      iD)  Group  5—specific  gravity equal to or
    greater than 1.0.
      1.2.9  Vegetable oil means a noil-petroleum
    oil or fat of vegetable origin, including hut
    not limited  to  oils  and fats  derived from
    plant seeds, nuts, fruits, and kernels. Vege-
    table oils are further classified  based on spe-
    cific gravity as follows:
      (1) Group A—specific gravity  less than 0.8.
      (2)  Group B-—specific  gravity equal to or
    greater than 0.8 and less than 1.0,
      (3)  Group C—specific  gravity equal to or
    greater than 1,0.
      1.2.10  Other definitions  are  Included  in
    §112.2. section 1.1 of Appendix C, and section
    3.0 of Appendix F.
    
      2.0  Equipment Operability and Readiness
    
      2.1  All equipment identified in a response
    plan must be designed to operate in the con-
    ditions  expected in the facility's geographic
    area  (i.e., operating  environment),  These
    conditions vary widely based on location and
    season.  Therefore, it is difficult to identify a
    single stockpile of response equipment that
    will function  effectively in  each  geographic
    location (i.e., operating area).
      2.2  Facilities handling, storing-, or trans-
    porting oil in more than one operating envi-
    ronment as indicated  in Table  1  of this ap-
    pendix  must identify  equipment capable of
    successfully  functioning in each  operating1
    environment.
                                               63
    

    -------
    Pt, 112, App. E
               40 CFR Ch. I (7-1-04 Edition)
      2.3  When identifying  equipment  for  the
    response plan (based  on the use of  this ap-
    pendix), a  facility  owner or operator must-
    consider t-he  inherent   limitations   of  the
    operability of equipment components and re-
    sponse systems. Tie  criteria in Table  1 of
    this  appendix shall be used to evaluate the
    operability  in  a given  environment. These
    criteria reflect the general conditions in  cer-
    tain  operating' environments.
      2.3.1  The Regional  Administrator  may re-
    quire documentation  that t-he boom identi-
    fied in a facility response plan meets the cri-
    teria in Table 1 of this  appendix. Absent ac-
    ceptable documentation, the Regional  Ad-
    ministrator may require that the boom be
    tested to demonstrate that it meets the cri-
    teria in  Table 1 of this appendix.  Testing
    must be in accordance with ASTM F  715,
    ASTM F 989. or other tests approved by EPA
    as deemed appropriate  (see  Appendix B to
    this  part, section 13. for general availability
    of documents).
      2.4  Table 1 of this appendix lists  criteria
    for oil recovery devices and boom. All other
    equipment necessary to sustain or  support-
    response operations in an operating'  environ-
    ment mast be designed to function in the
    same conditions. For example, boats that de-
    ploy or support skimmers or boom  must be
    capable of being safely operated in  the  sig-
    nificant wave heights listed  for the  applica-
    ble operating environment.
      2.5  A facility owner or operator shall refer
    to the applicable  Area  Contingency  Plan
    (ACP), where available,  to determine if ice.
    debris, and weather-related visibility are sig-
    nificant factors to evaluate the operability
    of equipment. The ACP may also identify the
    average temperature  ranges  expected in the
    facility's operating area. All equipment- iden-
    tified in a response plan must be designed to
    operate within those conditions or ranges.
      2.6  This appendix provides information on
    response resource mobilization and response
    times. The distance of  the facility from the
    storage location of the response resources
    must be used to determine whether the re-
    sources can arrive on-scene within the stated
    time. A facility owner  or  operator shall in-
    clude the time  for notification, mobilization.
    and travel  of resources identified to meet the
    medium and Tier 1 worst case discharge re-
    quirements identified in sections 4.3 and 9.3
    of this appendix (for medium discharges) and
    section 5.3 of this appendix (for worst  case
    discharges). The facility owner  or  operator
    must plan for  notification and  mobilization
    of Tier 2 and  3 response  resources  as  nec-
    essary to meet the requirements for arrival
    on-scene in accordance with section 5.3 of
    this  appendix.  An on-water speed of 5 knots
    and  a  land speed of 35  miles per hour is as-
    sumed, unless the facility  owner or  operator
    can demonstrate otherwise.
      2.7  In identifying equipment,  the facility
    owner or operator shall list the storage loca-
    tion. quantity, and manufacturer's make and
    model. For oil recovery devices, the effective
    daily recovery capacity, as determined using
    section 6 of this appendix, must be included.
    For boom, the overall boom height (draft and
    freeboard) shall be included. A facility owner
    or operator is responsible foi ensuring' that
    the identified boom  has  compatible  connec-
    tors.
                    OiJx Other Than Animal Fats
      3.1  A  facility  owner  or  operator shall
    identify sufficient response resources avail-
    able, by contract or other approved means as
    described in §112.2, to respond to a small dis-
    charge, A small discharge is defined as  any
    discharge volume less than or equal to 2.100
    gallons, but not to  exceed  the calculated
    worst case discharge. The equipment must be
    designed to function  in the  operating envi-
    ronment at the point of expected use.
      3.2  Complexes that are regulated by EPA
    and the United States Coast Guard (USCGj
    must  also  consider planning quantities for
    the transportation-related transfer portion
    of the facility.
      3.2.1  Petroleum oils.  The USCG  planning
    level that corresponds to EPA's "small  dis-
    charge" is termed "the average most probable
    discharge." A USCG  rule  found at 33 CPE
    154.1020 defines "the average  most probable
    discharge"  as the  lesser of 50 barrels (2,100
    gallons) or 1 percent  of  the  volume of the
    worst case discharge.  Owners or operators of
    complexes  that handle, store, or  transport
    petroleum  oils must  compare oil  discharge
    volumes for a small discharge and an average
    most probable discharge, and plan for which-
    ever quantity is greater.
      3.2.2  Non-petrolewn  oils other than animal
    fats and vegetable oils. Owners or operators of
    complexes  that- handle, store, or  transport
    non-petroleum oils other than animal  fats
    and  vegetable  oils must  plan for oil  dis-
    charge volumes for a small discharge. There
    is no USCG planning  level that directly cor-
    responds to  EPA's "small discharge." How-
    ever.  the  USCG (at 33 CFE  154.545')  has re-
    quirements to identify equipment to contain
    til resulting from an operational discharge.
      3,3  The response resources shall, as appro-
    priate. include;
      3.3.1   One  thousand  feet of containment
    boom (or. for complexes with marine transfer
    components, 1,000 feet  of containment boom
    or two times the length of the largest vessel
    that regularly conducts  oil  transfers to or
    from the facility, whichever is greater), and
    a means of deploying it within 1 hour of the
    discovery of a discharge;
      3,3.2  Oil recovery  devices  with  an effec-
    tive daily  recovery   capacityequal  to  the
    amount  of  oil discharged  in a small  dis-
    charge or greater which  is available at the
                                               64
    

    -------
    Environmental Protection Agency
                               Pt.  112, App. E
    facility within 2 hours of the detection of an
    oil discharge; and
      3.3.3  Oil  storage capacity  for recovered
    oily material indicated in section 12.2 of this
    appendix.
    
    4.0   Determining Response  Resources Required
      for Medium Discharges—Petroleum Oils  and
      Non-Petroleum Oils Other Than Animal  Fats
      and Vegetable Oils
      4.1  A facility  owner  or  operator shall
    identify sufficient response  resources avail-
    able, by contract or other approved means as
    described in §112.2, to  respond  to a medium
    discharge of oil for that facility. This will re-
    quire  response   resources  capable of con-
    taining and collecting up to 36,000 gallons of
    oil or 10 percent of the worst case discharge,
    whichever is  less. All equipment identified
    must be designed to operate in the applicable
    operating environment specified in Table 1 of
    this appendix.
      4.2 Complexes that are regulated by EPA
    and  the USCG must also consider planning
    quantities  for   the   transportation-related
    transfer portion of the facility.
      4,2.1  Petroleum oils.  The  USCG  planning
    level that corresponds to EPA's "medium dis-
    charge" is termed "the maximum most prob-
    able discharge." The  USCG rule found at 33
    CFR part  154  defines  "the  maximum most
    probable discharge" as a  discharge of 1.200
    barrels (50.400 gallons) or 10 percent  of the
    worst case discharge, whichever is less. Own-
    ers or operators  of complexes that handle.
    store, or transport petroleum oils must com-
    pare calculated  discharge  volumes for a  me-
    dium discharge  and a maximum most prob-
    able discharge, and plan for whichever quan-
    tity is greater.
      4.2.2  Non-petroleum  oils  other than  animal
    fats and vegetable oils. Owners or operators of
    complexes that handle, store,  or transport
    non-petroleum oils other than animal  fats
    and  vegetable oils must plan  for oil  dis-
    charge volumes for a medium discharge.  For
    non-petroleum oils, there is no USCG plan-
    ning level that directly corresponds to EPA's
    "medium discharge."
      4.3  Oil recovery devices identified to meet
    the  applicable  medium   discharge  volume
    planning criteria  must be located such that
    they are capable of arriving on-scene  within
    6 hours in higher volume port areas and the
    Great Lakes and within 12 hours in all other
    areas.  Higher volume port areas and Great
    Lakes areas are defined in section 1.1 of Ap-
    pendix C to  this part.
      4.4  Because  rapid control,   containment.
    and removal of oil are critical to reduce  dis-
    charge impact, the owner or operator must
    determine response resources using an effec-
    tive  daily recovery capacity for oil recovery
    devices equal to 50 percent  of  the planning
    volume applicable for the facility as  deter-
    mined in section 4.1 of this appendix. The ef-
    fective daily recovery capacity  for oil recov-
    ery devices identified in the plan must be de-
    termined using the criteria in section 6 of
    this appendix.
      4.5  In addition to oil recovery capacity.
    the plan shall, as appropriate, identify suffi-
    cient quantity of containment boom avail-
    able, by contract or other approved means as
    described in  § 112.2.  to  arrive within the re-
    quired response times for oil collection and
    containment and for protection of fish and
    wildlife and sensitive environments. For fur-
    ther description of fish and wildlife and sen-
    sitive environments, see Appendices I. II, and
    III  to  DOC NOAA.'s "Guidance for Facility
    and Vessel Response Plans: Fish and Wildlife
    and Sensitive  Environments"  (see Appendix
    E  to this  part, section 13, for availability)
    and the  applicable  ACP. Although  40 CFR
    part 112  does not set required  quantities of
    boom for oil  collection  and containment, the
    response plan  shall identify and ensure, by
    contract  or  other  approved means  as  de-
    scribed  in  §112.2.  the  availability  of  the
    quantity of boom identified in the plan for
    this purpose.
      4.6  The  plan  must   indicate  the avail-
    ability  of temporary  storage capacity  to
    meet section 12.2 of this appendix. If avail-
    able storage  capacity is insufficient to meet
    this level,  then the effective daily recovery
    capacity must be derated (downgraded)  to
    the limits  of the available storag'e capacity.
      4.7  The  following is  an example of a me-
    dium discharge volume planning calculation
    for equipment  identification in a higher vol-
    ume port area: The facility's largest above-
    ground storage tank volume  is 840.000 gal-
    lons. Ten percent of this capacity is 84,000
    gallons.  Because 10  percent  of  the facility's
    largest  tank,  or  84.000  gallons,  is  greater
    than 36.000 gallons,  36,000 gallons is used as
    the planning volume. The effective daily re-
    covery capacity is 50 percent of the planning
    volume, or IB.000 gallons per day. The  ability
    of oil recovery devices to meet  this capacity
    must be  calculated  using the  procedures in
    section 6 of  this appendix. Temporary stor-
    age capacity available  oil-scene must  equal
    twice the  daily  recovery capacity as indi-
    cated in  section  12.2  of  this  appendix,  or
    36.000 gallons per day.  This is  the  informa-
    tion the  facility owner  or operator must  use
    to identify and ensure the availability of the
    required  response resources, by contract  or
    other approved means as described in §112.2.
    The facility  owner  shall also  identify how
    much boom is available for use
    
    5.0  Determining Response Resources Required
      for the  Wornt Case Discharge to the Maximum
      Extent Practicable
    
      5.1  A  facility  owner  or operate!  shall
    identify  and ensure the availability  of. by
                                               65
    

    -------
    Pt.  112, App. E
               40 CFR Ch. I (7-1-04 Edition)
    contract or  other approved means as  de-
    scribed in  §112.2. sufficient  response  re-
    sources to respond to the  worst, case dis-
    charge of oil to the maximum extent  prac-
    ticable. Sections 7 and 10 of this appendix de-
    scribe  the method to determine the  nec-
    essary response  resources.  Worksheets  are
    provided as Attachments E-l and E-2 at the
    end of this appendix to simplify the proce-
    dures  involved in  calculating the planning
    volume for response resources for the worst
    case discharge.
      5.1  A  facility  owner  or operator  shall
    identify  and ensure the  availability of. by
    contract or  other approved means as  de-
    scribed  in  §112.2, sufficient  response  re-
    sources to respond to the  worst case dis-
    charge of oil to the maximum extent  prac-
    ticable. Sections 7 and 10 of this appendix de-
    scribe  the method to determine the  nec-
    essary response  resources.  Worksheets  are
    provided as Attachments E-l and E-2 at the
    end of this appendix to simplify the proce-
    dures  involved in  calculating the planning
    volume for response resources for the worst
    case discharge.
      5.2  Complexes that  are regulated by EPA
    and  the USCG must also consider planning
    for the worst case discharge at the transpor-
    tation-related portion  of the facility.  The
    USCG  requires  that transportation-related
    facility owners  or operators use a different
    calculation for  the  worst case  discharge  in
    the revisions to 33 CFR part  154. Owners  or
    operators of complex facilities that are regu-
    lated by EPA and the  USCG must compare
    both calculations of worst case discharge de-
    rived by EPA  and  the USCG and plan  for
    whichever volume is greater.
      5.3  Oil  discharge  response resources iden-
    tified in the response plan and available, by
    contract or  other  approved  means  as  de-
    scribed in §112.2,  to  meet  the  applicable
    worst case discharge planning volume must
    be located such that they are capable of ar-
    riving at the scene of a discharge within the
    times  specified  for  the applicable response
    tier listed as follows
    
    
    Higher volume port areas 	
    Great Lakes 	
    All other river and canal, inland, and nearshore areas 	
    | Tier 1 I
    i (in hours) I
    ~:~:=7 *" 	
    	 12 .
    	 1 12
    Tier 2 i
    (in hours) i (i
    30 '
    36
    36
    TierS
    in hours)
    54
    60
    SO
      The three levels of response tiers apply to
    the amount of time in which facility owners
    or  operators  must  plan for  response  re-
    sources to arrive at the scene of a discharge
    to respond to the worst case  discharge plan-
    ning volume. For example,  at a  wor&t case
    discharge in an inland  area, the first tier of
    response resources (i.e., that amount of on-
    water  and shoreline cleanup capacity nec-
    essary to respond to the fraction of the worst
    case discharge as indicated  through the se-
    ries of steps described in sections 7.2 and 7.3
    or  sections  10.2  and 10.3 of this  appendix)
    would  arrive at  the scene of the discharge
    within 12 hours:  the second  tier of response
    resources would arrive within 36  hours: and
    the third tier of response resources would ar-
    rive within 60 hours.
      5.4  The effective daily recovery capacity
    for oil recovery devices identified in the re-
    sponse plan  must  be determined  using  the
    criteria in section 6 of this appendix. A facil-
    ity owner or operator shall identify the stor-
    age locations of all response resources used
    for each tier. The owner or operator of a fa-
    cility whose  required daily recovery capacity
    exceeds  the  applicable  contracting  caps in
    Table  5  of  this appendix shall,  as  appro-
    priate, identify sources of additional equip-
    ment,  their  location, and the arrangements
    made to obtain this equipment during a re-
    sponse. The  owner or operator of a facility
    whose  calculated planning  volume  exceeds
    the applicable contracting caps in Table 5 of
    this appendix shall, as appropriate, identify
    sources of  additional  equipment equal  to
    twice the cap listed in Tier 3 or the amount
    necessary to reach  the calculated planning
    volume,  whichever  is lower. The resources
    identified above the cap shall be capable of
    arriving  on-scene  not later  than the  Tier 3
    response times in section 5.3 of this  appen-
    dix. No contract is required. While general
    listings of available response equipment may
    be  used to  identify additional  sources  (i.e..
    "public"  resources  vs.  "private"  resources).
    the response plan shall identify the specific
    .sources,  locations, and quantities of  equip-
    ment that a facility owner  or  operator has
    considered in his or her planning. When list-
    ing' USCG-classified oil spill  removal organi-
    zation! s) that have sufficient removal  capac-
    ity to recover the volume above the response
    capacity cap for the specific facility, as spec-
    ified in Table  5 of  this appendix, it  is not
    necessary to list specific quantities of equip-
    ment.
      5.5  A  facility  owner  or  operator shall
    identify the availability  of  temporary stor-
    age capacity to meet section 12.2 of this ap-
    pendix. If available storage capacity is insuf-
    ficient, then the effective  daily recovery ca-
    pacity must be derated (downgraded)  to the
    limits  of the available storage capacity.
      5.6  When selecting response resources nec-
    essary to meet the response  plan require-
    ments, the  facility  owner or operator shall,
    as  appropriate, ensure that  a  portion  of
                                               66
    

    -------
    Environmental Protection Agency
                               Pt. 112, App. E
    those resources is capable of being  used in
    close-to-shore response activities in  shallow
    water. For any EPA-regulated facility that
    is required  to  plan for  response in  shallow
    water, at least 20 percent of the  on-water re-
    sponse equipment identified for  the applica-
    ble operating area shall, as appropriate,  be
    capable of operating in water of 6 feet or less
    depth.
      5.7  In addition  to  oil spill recovery de-
    vices, a facility owner or operator shall iden-
    tify sufficient  quantities  of  boom that are
    available,  by  contract  or  other approved
    means as described in §112.2, to arrive on-
    scene within the specified response times for
    oil containment and collection.  The  specific
    quantity of boom required for collection and
    containment will depend on the  facility-spe-
    cific information and response strategies em-
    ployed. A facility owner or  operator shall, as
    appropriate,  also   identify sufficient  quan-
    tities  of oil  containment  boom to  protect
    fish and wildlife and sensitive environments.
    For further description  of fish  and  wildlife
    and sensitive environments,  see Appendices
    I,  II, and III to DOC/NOAA's "Guidance for
    Facility and Vessel Response Plans: Pish and
    Wildlife  and Sensitive  Environments" (see
    Appendix E to this part,  section 13. for avail-
    ability), and the  applicable  ACP. Refer  to
    this guidance document for  the number of
    days and geographic areas  (i.e., operating en-
    vironments) specified in Table 2  and  Table 6
    of this appendix,
      5.8  A facility owner or operator shall also
    identify, by  contract  or other approved
    means as described in §112.2. the  availability
    of an oil spill removal organization^) (as de-
    scribed in §112.2) capable of responding to a
    shoreline cleanup  operation involving  the
    calculated  volume of oil and emulsified oil
    that  might impact the affected shoreline.
    The volume of oil that shall,  as  appropriate,
    be planned for  is calculated taroug'h the ap-
    plication of factors contained in Tables Z, 3.
    6,  and 7 of this appendix.  The  volume cal-
    culated from these tables  is intended to as-
    sist the facility owner or operator to identify
    an  oil spill removal organization with suffi-
    cient resources and expertise.
    
       6.0  Determining Kffective Daily Recover)/
           Capacity for Oil Recovery Devices
      6.1  Oil recovery  devices identified by a fa-
    cility owner or operator must be identified
    by  the manufacturer, model, and effective
    daily recovery  capacity.  These capacities
    must be used to determine whether there is
    sufficient capacity to  meet  the applicable
    planning criteria for a small discharge, a me-
    dium discharge, and a worst case discharge
    to the maximum extent practicable.
      6.2  To determine the effective  daily recov-
    ery capacity  of oil recovery devices, the for-
    mula listed in  section 6.2.1 of this appendix
    shall be used. This formula considers poten-
    tial limitations due to available daylight.
    weather,  sea  state,   and  percentage   of
    emulsified oil in the recovered material. The
    RA may assign a lower efficiency factor  to
    equipment listed in a response plan if it is
    determined  that such  a reduction is war-
    ranted.
      6.2.1  The following formula shall be used
    to calculate the effective daily recovery ca-
    pacity:
    R - T x 24 hours x E
    where;
    R---Effective daily recovery capacity:
    T Throughput  rate in barrels  per  hour
      mameplate capacity): and
    E- -20 percent efficiency factor (or lower fac-
      tor as determined by  the Regional Admin-
      istrator).
    
      6.2.2  For those devices in which the pump
    limits  the throughput  of liquid, throughput
    rate shall be calculated using the pump ca-
    pacity.
      6.2.3  For belt ur  moptype  devices,  the
    throughput rate shall be calculated using the
    speed of the belt, or mop through the device.
    assumed thickness  of oil adhering to or col-
    lected  by  the device, and surface area  of the
    belt or mop. For purposes of this calculation.
    the assumed  thickness  of oil will be ' i inch.
      6.2.4  Facility owners or operators that in-
    clude oil recovery devices  whose throughput
    is not  measurable using a pump capacity  or
    belt-mop speed may provide information  to
    support, an  alternative method of calcula-
    tion. This information must  be submitted
    following  the procedures in  section 6.3.2  of
    this appendix.
      6.3  As an alternative to section 6.2 of this
    appendix,  a facility owner or operator may
    submit adequate evidence that a different ef-
    fective daily  recovery capacity should be ap-
    plied for a specific  oil recovery device. Ade-
    quate  evidence  is  actual  verified  perform-
    ance data in discharge conditions or  tests
    using' American Society of Testing' and Mate-
    rials" (ASTM)  Standard F 631-99,  F  808-83
    (1999),  or an equivalent test approved by EPA
    as deemed appropriate  I see  Appendix  E  to
    this part,  section 1'?. for general availability
    of documents).
      6.3.1  The following' formula must be used
    to calculate the effective daily recovery ca-
    pacity under this alt dilative:
    B - D x U
    where:
    R--Effective daily recovery capacity:
    D—Average Oil Recovery Rate in barrels per
      hour (Item 26 in F 808-83: Item 13,2,16 in F
      631-99; or actual performance data); and
    U—-Hours  per day that  equipment  can oper-
      ate under discharge conditions. Ten hours
      per day  must  be used  unless a facility
      owner or  operator can  demonstrate that
      the recovery operation can be  sustained for
      longer periods.
                                               67
    

    -------
    Pt,  112, App. E
               40 CFR Ch, I (7-1-04 Edition)
      6,3.2  A facility owner or operator submit-
    ting' a  response plan shall provide data, that
    supports the effective daily recovery  capac-
    ities for  the oil recovery devices;  listed. The
    following is an example  of these calcula-
    tions:
      (DA weir skimmer identified in a response
    plan has a manufacturer's rated throughput
    at the  pump of 267 gallons per minute (gpm).
    267 gpm-381 barrels per hour ("bph)
    R=381 bphx24 hiY(lay>c0,2=1.829 barrels per day
    
      (2) After  testing- using ASTM procedures,
    the  skimmer's  oil recovery rate is  deter-
    mined  to be 220 gpm. The facility owner or
    operator identifies sufficient resources avail-
    able to support operations for 12 hours per
    day.
    220 g-pm=314 bph
    R=314 bphx!2 hr-day=3,768 barrels per day
    
      (3) The facility owner or operator will  be
    able to use the  higher capacity if sufficient
    temporary oil storage capacity is available.
    Determination of alternative efficiency fac-
    tors under section 6.2 of this appendix or the
    acceptability of  an  alternative  effective
    daily recovery capacity under section 6.3 of
    this appendix will be  made by the  Regional
    Administrator as deemed appropriate.
    
    7,0  Calculating Planning Volumes  for a Worst.
      Case  Discharge—Petroleum Oils and .\7on-Pi>-
      troleum Oils Other  Than  Animal Fats and
      Vegetable Oils
      7.1  A facility owner or operator shall plan
    for a response to the facility's worst, case dis-
    charge. The planning for on-water oil recov-
    ery must take into account a loss  of some oil
    to the environment due to  evaporative and
    natural  dissipation,  potential  increases  in
    volume due to emulsification, and the poten-
    tial  for  deposition of oil  on the shoreline.
    The procedures for non-petroleum oils other
    than animal fats and  vegetable oils are dis-
    cussed in section 7.7 of this appendix.
      7,2  The following1 procedures must be used
    by a facility owner  or  operator in deter-
    mining the  required  on-water oil  recovery
    capacity:
      7.2.1  The  following must be determined:
    the worst case discharge volume of oil in the
    facility;  the  appropriate  group(s) for  the
    types of oil handled,  stored, or transported
    at the facility [persistent (Groups 2.  3. 4. 5)
    or non-persistent (Group 1)]: and the facili-
    ty's specific operating- area. See sections 1.2.3
    and  1.2.8 of this appendix for the  definitions
    of non-persistent and  persistent oils, respec-
    tively. Facilities that handle, store, or trans-
    port oil  from different oil  groups must cal-
    culate each group separately, unless  the oil
    group  constitutes 10  percent or less by vol-
    ume of the  facility's  total oil storage capac-
    ity.  This  information is to  be  used  with
    Table  2  of this appendix  to determine the
    percentages of the total volume  to be used
    for removal  capacity planning. Table  2  of
    this appendix divides the volume into  three
    categories: oil lost to the  environment: oil
    deposited on the shoreline:  and oil available
    for on-water recovery.
      7.2,2  The on-water oil  recovery  volume
    shall, as appropriate, be adjusted using' the
    appropriate emulsification  factor found  in
    Table 3 of this appendix. Facilities that han-
    dle, store, or transport oil from different pe-
    troleum  groups  must compare the on-water
    recovery volume for  each oil  group (unless
    the oil group constitutes 10 percent or less
    by volume of  the facility's  total storage ca-
    pacity) and use the calculation that results
    in the  largest on-water oil  recovery volume
    to plan for the amount of response resources
    for a worst case  discharge.
      7.2.3  The adjusted volume is multiplied by
    the on-water oil recovery resource mobiliza-
    tion factor found in Table 4 of this appendix
    from the appropriate operating area and re-
    sponse tier to determine  the total on-water
    oil recovery capacity in barrels per day that
    must be identified or contracted to arrive
    on-scene within the applicable time for each
    response tier. Three tiers are  specified. For
    higher volume  port  areas,  the contracted
    tiers of resources must be located such that
    they are capable of arriving on-scene within
    6 hours for Tier 1. 30 hours for Tier 2. and 54
    hoars for Tier 3  of the discovery of an oil dis-
    charge. For all  other rivers and canals, in-
    land, near-shore  areas, and the Great Lakes.
    these tiers are 12, .36, and 60 hours.
      7.2.4  The resulting on-water oil recovery
    capacity in barrels per day for each tier is
    used to identify response resources necessary
    to sustain operations in the applicable oper-
    ating area. The equipment shall be  capable
    of sustaining operations for the time period
    specified in Table  2 of this appendix. The fa-
    cility owner or operator shall identify and
    ensure the availability, by contract or other
    approved means as described in §112,2. of suf-
    ficient oil  spill recovery devices  to  provide
    the effective daily oil recovery capacity re-
    quired. If the required  capacity exceeds the
    applicable cap specified in Table 5 of this ap-
    pendix, then  a facility owner or operator
    shall ensure, by contract or other approved
    means as described in §112.2,  only  for the
    quantity of resources required to meet the
    cap, but shall identify sources of additional
    resources as indicated in section 5,4 of this
    appendix. The owner or operator of a facility
    whose  planning volume exceeded  the cap in
    1993 must  make  arrangements to   identify
    and ensure  the  availability, by contract  or
    other approved  means as  described in §112.2.
    for additional capacity to be under contract
    by 1998 or 2003, as  appropriate. For a facility
    that, handles multiple groups  of oil, the re-
    quired effective daily recovery capacity for
    each oil  group is calculated before applying
    the cap.  The oil group  calculation resulting
    in  the  largest on-water  recovery  volume
                                               68
    

    -------
    Environmental Protection Agency
                               Pt.  112, App. E
    must be used to plan for  the  amount of re-
    sponse resources for a worst case discharge.
    unless the oil group comprises 10 percent or
    less by volume of the facility's total oil stor-
    age capacity.
      7.3  The procedures discussed in sections
    7.3.1-7.3.3 of this appendix must be used to
    calculate the  planning volume for  identi-
    fying shoreline cleanup capacity (for Group 1
    through Group 4 oils).
      7.3.1  The following must be determined:
    the worst case discharge  volume  of oil for
    the facility: the appropriate group(s)  for the
    types of oil  handled, stored, or transported
    at the facility [persistent  (Groups 2, 3. or 4)
    or non-persistent (Group  1)]:  and  the g'eo-
    graphic area(s) in which the facility operates
    ((.i;..  operating areas).  For a  facility han-
    dling, storing, or transporting oil from dif-
    ferent groups, each group must be calculated
    separately.  Using this information, Table 2
    of this  appendix must be  used to determine
    the percentages  of  the  total  volume to  be
    used for shoreline cleanup  resource planning.
      7.3.2  The shoreline cleanup planning vol-
    ume must be adjusted to  reflect an emulsi-
    fication factor using the same procedure as
    described in section  7.2.2 of this appendix.
      7.3.3  The resulting- volume  shall  be used
    to identify an  oil spill removal organization
    with the appropriate shoreline cleanup capa-
    bility.
      7.4  A  response  plan must identify re-
    sponse  resources with  fire  fighting  capa-
    bility. The  owner or operator of  a facility
    that handles, stores,  or transports Group 1
    through Group 4 oils that  does not have ade-
    quate fire fighting resources located at the
    facility or  that cannot rely  on  sufficient
    local  fire fighting  resources  must identify
    adequate fire fighting resources. The facility
    owner or  operator shall ensure, by contract;
    or other  approved  means  as described  in
    §112.2. the  availability  of these resources.
    The response plan must also identify an indi-
    vidual located at the facility  to  work with
    the fire department  for  Group  1 through
    Group 4 oil fires. This individual shall also
    verify that sufficient well-trained fire fight-
    ing resources are available within a reason-
    able response time to a worst  case  scenario.
    The  individual may be the qualified  indi-
    vidual identified in  the response plan or an-
    other appropriate individual located at the
    facility.
      7.5  The following is an example of the pro-
    cedure described above in sections 7.2 and 7.3
    of this appendix:  A facility with a 270.000 bar-
    rel (11.3 million  gallons) capacity  for #6 oil
    (specific gravity 0.96) is located in a higher
    volume port area. The facility is on a penin-
    sula and  has docks on  both the ocean and
    bay sides. The facility has four aboveground
    oil storage tanks with a combined  total ca-
    pacity of 80.000 barrels (3.36 million gallons!
    and no secondary containment. The remain-
    ing facility tanks are inside secondary con-
    tainment  structures.  The  largest  above-
    ground oil storage tank (90,000 barrels or 3.78
    million gallons) has  its own secondary con-
    tainment.  Two 50.000 barrel (2.1 million gal-
    lon) tanks (that  are not connected  by  a
    manifold)  are  within a common secondary
    containment tank area, which is capable of
    holding  100.000 barrels (4.2 million gallons)
    plus sufficient freeboard.
      7,5.1  The worst case discharge for the fa-
    cility is  calculated by adding the capacity of
    all  aboveground  oil  storage  tanks without
    secondary  containment  (80.000 barrels) plus
    the capacity of the  largest aboveground oil
    storage tank inside  secondary containment.
    The resulting worst case discharge volume is
    170.000 barrels or 7.14 million gallons.
      7.5.2  Because the requirements for Tiers 1.
    2, arid 3  for inland and nearshore exceed the
    caps identified in Table 5 of  this appendix.
    the facility  owner  will contract  for  a re-
    sponse to 10.000 barrels per clay (bpd) for Tier
    1. 20.000 bpd for Tier 2. and 40.000 bpd for Tier
    3. Resources for the remaining 7.850 bpd for
    Tiw 1. 9.750 bpd for  Tier 2, and 7.600 bpd for
    Tier 3 shall be identified but need not be con-
    tracted for in advance. The facility  owner or
    operator shall, as appropriate, also identify
    or contract for quantities of boom identified
    in their  response  plan for the protection of
    fish and  wildlife and sensitive environments
    within the area  potentially impacted by  a
    worst, case discharge  from the facility.  For
    further  description of fish and wildlife and
    sensitive environments,  see Appendices I, II.
    and III to  DOC'NOAA's "Guidance for Facil-
    ity  and  Vessel Response Plans:  Fish and
    Wildlife  and Sensitive Environments." (see
    Appendix E to this part, section 13, for  avail-
    ability) and the applicable ACP. Attachment
    C- III to  Appendix C  provides  a  method for
    calculating a  planning distance  to  fish and
    wildlife and sensitive environments  and pub-
    lic  drinking water intakes that may  be  im-
    pacted in the event of a worst case discharge.
      7,6  The  procedures discussed  in  sections
    7.6.1-7.6.3 of this appendix must be used to
    determine  appropriate response resources for
    facilities with Group 5 oils.
      7.6.1  The owner or operator of a facility
    that handles,  stores,  or transports Group 5
    oils shall, as  appropriate, identify the re-
    sponse resources  available by contract  or
    other approved means, as described in §112.2.
    The equipment identified in a response plan
    shall, as  appropriate,  include:
      (!) Sonar,  sampling  equipment,  or  other
    methods for locating  the oil on  the bottom
    or suspended in the water column:
      (2) Containment boom, sorbent boom,  silt
    curtains, or other methods for  containing
    the oil that may remain floating on the sur-
    face or to reduce spreading on the bottom;
      (3) Dredges,  pumps, or  other  equipment
    necessary to recover oil from the bottom and
    shoreline;
                                               69
    

    -------
    Pt.  112, App. E
               40CFRCh. I  (7-1-04 Edition)
      (4) Equipment necessary to assess the im-
    pact of such discharges: and
      (5) Other appropriate equipment necessary
    to respond to a discharge involving the type
    of oil handled, stored,, or transported.
      7.6.2 Response resources identified in a re-
    sponse  plan  for  a  facility that  handles.
    stores, or transports Group 5 oils under sec-
    tion 7.6.1 of this appendix shall  be capable of
    being deployed (on  site) within 24 hours of
    discovery of a discharge to the area  where
    the facility is operating'.
      7.6.3 A response  plan must  identify re-
    sponse  resources  with  fire  fighting-  capa-
    bility. The owner or operator  of  a facility
    that handles, stores,  or transports Group 5
    oils that does not have adequate fire fighting
    resources located at the facility or that can-
    not rely on sufficient local  fire fighting re-
    sources must identify adequate fire fighting
    resources.  The facility owner  or  operator
    shall ensure,  by contract or other  approved
    means as described in §112.2, the availability
    of these resources.  The response plan shall
    also identify an individual located at the fa-
    cility to work with the fire department for
    Group 5  oil fires. This individual  shall also
    verify that sufficient  well-trained fire fight-
    ing resources are available within a reason-
    able response time to respond to a worst case
    discharge. The individual may  be the  quali-
    fied  individual identified  in  the  response
    plan  or  another appropriate individual lo-
    cated at the facility.
      7.7  Non-petroleum  oils  other  than  animal
    fats  and vegetable  oils.  The procedures de-
    scribed in sections 7.7.1  through 7.7.5 of this
    appendix must be used  to determine  appro-
    priate response plan development and eval-
    uation  criteria for  facilities  that handle.
    store,  or transport non-petroleum  oils other
    than animal  fats and vegetable  oils. Refer to
    section 11  of this appendix  for information
    on the limitations  on the use  of  chemical
    agents for inland and nearshore areas.
      7.7.1 An owner or  operator  of  a facility
    that handles, stores, or transports non-petro-
    leum oils other than animal fats  and vege-
    table oils must provide information in his or
    her plan that identifies:
      (1) Procedures  and strategies  for respond-
    ing  to a worst case discharge  to the  max-
    imum extent practicable: and
      (2) Sources of the equipment and supplies
    necessary  to locate,  recover,  and  mitigate
    such a discharge.
      7.7.2 An owner or  operator  of  a facility
    that handles, stores, or transports non-petro-
    leum oils other than animal fats  and vege-
    table oils must ensure that any equipment
    identified in a response plan is capable of op-
    erating in the conditions expected in the ge-
    ographic  area(s)  (i.e.,  operating  environ-
    ments) in which the facility operates using
    the criteria in Table 1 of this appendix. When
    evaluating the operability of equipment, the
    facility owner or operator must consider lim-
    itations  that are  identified in the  appro-
    priate ACPs. including:
      (1) Ice conditions:
      (2) Debris:
      (3i Temperature ranges: and
      (4) Weather-related visibility.
      7.7.3  The owner  or  operator  of  a facility
    that handles, stores, or transports non-petro-
    leum oils other than  animal fats  and vege-
    table oils must identify the  response re-
    sources that  are  available  by contract  or
    other approved means, as described in §112.2.
    The  equipment described  in the  response
    plan shall, as appropriate, include:
      '!) Containment  boom,  sorbent  boom,  or
    other methods for containing oil floating on
    the surface or to protect shorelines from im-
    pact:
      12} Oil recovery devices appropriate for the
    type of non-petroleum oil carried: and
      (3) Other appropriate equipment  necessary
    to respond to a  discharge involving the type
    of oil carried.
      7.7.4  Response resources identified in a re-
    sponse  plan according to section 7.7.3 of this
    appendix must be capable of commencing an
    effective on-scene response within  the  appli-
    cable tier response times in section  5.3  of
    this  appendix.
      7.7.5  A  response  plan  must  identify re-
    sponse  resources  with  fire  fighting  capa-
    bility.  The owner  or  operator  of  a facility
    that handles, stores, or transports non-petro-
    leum oils other than  a,nimal fats  and vege-
    table oils that:  does not  have adequate fire
    fighting resources located at the facility or
    that cannot  rely  on  sufficient  local fire
    fighting  resources must identify  adequate
    fire  fighting resources. The owner or oper-
    ator shall ensure,  by  contract  or  other ap-
    proved  means  as  described in §112.2.  the
    availability of these resources. The response
    plan must also identify an individual located
    at. the  facility to work with the fire depart-
    ment for  fires of these oils. This  individual
    shall also verify that  sufficient well-trained
    fire fighting resources are available within a
    reasonable response time to a worst case sce-
    nario.  The individual may be the qualified
    individual identified in the response plan or
    another  appropriate  individual located  at
    the facility.
    
    8.0  Determining Response Resources Required
      for Small Discharges—Animal Fats and  Vege-
      table Oils
      8.1  A  facility  owner  or  operator  shall
    identify sufficient  response  resources  avail-
    able, by contract or other approved means as
    described in §112.2. to  respond to a small dis-
    charge of  animal fats or vegetable oils. A
    small discharge is  defined as any  discharge
    volume less  than or equal to 2,100 gallons,
    but  not to exceed the calculated worst case
    discharge. The  equipment must be designed
    to function in the operating environment at
    the point  of expected use.
                                               70
    

    -------
    Environmental  Protection Agency
                               Pt. 112, App. E
      8.2  Complexes that are regulated by EPA
    and the USCG must also consider planning
    quantities for the marine transportation-re-
    lated portion of the facility.
      8,2.1  The OSCG planning level  that  cor-
    responds  to  EPA's  "small  discharge"  is
    termed "the  average  most  probable  dis-
    charge."  A  USCG  rule  found  at  33 CPR
    154.1020 defines "the  average  most probable
    discharge"  as  the lesser of 50 barrels (2.100
    gallons) or  1  percent of the  volume  of the
    worst, case  discharge. Owners  or operators of
    complexes  that handle, store, or  transport
    animal fats and vegetable oils must compare
    oil discharge volumes for a small  discharge
    and an average most probable discharge, and
    plan for whichever quantity IK greater.
      8.3  The response resources shall, as appro-
    priate, include:
      8.3.1  One thousand  feet of containment
    boom (or, for complexes with marine transfer
    components, 1,000 feet of containment boom
    or two times the leng'th of the largest vessei
    that regularly conducts oil transfers to  or
    from the facility, whichever is greater), and
    a means of deploying" it within 1 hour of the
    discovery of a  discharge;
      8,3,2  Oil  recovery devices  with  an effec-
    tive  daily  recovery  capacity equal  to the
    amount of  oil discharged  in a small  dis-
    charge or greater which is available  ai the
    facility within 2  hours of the detection  of a
    discharge; and
      8.3.3  Oil  storage  capacity for  recovered
    oily material indicated in section 12.2  of this
    appendix.
    
    S.O  Determining Response RttiouYces Required
      for  Medium  Discharges-- -Animal  Fats  and
      Vegetable Oils
      9.1  A  facility  owner  or  operator  shall
    identify sufficient response resources avail-
    able, by contract or  other approved means as
    described in §112,2, to respond to a medium
    discharge of animal  fats or vegetable oils for
    that facility.  This will require response  re-
    sources capable of containing' and collecting'
    up to 36,000 gallons of oil or 10 percent of the
    worst case  discharge,  whichever is less. All
    equipment, identified must be  designed to op-
    erate  in the  applicable operating environ-
    ment specified in Table 1 of this appendix.
      9.2  Complexes  that are regulated by EPA
    and the USCG must also consider planning
    quantities   for   the   transportation-related
    transfer portion  of  the facility. Owners  or
    operators of complexes that handle, store,  or
    transport animal fats or vegetable  oils must
    plan for oil  discharge volumes for a medium
    discharge.  For non-petroleum oils, there  is
    no USCG  planning  level that directly  cor-
    responds to EPA's "medium  discharge." Al-
    though the USCG does not have planning re-
    quirements  for medium discharges, they do
    have  requirements  (at  33  CFR 154,545)  to
    identify equipment  to  contain oil  resulting
    from an operational discharge.
      a.3  Oil recovery devices identified to meet
    the  applicable  medium  discharge  volume
    planning' criteria must, be located such  that
    they are capable of arriving on-scene within
    6 hours in higher volume port  areas and the
    Great Lakes arid within 12 hours in all other
    areas.  Higher volume port areas and Great
    Lakes  areas are defined in sec-lion 1.1 of Ap-
    pendix C to thi.s part
      ft 1  Because  rapid  control,  containment.
    and removal of oil are critical  to reduce dis-
    charge impact,  the owner or opeiator  must
    determine response lesourees using an effec-
    tive  daily recovery capacity for  oil recovery
    devices equal  to 50 percent of the planning
    volume applicable for the facility a? deter-
    mined  in section 9,1 of this appendix. The af-
    fective dally recovery capacity for oil recov-
    ery devices identified In the plan must be de-
    termined using  the  criteria in section  6 of
    this appendix.
      9.5  In addition to  oil  recovery capacity.
    the plan shall,  as appropriate,  identify  suffi-
    cient quantity of containment  boom avail-
    able, by contract or other approved means as
    described in §112.2, to arrive within the re-
    quired response times for oil collection and
    containment and for protection of  fish  and
    wildlife and sensitive environments. For fur-
    ther description of fish and wildlife  and sen-
    sitive environments, see Appendices I. II, and
    II!  to  DOC.-'NOAA's  "Guidance for  Facility
    and Vessel Response Plans' Fish and Wildlife
    and Sensitive Environments" (59  FR 14713-22.
    March 29. 1994)  and the applicable ACT'. Al-
    though 40 CFR part. 112 does not  set required
    quantities of boom for oil collection and con-
    tainment, the  response plan  shall  identify
    and  ensure, by  contract  or other approved
    means as described in §112.2, the availability
    of the quantity of  boom identified in  the
    plan for this purpose
      9.«  The  plan  must  indicate  the  avail-
    ability  of  temporary  storage capacity  to
    meet section 12.2 of this appendix.  If avail-
    able storage capacity is insufficient to  meet
    this  level, then the effective daily recovery-
    capacity must  be derated (downgraded*  to
    the limits of the available storage capacity.
      9.7  The following  is  an example of a me-
    dium discharge  volume planning calculation
    for equipment identification in a higher vol-
    ume port area:
      The facility's  largest, aboveground  storage
    tank volume is 840.000  gallons. Ten percent
    of this capacity is 84,000 gallons. Because 10
    percent  of  the facility's largest,  tank,  or
    84.000 gallons, is greater than  36,000 gallons,
    36,000 gallons is  used as the planning volume.
    The  effective  daily recovery capacity  is 50
    percent of the planning volume, or 18.000 gal-
    lons per day. The ability of oil recovery de-
    vices to meet  this  capacity  must  be  cal-
    culated using  the procedures in  section 6 of
    this  appendix.  Temporary  storage capacity
    available on-scene  must  equal  twice   the
                                               71
    

    -------
    Pt.  112,App. E
               40 CFR Ch. I  (7-1-04 Edition)
    daily recovery capacity as indicated in sec-
    tion 12.2 of this appendix, or 36,000 gallons
    per day. This is the information the facility
    owner or operator must use to identify and
    ensure the  availability of the required re-
    sponse resources, by contract  or  other  ap-
    proved means as described in §112.2. The fa-
    cility owner shall  also identify how  much
    boom is available for use.
    
    70.0  Calculating Planning Volumes for a Worst
      Case Discharge—Animal Fats and  Vegetable
      Oils.
    
      10.1  A facility owner  or  operator shall
    plan for a  response to the facility's  worst
    case discharge. The planning for on-water oil
    recovery must take into  account a loss  of
    some oil to  the environment due to physical.
    chemical, and biological processes, potential
    increases in volume due  to  emulsification.
    and the potential for deposition of oil on the
    shoreline  or  on  sediments. The  response
    planning procedures for animal  fats and veg-
    etable oils  are  discussed  in  section  10,7  of
    this appendix. You may  use alternate re-
    sponse planning procedures for animal fats
    and vegetable oils if those procedures result
    in environmental protection equivalent  to
    that provided by the  procedures in section
    10.7 of this appendix.
      10.2  The  following   procedures  must  be
    used by a facility owner or operator in deter-
    mining' the required on-water  oil  recovery
    capacity:
      10.2.1  The following'  must  be determined:
    the worst case discharge volume of oil in the
    facility;  the  appropriate   group)s)  for the
    types of oil handled, stored, or transported
    at the facility (Groups A,  B, C): and the fa-
    cility's specific  operating  area. See sections
    1.2.1 and 1.2.9 of this appendix for the defini-
    tions of animal fats and vegetable oils and
    groups thereof. Facilities that handle,  store.
    or transport  oil from  different  oil groups
    must calculate each group separately, unless
    the oil group constitutes  10  percent or less
    by volume of the facility's total oil storage
    capacity. This information is to be used with
    Table 6 of  this  appendix  to determine the
    percentages of the total volume to  be used
    for removal capacity  planning. Table 6  of
    this appendix divides the  volume into three
    categ'ories:  oil lost  to  the environment; oil
    deposited on the shoreline: and oil available
    for on-water recovery.
      10.2.2  The on-water  oil  recovery volume
    shall, as appropriate, be adjusted  using the
    appropriate emulsification factor found  in
    Table 7 of this appendix. Facilities that han-
    dle,  store,  or transport oil  from  different
    groups must compare the  on-water recovery
    volume for each oil group (unless the oil
    group constitutes 10 percent or less by vol-
    ume of the  facility's total storage capacity)
    and  use the calculation that results in  the
    largest on-water oil recovery volume to plan
    for the amount of response resources for  a
    worst case discharge.
      10,2.3 The adjusted volume is multiplied
    by the on-water oil recovery resource mobili-
    zation factor found in Table 4 of this appen-
    dix from the appropriate operating area and
    response tier to determine the total on-water
    oil recovery capacity in barrels per day that
    must be identified  or  contracted to arrive
    on-scene within the applicable time for each
    response tier. Three tiers are specified. For
    higher  volume port areas, the  contracted
    tiers of resources must be located such that
    they are capable of arriving on-scene within
    6 hours for Tier 1, 30 hours  for Tier 2. and 54
    hours  for Tier 3  of the discovery of a dis-
    charge. For all other  rivers and canals, in-
    land, nearshore areas, and  the Great Lakes.
    these tiers are 12. 36, and 60  hours.
      10.2.4 The resulting on-water oil recovery
    capacity in barrels  per  day for  each tier is
    used to identify response resources necessary
    to sustain operations in the applicable oper-
    ating' area.  The equipment shall be  capable
    of sustaining operations for the time period
    specified in Table  6 of this  appendix. The fa-
    cility  owner or operator shall  identify and
    ensure, by contract or other approved means
    as described in §112.2, the availability of suf-
    ficient  oil spill recovery devices to  provide
    the effective daily oil recovery capacity re-
    quired. If the required capacity exceeds the
    applicable cap specified in Table 5 of this ap-
    pendix, then  a facility  owner  or  operator
    shall ensure, by contract or  other approved
    means  as described in  §112,2, only  for the
    quantity  of resources required to meet the
    cap, but shall identify sources of additional
    resources as indicated in section 5.4  of this
    appendix. The owner or operator of a facility
    whose planning volume exceeded the cap in
    1998 must make  arrangements  to  identify
    and  ensure, by contract or other approved
    means as  described in §112.2, the availability
    of additional capacity  to be  under  contract
    by  2003. as  appropriate. For  a  facility that
    handles multiple groups of oil, the  required
    effective daily recovery capacity for each oil
    group  is calculated before applying the cap.
    The oil group calculation  resulting  in the
    largest on-water recovery  volume  must  be
    used to plan for the amount of response re-
    sources for a worst case discharge, unless the
    oil group comprises 10 percent or less by vol-
    ume of the facility's oil storage capacity.
      10.3  The procedures discussed in sections
    10.3.1 through 10.3.3 of this appendix must be
    used to calculate  the  planning volume for
    identifying  shoreline  cleanup capacity (for
    Groups A and B oils).
      10,3,1 The following: must  be  determined:
    the worst case discharge volume of oil for
    the facility; the appropriate gToup(s)  for the
    types of oil handled, stored, or transported
    at the facility (Groups A or B); and the geo-
    graphic area(s) in which the facility operates
                                               72
    

    -------
    Environmental Protection Agency
                               Pt,  112, App. E
    (i.e..  operating' areas).  For  a  facility han-
    dling",  storing', or transporting1 oil  from dif-
    ferent groups, each group must be calculated
    separately.  Using this information. Table 6
    of this appendix must lie used to determine
    the percentages of the total volume to he
    used for shoreline cleanup resource planning.
      10.3,2 The shoreline cleanup planning" vol-
    ume must be adjusted tc reflect an emulsi-
    fioation factor using  the same procedure as
    described in section 10.2.2 of this appendix.
      10.3.3 The resulting* volume  shall be used
    to identify an oil spill removal organization
    with the appropriate shoreline cleanup capa-
    bility.
      10.4  A  response  plan must  identify re-
    sponse resources with fire fighting capability
    appropriate for the risk of fire and  explosion
    at the facility from  the discharge  or  threat
    of discharge of oil. The  owner or operator of
    a facility that handles,  .stores,  or transports
    Group A  or  B oils thai does not have  ade-
    quate  fire fighting' resources located  at the
    facility or  that  cannot rely  on  sufficient
    local  fire fighting resources  must identify
    adequate lire fighting resources. The facility
    owner or  operator shall ensure, by contract
    or  other  approved  means as  described in
    §112.2,  the  availability of these  resources.
    The response plan must  also identify an indi-
    vidual to  work with  the fire  department for
    Group A or B oil fires. This individual shall
    also verify  that sufficient well-trained fire
    fighting resources are available within a rea-
    sonable response  time to a worst  case  sce-
    nario.  The  individual may be  the qualified
    individual identified in  the response plan or
    another appropriate  individual  located at
    the facility.
      10.5  The  following is an example  of the
    procedure described in sections 10.2 and 10-3
    of this appendix. A facility with  a  37.04  mil-
    lion gallon (881.904 barrel) capacity of several
    types of vegetable oils  is located in the In-
    
                             iniard Operating Area
    
    Mobilization factor by which you multiply planning volume 	
    Estimated Daily Recovery Capacity (bbls!	
    land Operating Area. The vegetable oil with
    the highest specific gravity stored at the fa-
    cility is soybean oil 'specific gravity 0.92H.
    Group B vegetable oil). The facility has ten
    abcveground oil  storage tanks with a com-
    bined total  capacity  of 18 million gallons
    (428.571  barrels! and without  secondary con-
    tainment.  The remaining facility tanks are
    inside  secondary  containment   structures.
    The  laig.'est abweground oil storage tank i3
    million gallon.- or 71,428 barrels) has its  own
    secondary  containment  Two  2.1 million  gal-
    lon (50.000 barrel)  tanks (that are not con-
    nected by  a  manifold)  are within a common
    secondary  containment tank area, which is
    capable of holding 4.2 million gallons 1100.000
    ban els» plus sufficient freeboard.
      10.5.1  The worst case discharge  for the fa-
    cility is calculated bv adding the capacity of
    all abovegrouml  vegetable  oil storage  tanks
    without secondary containment (18.0 million
    gallons) plus the  capacity  ol  the Hrgest
    aboveg'round storage tank Inside  secondary
    containment (30 million gallons).  The  re-
    sulting  worst case discharge is 21 million
    gallons or 500.000 barrels.
      10.5.2  With a specific- worst case discharge
    identified, the planning' volume for oil-water
    recovery can be identified as follows:
    Worst  case  discharge: 21 million ya lions
      (500,000 barrels) of Group B vegetable  oil
    Operating1 Area: Inland
    Planned percent  recovered floating' vegetable
      oil (from Table t;, column Nearshore Inland
      Great Lakesi: Inland. Group B is 20%
    Emulsion factor (from Table 7): 2.0
    Planning   volumes  for on-vvater  recovery:
      21.000.000 gallons > 0.2 > 2.0  = 8.400.000 gal-
      lons or 200,000 barrels.
    Determine required resources  for on-water
      recovery for each of the three  tiers using
      mobilization factors (from Table 4. column
      Inland-Nearshore Great Lakes i
                           Tier 1
                              .15 !
                           30.000 i
    Tier 2    T«r 3
    
       .25 i      40
    50,000   80.000
      10.5.3   Because  the  requirements  for  On-
    Water Recovery Resources for Tiers  1. 2. and
    3 for  inland Operating Area exceed the caps
    identified in Table 5 of this? appendix, the fa-
    cility owner will  contract,  for a response of
    12,500 barrels  per  day  (bpd) for Tier 1. 25.000
    bpd for Tier 2, and 50,000 bpd for Tier 3, Re-
    sources for the remaining 17.500 bpd for Tier
    1. 25,000 bpd for Tier 2. and 30.000 bpd for Tier
    3 shall  be identified  but need  not  be con-
    tracted for in  advance.
      10.5.4   With the specific worst case  dis-
    charge identified,  the planning volume of on-
    shore recovery can be identified as follows:
    Worst  case  discharge:  21  million  gallons
      (500,000 barrels; of Group B vegetable oil
    Operating Area: Inland
    Planned percent recovered floating vegetable
      oil from onshore (from  Table 6.  column
      Nearshore Inland Great   Lakes):   Inland.
      Group B is 65%
    Emulsion factor (from Table 7): 2.0
    Planning" volumes for shoreline recovery:
    21.000,000 gallons x 0.6S x 2.0 = 27,300.000 gal-
      lons or 650.000 barrels
      10.5.5  The facility owner or operator shall,
    as appropriate, also identify or contract for
    quantities of boom identified in the response
    plar. for  the protection of fish and  wildlife
                                               73
    

    -------
    Pt.  112, App. E
               40 CFR Ch. I (7-1-04 Edition)
    and sensitive  environments within  the area
    potentially  impacted  by a worst case dis-
    charge from the facility. For further descrip-
    tion of fish and wildlife and  sensitive envi-
    ronments,  see Appendices I,  II.  and Til  to
    DOC/NOAA's "Guidance for Facility and Ves-
    sel  Response  Plans:  Fish and  Wildlife and
    Sensitive Environments," (see Appendix E to
    this part, section 13, for availability) and  the
    applicable ACP. Attachment C-III to Appen-
    dix C  provides  a  method for calculating a
    planning distance  to  fish and wildlife and
    sensitive environments and public  drinking
    water intakes that may be adversely affected
    in the event of a worst case discharge.
      10.6  The procedures discussed in sections
    10.6.1 through 10.6.3 of this appendix must be
    used to determine appropriate response  re-
    sources for facilities with Group C oils.
      10.6.1  The owner or operator of a facility
    that handles,  stores, or transports  Group C
    oils shall,  as appropriate,  identify the  re-
    sponse  resources  available by contract,  or
    other approved means, as described  in §112.2.
    The equipment identified in a response plan
    shall, as appropriate, include;
      (1) Sonar,  sampling' equipment,  or  other
    methods for locating the oil  on the bottom
    or suspended in the water column;
      (2) Containment boom, sot-bent boom,  silt
    curtains, or other methods  for  containing
    the oil that may remain floating on the sur-
    face or to reduce spreading on the bottom;
      (3) Dredges, pumps,  or other  equipment
    necessary to recover oil from the bottom and
    shoreline;
      (4) Equipment necessary to assess the  im-
    pact of such discharges; and
      (5) Other appropriate equipment necessary
    to respond to  a  discharge involving the type
    of oil handled, stored, or transported.
      10,6.2 Response  resources identified in a
    response plan for a facility  that  handles.
    stores, or transports Group C oils under sec-
    tion 10.6.1 of this appendix shall lie capable of
    being deployed  on scene within 24  hours of
    discovery of a discharge.
      10.6.3 A  response plan must identify  re-
    sponse  resources  with  fire  fighting  capa-
    bility. The  owner  or  operator of a facility
    that handles,  stores, or transports  Group C
    oils that does not have adequate fire fighting
    resources located at the facility or that can-
    not, rely on sufficient local fire fighting re-
    sources must  identify adequate fire fighting
    resources. The owner or operator shall  en-
    sure, by contract, or other approved means as
    described in §112.2. the availability of these
    resources. The response plan shall also iden-
    tify an individual located at the facility to
    work with the fire department for Group C
    oil  fires.  This  individual shall also verify
    that sufficient well-trained fire fig'hting re-
    sources are available within a reasonable re-
    sponse time to respond  to a worst  case dis-
    charge. The individual may be the  qualified
    individual identified in the response plan or
    another  appropriate individual  located at
    the facility.
      10-7  The procedures described in sections
    10.7.1 through 10.7.5 of this appendix must be
    used to determine appropriate response  plan
    development and evaluation criteria for fa-
    cilities that handle, store, or transport ani-
    mal fats and vegetable oils. Refer to section
    11 of this appendix for  information on  the
    limitations on the use of chemical agents for
    inland and nearshore areas.
      10.7.1 An owner  or operator of a  facility
    that handles, stores, or transports  animal
    fats and vegetable oils must provide infor-
    mation in the response plan that identifies:
      (1)  Procedures and strategies for respond-
    ing to a worst case  discharge of animal fats
    and vegetable oils to the maximum extent
    practicable: and
      (2)  Sources of the equipment and supplies
    necessary to  locate, recover,  and mitigate
    such a discharge.
      10.7.2 An owner  or operator of a  facility
    that handles, stores, or transports  animal
    fats and vegetable oils must ensure that any
    equipment identified in a response plan is ca-
    pable of operating  in the geographic areacsi
    (i.e.. operating environments) in  which the
    facility operates using the criteria in Table 1
    of this, appendix. When evaluating the oper-
    ability of equipment, the facility  owner or
    operator must consider limitations that are
    identified in the appropriate ACPs.  includ-
    ing:
      il) Ice conditions:
      (2) Debris:
      (3) Temperature ranges; and
      (41 Weather-related visibility.
      10.7.3.  The owner or operator of a  facility
    that handles, stores, or transports  animal
    fats and vegetable oils must identify the re-
    sponse resources that are available by  con-
    tract or other approved  means, as described
    in §112.2. The equipment described in the re-
    sponse plan shall, as appropriate, include:
      (1) Containment  boom, sorbent  boom, or
    other methods for containing oil floating on
    the surface or to protect shorelines from im-
    pact:
      (2) Oil recovery devices appropriate for the
    type of animal fat or vegetable  oil carried:
    and
      (3) Other appropriate equipment necessary
    to respond to a discharge involving the  type
    of oil carried.
      10.7.4 Response resources  identified  in  a
    response plan according to section 10,7.3 of
    this appendix must  be  capable  of  com-
    mencing' an effective on-scene response with-
    in the applicable tier response times in sec-
    tion 5.3 of this appendix.
      10.7.5 A response plan must identify re-
    sponse  resources  with  fire   fighting capa-
    bility. The  owner  or operator of a  facility
    that handles, stores, or transports  animal
    fats and vegetable  oils  that  does  not  have
    adequate  fire fighting resources located at
                                               74
    

    -------
     •nvironmental Protection Agency
                               Pt. 112, App. E
     fas facility or that cannot rely on sufficient
     ocal fire  fighting: resources must identify
     idequate  fire fighting resources.  Tlie owner
     >r  operator shall ensure, by  contract  or
     >ther approved means as described in §112.2.
     :-he availability of these resources. The re-
     sponse plan shall  also identity an individutil
     ocated at the facility to work  with the  fire
     lepartment for animal fat and  vegetable oil
     Ires, This individual shall also verify  that
     iufficlent well-trained fire fighting resource
     ire available within a  reasonable response
     sime  to respond to  a worst case disoha'.xe,
     rhe individual  may be  the  qualified inch-
     /idual identified in the response plan or an-
     ;ther appropriate individual  located  at  the
     facility.
    
          11.0  Determining the A mi lability nt
                    cp. Response Method*
      11.1  For chemical agents to  be identified
    in a response plan, they must be on the NCP
    Product  Schedule  that  is maintained by
    EPA. (Some States have a list of approved
    rlispersatits for use within State waters. N;>t.
    ail of  these  State-approved dispersants are
    listed on the NCP Product Schedule.)
      11.2  Identification of chemical  agents in
    the plan does not Imply that their use will be
    authorized. Actual authorization will be gov-
    erned by the provisions of  the  NCP and the
    applicable ACP.
    
        12.0 Additional Equipment. iVeoessur.v to
            Sustain Response Operations
    
      12.1  A  facility  owner or operator  shall
    identify sufficient response resources avail-
    able. by contract or other approved means as
    described  in §112.2. to respond  to a medium
    discharfi'e of animal fats or vegetables oils
    for that facility. This will require response
    resources   capable  of  containing and  col-
    lecting  up to  36.000 gallons of oil  or 10 per-
    cent. of the worst case discharge. whichevei
    is less. All equipment identified must be de-
    signed to operate in the  applicable operating
    environment specified in Table 1 of this ap-
    pendix.
      12.2  A  facility  owner or operator  shrill
    evaluate the availability of adequate tem-
    porary storage capacity to  sustain the  effec-
    tive daily  recovery  capacities from  equip-
    ment identified in the plan. Because of the
    inefficiencies of oil spill recovery devices, re-
    sponse plans must  identify  daily storage ca-
    pacity equivalent to twice the effective daily
    recovery capacity required on-scene. This
    temporary storage capacity may  be reduced
    if a. facility  owner  or  operator can  dem-
    onstrate by waste  stream analysis  that  the
    efficiencies of the oil recovery devices, abil-
    ity to decant, waste, or the availability of al-
    ternative temporary storage or disposal loca-
    tions will reduce the overall volume of oily
    material storage.
      12.3  A facility owner or operator shall en-
    sure that response, planning includes the ca-
    pability to arrange for disposal of recovered
    oil  products. Specific- disposal  procedures
    will tie addressed in the applicable ACP
    
           J'i.o  A'efcn'i.'cf'x and Availability
    
      13.1  All materials  listed in this  section
    are part of EP.Vs rulemaiung- docket and are
    located in the Supwfuncl Docket, 123S -Jeffer-
    son Davis Highway. Crystal Gateway 1.  Ai-
    lintrton,  Virginia 22202,  Suite 105 (Doc.Ket.
    Numbers SPGC  2P. SPCO 3P. and SPCf-fiF).
    The -locket  it-  available  for  inspection  be-
    tween  9  a.m. and  4  p.m..  Monday tbnmgii
    Friday, excluding Federal holidays.
      Appointments 1o review the docket can be
    ma-.l>-- by  callint; 703 603-9232.  Docket horns
    are subject to change. As provided in 40 OFR
    part 2. a reasonable fee may  be charged for
    copying service^.
      13.2  The docket  will mail copies of mate-
    rials to requestors who are outside the Wash-
    ington, DC metropolitan area. Materials may
    be available  from other sources, as noted in
    this section. As provided  in 40 CFR part  2. a
    reasonable fee may be charg'ed for copying'
    services.  The  liCRA Superfund Hotline  at
    800-421-9346  may also  provide  additional in-
    formation on where to obtain documents To
    contact th« RCRA Superfund  Hotline in  the
    Washington. DC  metropolitan  area, dial 703-
    412-9810. The Telecommunications Device for
    the Deaf  (TDUi Hotline  number is  800-553-
    7672. or. in the Washington. DC metropolitan
    area. 703-412-33-13
    
                  U> '•!  iv.-::uments
    
      ;1) National Preparedness- for Response  Ex-
    ercise  Program  (PREP).  The PREP draft
    guidelines are available from  United  mutes
    Coast  Guard Headquarters (G-MEP-4).  2100
    Second Street.  SVV.,  Washington.  DC 20593.
    CSef SB FR 53990-91. October 19. IS93.  Notice
    of Availability of PREP Guidelines,.
      (2- "Guidance  for Facility and  Vessel  Re-
    sponse Plans: Fish and Wildlife and Sensitive
    Environments (published in the Federal Reg-
    ister by DOC.-NOAA at 59  FR 14713-22. March
    29.  1994.1. The  guidance is available  in  th<->
    Superfund Docket- (see sections 13.1 and  13.2
    of this appendix i
      (3; ASTM Standards. ASTM F 715. ASTM F
    988. ASTM  F Gil 99. ASTM F 808-83 U999)
    The ASTM standards are available from  the
    American Society fot Testing and Materials,
    100  Bair  Harboi  Drivt.. West  Conshohocken.
    PA  19428-2959.
      i4> Response  Plans  for  Marina  Transpor-
    tation-Related   Facilities.  Interim  Final
    Rul«. Published  by UisCO. DOT at 58 FR 7330--
    76. February 5. 1993.
    

    -------
    Pt. 112, App. E                                                 40 CFR Ch.  I (7-1-04 Edition)
    
                    TABLE 1 TO APPENDIX E—RESPONSE RESOURCE OPERATING CRITERIA
                                               Oil Recovery Devices
    
                               Operating environment
    Rivers and Canals 	
    Inland 	
    Great Lakes 	
    Ocean 	
                                                                                 Significant wave
                                                                                    height'
                                                                             | < 1 foot 	
                                                                              <3 (eet 	
                                                                        	] <4 feet 	
                                                                          	 I < 6 feet 	
                           Sea state
    
                                  1
                                  2
                                2-3
                                3-4
    
    Boom property
    Significant Wave Height 1 ., 	 	
    Sea State ....„,,, 	 ,, 	 , 	 ,
    Boom height— inches (draft plus freeboard) ..... .
    Reserve Buoyancy to Weight Ratio 	
    Total Tensile Strengths — pounds ,,, 	
    
    Skirt Fabric Tensile Slrength— pounds 	 ,
    Skirt Fabric Tear Strength—pounds 	
    
    Rivers and
    canals
    i i
    1 .. ,
    	 i 	
    	 6-18 	
    ; 2:1
    	 4.500 	
    
    	 ZOO 	
    	 100 	
    Use
    Inland Great Lakes
    S3 	 :<4 	
    2 	 2-3 	
    18-42 	 18-42 	
    2:1 	 2:1 	
    15,000- 1 15.000-
    20,000. 20.000.
    300 	 300 	
    100 	 100 	
    
    Ocean
    <6
    3-4
    >42
    3:1 to 4:1
    >20.000
    
    500
    125
      10il recovery devices and boom shsi! he at least capable of operating in wave heignts up to and including ihe values listed in
    Table 1 for sach operating environment.
    
            TABLE 2 TO APPENDIX E—REMOVAL CAPACITY  PLANNING TABLE  FOR PETROLEUM OiLS
               Spill location
     Sustainability of on-water oil recovery
                Oii group1
                                                Rivers and cana;s
    
                                                    3 days
    
                                      Percent nat- '  Percent  re-
                                      ira1 dissipa- ,   covered
                                                                               Nearshore'lniand^Great Lakes
               4 days
                                                               Percent oil
                                          tton
        ™J'
    l-asapa-
                                                                                                   Percent oil
    floating oil
    10 j
    15 :
    15
    20
    
    10 !
    45!
    65
    _ 7S_L
    tion flo;
    80 |
    50 i
    30 '
    10
    Ming oil ! on
    20 i
    50 i
    50 I
    50 !
    
    10
    30
    50
    70
    1—Non-persistent oils	 \
    2—Light crudes 	 <
    3—Medium crudes and fuels 	 j
    4—Heavy crudes and fuels 	 j
      1 The response resource considerations for non-petroleum oils other than animal fats and vegetable oils are outlined in section
    7.7 of this appendix.
      Note: Group 5 oils are defined in section  1.2.8 of tnis appendix: the response resource considerations are outlined in section
    76 of this appendix.
    
             TABLE 3 TO APPENDIX E—EMULSIFICATION  FACTORS FOR PETROLEUM OIL GROUPS 1
    Non-Persistent Oil:
      Group 1 	
    Persistent Oil:
      Sroup 2 	
      Groups 	
      Group 4	
    Group 5 oils are defined in section 1.2.7 of this appendix, ihe -"espouse resource considerations are outlined in section
      7.6 of this appendix.
    
      " See sections 1.2.2 and 1.2.7 of this appendix for group designations for non-persistent and persistent oils, respectively.
    
          TABLE 4 TO APPENDIX E—ON-WATER OIL RECOVERY RESOURCE MOBILIZATION FACTORS
    
                             Operating area
    
    Rivers and Canals	
    Inland/Nearshore Great Lakes 	
    
      Note: These mobilization factors are tor tota! resources mobilized, not incremental response resources.
    
                 TABLE 5 TO APPENDIX E—RESPONSE CAPABILITY CAPS BY OPERATING AREA
    
                                                                        Tier 1     i     Tier 2     i     Tier 3
                                                                                                          1.0
    
                                                                                                          1.8
                                                                                                          2.0
                                                                                                          1 4
    February 18, 1993:
           All except Rivers & Canals. Great Lates
                                                                      tOKbbis/day- :   20K bbls/day   40K bbls/day.
                                                       76
    

    -------
    Environmental Protection  Agency                                           Pt.  112,  App. E
    
          TABLE 5 TO APPENDIX  E—RESPONSE CAPABILITY CAPS BY OPERATING AREA—Continued
                                                                     1     Tier 1          Tier 2     •     Tiei 3
           Great Lakes   ................. -  ........      .....
           Rivers 4 Canals .....................       .....
    February 18, 1998:
           Ail except Rivers & Canaio Great takes .....       .....
           Gieat Lakes .........................................
           Rivers & Canals ...............................
    
    February 18. 2003-
           All except Rivers S Canals. Great Lakes .....
           Great Lakes ................................ - .............  ...
           Rivers & Canals ..................................
    
      Note The caps show cumulative overall effective daily recovery capacity not incremental
      TBD=To Be  Determined.
                                                                                      iOKbbis'day   20K bbls-.'day
                                                                                      3 OK bols/day !  6.0K bhl&'day
                                                                     : 125K bbteday    25K bOls/day |  50K bbis-day
                                                                     ' 6 35K bbls'day ,  n2.3K bbls/day '  25K bbisiday.
                                                                     :   1 S75K bbis   3.75K bbl&'day :  7.5K bbl&day
                                                                                             TBD
                                                                                             TBD
                                                                                             TBD
    TBD
    TBD
    TBD
     TABLE 6 TO APPENDIX E — REMOVAL CAPACITY PLANNING TABLE FOR ANIMAL FAT
                                                       OILS
                                                                                              AND VEGETABLE
    Spill location _ Rivers and canals
    Susfainabiiity of on-water oil recovery
    Oil group '
    Group A 	 	 ,, 	 	 	 	 > 	 , ,. .
    Group 8 .......,,,,,, 	 ,,,..,,..,..,,,. , ... .,,, ,
    
    1
    Percent nat- :
    ura! loss i
    40
    2
    -------
    Pt,  112,App. E
    40 CFR Ch. I (7-1-04 Edition)
                                          Attachment E-1
                             Worksheet  to Plan Volume of Response Resources
                               for Worst Case Discharge    Petroleum Oils
                                                                Near
                                                                shora/Inia
                                                              I  nd Great
                                                              I  Lakes
                     or R 3.ve r
                     and
                     Canals
                ?ercent  Los ~  to
              Natural  Dissipacion
                Percent
              Oil Onshore
            Step (El)  On-Water  oil  Recovery St. .eg, ._QrS.,l,,.,,,, x 3 t_cp_ J
            Step (F/  Emuisification  Factor
             (Table 3 of  this  appendix;
            Step (G)  On-Water 011  Recovery Rescurce Mcc
             iTable 4 of  this appendix)
                                                           tion Factor
                                                  78
    

    -------
    Environmental Protection Agency
                                         Pt. 112, App, E
                                Attachment S-l  (continued)  --
                       Worksheet  to Plan Voluma of H«jponse Reaourcas
                          for Worst Casa Discharge - Petroleum Oils
      Part  IT  On -Hater Oil Recovery Capacity'  (barrels/day)
                                          Tier 2
        Step itl) x Step (F> x
             Step (CD
    Step CE1> x Step {£; x
         Step £62}
    Step (tH) x Step (F)
         Step  CG3)
       Part  III  Shoreline Cleanup Volume  (barrels)
      Part  IV On-WaterResponse. Capacity By Operating Area
      (Table 5 of this appendix!
      (Amount needed to be contracted  for  in  barrels/day)
                                                                      Step (E2) x Step (f)
              Tier 1
                                            Tier 2
                                                                          Tier ,1
                                                                                     J
               CJ1)                            (J2>                           (JJ)
    
      Part  V On-Water Amount Seeded to be  Identified,  but  not Contracted for in
      Advance ibarrels/day)
    
    
              Tier 1                        Tier 2
                                                                         Tier 3
       Part H Tier 1  - Step CJ1}
                                     Part II "ier 2 -  Step 
     NOTE:  To  convert from barrels/day to gallons/day, multiply the quantities in
     Parts  II through V by 42 gallons/barrel.
                                             79
    

    -------
    Pt.  112, App, E
    40 CFR Ch. i (7-1-04 Edition)
                                      Attacbment  g-1 Bxample - -
                            Worksheet  to  Plan Volume of Response Resources
                              far worst Case Discharge  -  Pet.roleaun Oils
            Step  (3) Oi
                Percent Lost: t.o
              Matura 1 Dissipat; or.
                                J       [
                                           P e r c e: i i  Recovered
                                   -CCVt* rv 3teg :.I ^'....  x ^V..^o.__^j;J,.,       |        ttS, CPU
                                                                    L_
                119,000
                                                          Z3       CZZ
            oil Sr°(4' c'n site
            storage capacity
                                                 80
    

    -------
    •nvironmental Protection Agency
                                                    Pt, 112, App. E
                           Attachment 8-1 Example  (continued}  —
                      Worksheet to Plan Volujsei of  Response Resources
                        for Worst Case Discharge - Petroleum oils
    Part  II Ori_: Wat e rQi 1 Recovery Capacity  (bar re Is/day)
    r:
            r
    Tier 2
    
    29,750
       Step (E') x Step CF) x
            Step SG1)
               Step (ED x Step (F) *
                    Step (02)
                                                                      Tier 3
                                 4?,fiOO
                            Step (F.I) x Step                            
                                    Part I! Tier 2 - Step (JZ)
                                             Part II Tier 3 -  step (JS)
    NOTE:  To convert  from barrels/day to gallons/day, multiply the quantities  In
    Parts II through V by 42  gallons/barrel.
                                            81
    

    -------
    Pt  112, App. E
                                                      40 CFR Ch.  I (7-1-04 Edition)
                                          Attachment E-2 - -
                            Worksh.s«t  to Plan Volume of Response Resources
                       for Worse Caae Discharge  -  Animal Fats and Vegetable Oils
            Step  ;3; Oil Group'  (Table ™ 
    -------
    nvironmental Protection Agency
                                        Pt, 112, App. E
                              Attachment 1-2 (continued)  --
                      Worksheet to Plan Volume of Rasponoa Resources
                 for Worst  Case 2i.scharge - Unimal  Fats  and vegetable Oils
      Parr, II Qn.-Ha.ter oil Recovery Capacity  (barrels/day)
    
    
             Tier  1
                                                            c
                                                                   Tier 3
        Step (El) * Step (F) x
            Step (C1>
    step (61) K Step (f) »
         Step 
    step SE1S « Step
         st»p tels
      Part  III Shoreline  Cleanup Volutne  (barrels!  ,  .  .
      Part  IV Gn-Water  Response Capacity By Operating  Area
      (Table 5 of this  appendix)
      (Amount needed to be contracted  for in barrels/day)
                                                                   Step (E!) x Step (f>
     r
             Tier 1
                                         Tier 2
                                                                      Tier 3
    
                                           (42)
                                                                       (J3)
     Part  V On-Hater Amount Needed to be Identified,  but  not Contractedfor
     in Advance (barrels/day)
                                         Tier  2
       f>irt II T»tr ! - Step (J1>
                                   fart I! Tier 2 • Step 
                                                   	I      5	
                                                                     Tier  3
                                                               P»rt I! Tier J - Step (JJ)
     NOTE:   To convert  from barrels/day  to gallons/day,  multiply the
     quantities in Parts  II through V by 42 gallons/barrel.
                                           83
    

    -------
    Pt. 112, App. E
                                    40 CFR Ch. I (7-1-04 Edition!
                                 Attachment E-2  Example  --
                      Worksheet  to Plan Volume of Response Resources
                for Worst  Case Discharge - Animal  Fats  and  Vegetable Oils
       Part I Background  Information
    
       Step (A)  Calculate  Worst Case Discharge  in barrels
        (Appendix D)   	
    500,
    000
                                                                               CA)
       Step  (B)  Oil Group1  (Table 7 and  section 1.2  of  this
        appendix)  	
       Step  (C)  Operating Area (choose
        one)
       Step  (D)  Percentages  of Oil  (Table 6 of  this appendix)
    X
    
    
    
    Near
    shore/Inl
    and Great
    Lakes
    
    
    
    
    or
    Rivers
    and
    Canals
          Percent  Lost to
              Natural
            Dissipation
                 30
    J
                 (01)
                Percent. Recovered
                  Floating Oil
                                               20
                                              (02)
       Step  (El)  On-Water  Oil  Recovery Step  (D2i  x Step  (A)
    
                                              100
    Percent  Oil
      Onshore
                                                                           50
                                                                           
    -------
     nvironmental Protection Agency
                                        Pt. U2, App. F
                         Attachment E-2 Example  (continued)  - -
                    Worksheet to Pl»n Volume  of  Response Resources
        for Worst Case Discharge - Animal  Fats and  Vegetable  tals  (continued!
     Part  II  On-Water,Oi1 Recovery capacity (barrels/day!
             fier  1
                                         ;o, ooo
                  Zl
        Step (ED » Step (f) x
            Step ;Q1)
    Step (ED K Step CF) x
         Step  (62)
         80,000
    Step  x Step (F)
             Tier 1
                                          Tier  2
                                        Tier 3
    12,
    500
                                          25,000
                                        50,000
                      J
               (J1)
                                            
                                                                         CJ3)
     Part V  On-Hater Amount Needed to be  Identified,  but not  Contracted for
     in Advance (barrels/clay)
             Tier  1
                                          Tier 2
                                       Tier 3
    25,
    000
                                                                       30,000
       Part II Tier 1 - Step 
                                                                 Part II Tier 3 - Step 
    -------
    Pt,  112, App. F
               40 CFR Ch. I (7-1-04 Edition)
    1.7  Plan lmplemt::i!>! ior.
      1.7.1  Response Resources  t'oi  fcimali.  Me-
        dium, and Worst Case Spills
      1.7.2  Disposal Flan,-;
      1.7.3  Containment  and Draintufe Plannint;
    1.8  Sell-Inspection. Drills Exercises, and Re-
    sponse Training
      1.8.1  Facility Self-Inspection
      1.8.1.1  Tank Inspection
      1.8.1.2  Response Equipment Inspection
      1.8.1.3  Secondary Containment Inspection
      1.8.2  Facility Drills-Exercises
      1.8.2.1  Qualified  Individual  Notification
        Drill Logs
      1.8.2.2  Spill Management  Team Tabletop
        Exercise Logs
      1.8.3  Response Training
      1.8.3.1  Personnel Response Training Los's
      1.8.3.2  Discharge Prevention Meeting Log's
    1.9  Diagrams
    1.10  Security
    2.0  Response Plan  Cover Sheet
    3.0  Acronyms
    4.0  References
    
       1.0 Model Facility-Specific Response Plan
    
      (A) Owners or operators  of facilities regu-
    lated under this part which pose a threat of
    substantial harm to the environment by dis-
    charging oil  into or  on navigable waters  or
    adjoining  shorelines are required to prepare
    and submit facility-specific response plans to
    EPA  :;i accordance with  the  provisions in
    this appendix.  This appendix further de-
    scribes the required elements in §112.20(hi.
      (R) Response plans must be sent to the ap-
    propriate  EPA Regional office. Figure F-l oi
    this Appendix lists each EPA Regional office
    and the address where owners or  operators
    must  submit their response plans.  Those fa-
    cilities  deemed by  the  Regional  Adminis-
    trator iRA) to pose a threat of significant
    and substantial harm to the environment
    will have  their plans reviewed and approved
    by  EPA.  In  certain  cases, information re-
    quired in  the model response plan is similar
    to information currently maintained in the
    facility's   Spill Prevention.   Control,  and
    Counter-measures (SPCC) Plan as i-equired by
    10 CFR 112.3. In these cases, owners or opera-
    tors may  reproduce  the information and in-
    clude  a photocopy  in the response plan.
      (C)  A complex  may develop  a  single re-
    sponse plan with  a set of core elements for
    all regulating agencies and separate sections
    for  the non-transportation-related and trans-
    portation-related  components, as  described
    in §112.2Q(h). Owners or operators of large fa-
    cilities that handle, store,  or transport oil at
    more  than one geographically distinct loca-
    tion (e.g., oil storage areas at opposite  ends
    of a single,  continuous  parcel  of  property)
    shall, as  appropriate,  develop separate  sec-
    tions  of the  response plan for each storage
    area.
                                               86
    

    -------
    Environmental Protection Agency
                             Pt.  112, App. F
         1.1
      Several sections of the response plan shall
    be co-located for easy access by response per-
    sonnel during an actual emergency or oil dis-
    charge. This collection of sections shall  be
    called the Emergency Response Action Plan.
    The  Agency intends that the Action Plan
    contain only as much information as is nec-
    essary to  combat the discharge  and be ar-
    ranged so  response actions are not delayed.
    The Action Plan may be arranged in a num-
    ber of ways. For example, the sections of the
    Emergency Response Action  Plan may be
    photocopies or condensed versions  of  the
                                             87
          203-159  D-4
    

    -------
    Pt. 112, App. F
               40 CFR Ch. I <7-l-04 Edffion)
    forms included in the  associated sections of
    the response plan. Each Emergency Response
    Action Plan section may he tabbed for quick
    reference. The Action  Plan shall  be  main-
    tained in the  front of the same binder that
    contains the  complete response plan or it
    shall  be contained in  a separate  binder. In
    the latter case, both binders shall be kept to-
    gether  so that   the  entire  plan can  be
    accessed by the qualified individual and ap-
    propriate  spill  response  personnel.   The
    Emergency Response  Action  Plan shall be
    made up of the following sections;
    1.  Qualified Individual Information (Section
      1.2) partial
    2.  Emergency Notification Phone  List (Sec-
      tion 1.3.1) partial
    3.  Spill  Response Notification Form (Section
      1.3.1) partial
    4,  Response  Equipment List and Location
      (Section 1.3.2) complete
    5.  Response Equipment Testing and Deploy-
      ment  (Section 1.3.3) complete
    6,  Facility  Response  Team  (Section  1.3.4)
      partial
    7,  Evacuation Plan (Section 1.3.5)  condensed
    8,  Immediate  Actions (Section 1.7.1) com-
      plete
    9.  Facility Diagram (Section 1.9) complete
    
              1.2   Facility Information
    
      The facility  information  form is designed
    to provide an overview of the site and a de-
    scription of past activities at  the facility.
    Much of the  information required by  this
    section may  be obtained from the facility's
    existing SPCC Plan.
      1.2.1  Facility name and location: Enter fa-
    cility name and street address. Enter the ad-
    dress of corporate headquarters only if cor-
    porate  headquarters are physically located
    at the  facility. Include city, county, state,
    sip code, and phone number.
      1.2.2  Latitude  and  Longitude:  Enter  the
    latitude and  longitude  of  the  facility. In-
    clude degrees, minutes, and seconds of the
    main entrance of the facility.
      1.2.3  Wellhead  Protection  Area: Indicate if
    the facility is located in  or drains into a
    wellhead protection area as defined by the
    Safe  Drinking Water  Act of 1986 .'
    The response plan requirements in the Well-
    head Protection Program are outlined by the
      1A wellhead protection area is defined as
    the surface and subsurface area surrounding
    a water well or wellfield, supplying a public
    water  system, through which contaminants
    are reasonably likely to move  toward and
    reach  such water well or wellfield. For fur-
    ther information regarding State and terri-
    tory protection programs, facility owners or
    operators may contact the SDWA Hotline at
    1-800-426-4791.
    State or Territory in which the facility  re-
    sides.
      1.2.4  Owner.'OpKTUtor:  Write the  name of
    the company or person operating the facility
    and the name of the person or company that
    owns  the facility,  if the two are  different.
    List the  address of the owner, if the two are
    different.
      1.2.5  Qualified Individual: Write the name
    of the  qualified individual for the entire fa-
    cility.  If more than one person is listed, each
    individual  indicated in  this section  shall
    have full authority to implement the facility
    response  plan.  For  each  individual, list:
    name,  position, home  and work  addresses
    (street addresses, not P.O. boxes), emergency
    phone number,  and specific response training
    experience.
      1.2,6  Date of Oil Storage Start-up: Enter the
    year which the present facility  first, started
    storing' oil,
      1.2.7  Current  Operation:  Briefly describe
    the facility's  operations and  include  the
    North  American   Industrial  Classification
    System (NAICS) code.
      1,2.8  Dates and  Type  of Substantial Expan-
    sion: Include  information on expansions that
    have occurred  at  the  facility.  Examples of
    such expansions include, but are not limited
    to: Throughput  expansion, addition  of a
    product  line, change of a product line, and
    installation of additional oil storage  capac-
    ity. The  data provided shall include all facil-
    ity historical information and detail the ex-
    pansion  of the facility.  An example of sub-
    stantial  expansion is any material alteration
    of the  facility which causes the  owner or op-
    erator of the facility to re-evaluate and in-
    crease the response equipment  necessary to
    adequately respond to a worst case discharge
    from the facility.
    Date of Last Update:
    
            FACILITY INFORMATION FORM
    
    Facility  Name:
      Location (Street Address):
      City:      State: _ 	Zip: _" '_	
      County:       Phone Number: (    )
      Latitude:     _    Degrees	  Minutes
              Seconds
      Longitude:        Degrees        Minutes
              Seconds
    Wellhead Protection Area:               _	
    Owner:
      Owner Location (Street Address):
    
         (if  different from Facility Address)
      City:      State:      Zip:	
      County:       Phone Number: (    )
    Operator (if not Owner):          _  		
    Qualified Individual(s):  (attach  additional
    sheets if more than one)
      Name:
      Position:
      Work Address:
      Home Address:		
      Emergency Phone Number: (      )
    

    -------
    Environmental Protection Agency
                               Pt. 112, App. F
    Date of Oil Storage Start-up:
    Current Operations;
    Date(s) and  Typets)  of Substantial  Expan-
      sion(s):
    
    (Attach additional sheets if necessary)
    
         /,,?  Emergency Response Information
      (A) The information  provided in this  sec-
    tion shall describe what will be needed in aa
    actual emergency involving the discharge  of
    oil or a combination of hazardous substances
    and  oil discharge. The  Emergency Response
    Information section of the  plan must  include
    the following components:
      (1) The information provided in  the Emer-
    gency  Notification  Phone List in  section
    1.3,1 identifies and prioritizes the names and
    phone  numbers of the organizations and  per-
    sonnel that  need to be  notified immediately
    in the event of an  emergency. This  section
    shall include all the appropriate phone num-
    bers for the facility. These numbers must be
    verified each time  the  plan is updated.  The
    contact list  must be accessible to all  facility
    employees to ensure  that, in case of a  dis-
    charge, any  employee  on  site could  imme-
    diately notify the appropriate parties.
      (2) The  Spill Response Notification Form
    in section 1.3.1 creates a checklist, of infor-
    mation that, shall  be  provided to  the  Na-
    tional Response Center (NRC) and other re-
    sponse  personnel. All  information on  this
    checklist must be known at the time  of noti-
    fication, or  be in the process of  being'  col-
    lected. This notification form is based on a
    .similar form used by the NRC. Note: Do not
    delay spill notification to  collect the infor-
    mation on the list,
      (3) Section 1,3,2 provides a description  of
    the  facility's  list  of  emergency response
    equipment  and  location  of  the  response
    equipment. When appropriate, the  amount,  of
    oil that emergency response  equipment  can
    handle and  any limitations (e.g..  launching
    sites) must be described.
      (4) Section  1.3.3 provides Information re-
    garding response equipment  tests and de-
    ployment  drills. Response equipment  deploy-
    ment exercises shall be conducted to ensure
    that response equipment is operational  and
    the personnel who would operate  the equip-
    ment in a spill response are  capable of de-
    ploying and operating it. Only a representa-
    tive  sample  of each type of response equip-
    ment needs  to be deployed and operated, as
    long  as  the  remainder is properly  main-
    tained.  If appropriate,  testing of response
    equipment may  be conducted while il  is
    being deployed. Facilities  without facility-
    owned response equipment must ensure that
    the  oil spiil removal  organization  that  is
    identified in the response plan to  provide
    this  response equipment certifies that  the
    deployment  exercises have been met. Refer
    to the National  Preparedness for Response
    Exercise  Program (PREP) Guidelines  (see
    Appendix E to this part, section 13. for avail-
    ability),   which satisfy Oil  Pollution  Act
    (OPA) response exercise requirements.
      io) Section 1.3.4 lists the facility response
    personnel, including those employed by the
    facility and those under contract to the fa-
    olit.y for response activities,  the  amount  of
    time needed  for personnel to respond,  their
    responsibility in the case  of  an emergency,
    and their level of response training, Three
    different forms are included in this section.
    The  Emergency   Response Personnel  List
    shall be composed of all personnel employed
    by the facility  whose duties involve respond-
    ing to emergencies, including oil discharges.
    even when they are not physically present at
    the. site. An  example of this  type of person
    wuuld be the Building  Engineer-in-Charge or
    Plant Fire Chief. The second form is a list of
    th« Emergency Response Contractors (both
    primary  and secondary) retained  by the fa-
    cility. Any  changes  in  contractor status
    must  he reflected  in updates to the response
    plan.  Evidence  of contracts  with response
    contractors shall be  included  in this section
    so that the availability of resources can be
    verified.  The last form is the  Facility Re-
    sponse Team List, which shall be composed
    o! both emergency response  personnel (ref-
    erenced by job  title'position) and emergency
    response contractors, included in  one of the
    t\\-.i lists  described above,  that will respond
    immediately upon discovery  of an oil  dis-
    charge or other   emergency  (i.e..  the  fiist
    people to respond). These  are to be persons
    normally  on the facility premises or primary
    response contractors. Examples of these per-
    sonnel would be the  Facility  Hazardous Ma-
    terials (HAZMATi Spill  Team 1,  Facility
    Fire Engine  Company 1, Production Super-
    visor, or Transfer Supervisor. Company per-
    sonnel must be able  to respond immediately
    ami adequately if contractor  support is not
    available.
      'tit Section  1.3.5  lists factors that must, as
    appropriate, be considered when preparing an
    evacuation plan.
      |?) Section  1.3,6  references the responsibil-
    ities of the qualified individual for the facil-
    ity in the event of an emergency
      i'Bi The information  provided in the emer-
    gency response section will aid in the assess-
    ment  of the facility's ability to respond to a
    worst case discharge and  will identify addi-
    tional assistance  that may be needed. In ad-
    dition. the facility owner or operator may
    want  to  produce a  wallet-size  card  con-
    taining  a  checklist  of the  immediate re-
    sponse and notification steps  to be taken in
    the- event  of an  oil discharge.
    
                 /  3.1 .Votificution
    
    Da< ft of Last, Update
                                              89
    

    -------
    Pt.  112, App, F
                40 CFR Ch. I (7-1-04 Edition)
     EMERGENCY NOTIFICATION PHONE LIST WHOM
                     To NOTIFY
    Reporter's Name:
    Date:   __  _	
    Facility Name:
    Owner Name:
    Facility Identification Number:
    Date and Time of Each NRG Notification:
                                    Phone No.
             Organization               Phone No.
    
    1. National Response Certer (NRG):  1-80CMI24-8802
    
    2. Qualified Individual:
    
       Evening Phone:
    
    3. Company Response Team:
    
       Evening Phone;
    4.  Federal  On-Scene Coordinator
      (QSC) and/or Regional Response
      Center (RRCj:
    
    
       Evening Phone(s)
    
    
       Pager Number(s):
    
    
    5.  Local  Response Team  (Fire
      Dept.Cooperatives):
    
    
    6. Fire Marshall:
    
    
       Evening Phone:
    
    7.. State Emergency Response Com-
      mission (SERC).
    
       Evening Phone;
    
    
    8. State Police:
    
    
    9- Local Emergency Planning Com-
      mittee (LEPC):
    
    10. Local Water Supply System.
    
    
       Evening Phone:
    
    
    11. Weather Report:
    12,  Local  Television/Radio Station
      for Evacuation Notification-
         SPILL RKSPONBH NOTIFICATION FORM
    Reporter's Last Name:
    First:
    M.I.:    .     .'   .'.    	'   '	  "\.  '..'	 '"
    Position:
    Phone Numbers:
      Day (    )
      Evening (    )
    Company:
    Organization Type:
    Address:   	_   __	_
    
    City:                	_   __  _		
    State:      ..        	_
    Zip:   	_
    Were Materials Discharged?       (Y.N) Con-
      fidential?       (Y.'N)
    Meeting  Federal  Obligations   to  Report?
            (Y.N) Date Called:
    Calling for Responsible Party?        (Y/N)
      Time Called:
    
                 Incident Description
    Source and/or Cause  of Incident:
    Date of Incident:
    Time of Incident:       AM'PM
    Incident Address'Loeation:
    
    Nearest City:
      State:
      County:         Zip:
    Distance from City:        Units of Measure:
            Direction from City:
    Section:          Township:          Range:
              Borough:
    Container  Type:       Tank Oil Storage Ca-
      pacity:         Units of Measure:
    Facility Oil  Storage Capacity:    _    Units
      of Measure:
    Facility Latitude:       Degrees       Min-
      utes       Seconds
    Facility Longitude:       Degrees   	Min-
      utes       Seconds
                                                 90
    

    -------
    Environmental Protection Agency
                                                                           Pt. 112, App. F
       CHRIS Code
                    Discharged quan-
                         tity
                                   Unit of measure
     Material Dis-
    charged in water
                                                                   Quantity
                                                                               Unit of measure
                  Response Action
    
    Actions Taken to Correct. Control or Miti-
      gate Incident:
                      Impact
    Number of Injuries:       Number of Deaths:
    
    Were there  Evacuations'?       (Y-:N) Num-
      ber Evacuated:
    Was there any Damag'e?       (Y/N)
    Damage in Dollars (approximate):
    Medium Affected:
    Description:
    More Information about Medium:
               Additional Information
    Any information about the incident not re-
      corded elsewhere in the report:
                                                              Caller Notifications
    
                                                 EH A?        USCG?       (Y-N) State?
                                                         (Y/N)
                                                 Other?       iY-N> Describe:
    
                                                         1.3.2  Response Equipment List
    
                                                   Date of Last Update:
    
                                                      FACILITY RESPONSE EQUIPMENT LIST
    
                                                 1. Skimmers/Pumps—Operational Status:
                                                   Type, Model, and Year:
    
                                                     Type   ' Model    Year
                                                   Number:
                                                   Capacity:        gal, min.
                                                   Daily Effective Recovery Rate:
                                                   Storage Location(s):
                                                   Date Fuel Last Changed:
                                                 2. Boom—Operational Status:
                                                   Type. Model, and Year:
                                                     Type    Model    Year
                                                   Number:
                                                   Size (.length':        ft.
                                                   Containment  Area:        scj, ft.
                                                   Storag-e Location:
                                                   3, Chemicals  Stored (Dispersants listed on
                                                 EPA's NCP Product Schedule)
                          Type
                                                      Amount
                                                                 Date   :  Treatment j   Storage
                                                               purchased j   capacity  ^   location
      Were  appropriate  procedures used to  re-
    ceiye approval for use of dispersants in  ac-
    cordanoe with the NCP {40 CFR 300.910) and
    the Area Contingency Plan !ACP). where  ap-
    plieaMe?      (Y/N).
                                                   Name and State of On-Scene  Coordinator
                                                 (OSC) authorizing- use:
                                                   Date Authorized:
                                                   4. Dispersant Dispensing- Equipment  Oper-
                                                 ational Status:
                           Type and year
                  =*>«'*  :  SS
                                                                                   Response
                                                                                     time
                                                                                   (minutes)
                                              91
    

    -------
    Pt.  112, App. F
                            Type and year
                                          40 CFR Ch. I  (7-1-04 Edition)
    
                                           •  <*•***  I   PS
    5. Sorbents—Operational Status:
      Type and Year Purchased;
      Amount:  		__
      Absorption Capacity (gal.):
      Storage Location(s):
    6. Hand Tools—Operational Status:
      Type and year
    Quantity
       Storage
       location
      7. Communication Equipment (include op-
    erating frequency  and channel  and/or  cel-
    lular  phone  numbers)—Operational Status:
      Type and year
    Quantity
    Storage location/
       number
      8. Fire Fighting and Personnel Protective
    Equipment—Operational Status:
                                Type and year
      9, Other (e.g., Heavy Equipment, Boats and
    Motors)—Operational Status:	
                                                   Type and year
                                                 Quantity
                                                    Storage
                                                    location
     1.3,3  Response Equipment Testing/Deployment
    
      Date of Last Update:
    
          Response Equipment Testing and
               Deployment Drill Log
    
    Last Inspection or Response Equipment Test
      Date:   _     	   ,	  	     	
    Inspection Frequency:   				
    Last Deployment Drill Date:      	    	
    Deployment Frequency:   				
    Oil Spill Removal Organization Certification
      (if applicable):    	   	    	   	
    
                  1,3.4 Personnel
    
      Date of Last Update:
                                              92
    

    -------
    Environmental Protection Agency
                                          Pt.  112, App, F
                                   EMERGENCY RESPONSE PERSONNEL
                                             Company Personnel
          Name
                          Phone"
                                        Response lime
                                                                         '
                                                                                          "* type/date
    9
    
    10.
    
    11.
    12.
      1 Phone number 1o be used when person is not on-site.
                                  EMERGENCY RESPONSE CONTRACTORS
                                         Dale of Last Update.
         Contractor
                              Phone
                                              Response tirne
                               Contract responsibility'
      " Indude evidence of contracts/agreements with response contractors to ensure the availability of personnel and response
    equipment.
    
                                        FACILITY RESPONSE TEAM
                                         Date of Last Update:
               Team member
    Response time (minutes)       ! Pnone or pager number (day/evening)
    Qualified Individual:
                                                   93
    

    -------
    Pt.  112, App. F
                       40 CFR Ch.  I (7-1-04 Edition)
                                FACILITY RESPONSE TEAM—Continued
                                       Date of last Update:	
               Team member
    Response time (minutes)      i  Phone or pager number (day/evening)
      Note: If the facility uses contracted help in an emergency response situation, the owner of operator must provide the contrac-
    tors' names and review the contractors' capacities to provide adequate personnel and response equipment.
               1.3.5  Evacuation Plans
    
      1.3,5.1  Based oil the analysis of the facil-
    ity, as discussed elsewhere in the plan, a fa-
    cility-wide  evacuation plan shall  be devel-
    oped. In addition, plans to evacuate parts of
    the facility that are at a hig-h risk of expo-
    sure in the  event of a discharge or other re-
    lease must  be developed. Evacuation routes
    must be shown on a diagram of the  facility
    (see section 1.9 of this  appendix).  When de-
    veloping  evacuation  plans,  consideration
    must be given to the following factors, as ap-
    propriate:
      (1) Location of stored materials;
      (2) Hazard imposed by discharged material:
      (3) Discharge flow direction:
      (4) Prevailing wind direction and speed:
      (5)  Water currents, tides, or wave condi-
    tions (if applicable):
      (6)  Arrival  route  of  emergency response
    personnel and response equipment:
      (7) Evacuation rentes:
      (8) Alternative routes of evacuation;
      (9)  Transportation of injured personnel to
    nearest emergency medical facility;
      (10)  Location of  alarm-notification  sys-
    tems;
      (11) The  need for a  centralized check-in
    area for evacuation validation (roll call):
              (12)  Selection  of a  mitigation command
            center; and
              (13) Location of shelter at the  facility as
            an alternative to evacuation.
              1.3.5.2  One resource that may  tie helpful
            to owners or operators in preparing  this sec-
            tion of the response plan is The Handbook of
            Chemical Hazard Analysis Procedures by  the
            B'ederal  Emergency  Management   Agency
            (FEMA).   Department   of  Transportation
            (DOT), and EPA, The  Handbook  of  Chemical
            Hazard Analysis Procedures  is available  from:
            FEMA . Publication  Office,  500  C. Street,
            S.W.. Washing-ton. DC 20472. (202) 646-3484.
              1.3.5.3  As  specified  in  §112.20(h)(I)(vi),  the
            facility owner or operator must reference ex-
            isting community evacuation  plans, as  ap-
            propriate.
    
                  1.3.6   Qualified Individual's Duties
    
              The duties of the designated qualified indi-
            vidual are specified in §112.20(hK3)(ix}, The
            qualified  individual's  duties  must be  de-
            scribed and be consistent with the minimum
            requirements in §112.20(h)(3)(ix). In addition,
            the  qualified individual must be identified
            with the Facility Information in  section 1.2
            of the response plan.
                                                94
    

    -------
    Environmental Protection Agency
                               Pt. 112, App. F
               1.4  Hazard A[<<•<(«.• twn
    
      This section requires the  facility owner or
    operator to examine the facility's operations
    closely and t.o predict where discharges could.
    occur. Hazaid evaluation ia  a widely used in-
    dustry practice that allows facility  owners
    or operators to develop a  complete  under-
    standing  of potential  hazards  and  the  re-
    sponse actions  necessary  to address these
    hazards.  The  Handbook of  Chemical  Hazard
    Analysis  Procedures, prepared by the EPA.
    DOT, and the PEMA and the Hazardous Mate-
    rials Emergency Planning Guide (NRT--t>,  pre-
    pared  by the National Response Team are
    good references for conducting a hazard anal-
    ysis.  Hazard identification  and  evaluation
    will  assist  facility  owners  or operators in
    planning'  for potential discharges, thereby
    reducing  the severity of discharge impacts
    that may occur in the future. The evaluation
    also may help the operator  identify and  cor-
    rect  potential sources of discharges. In addi-
    tion,  special hazards to workers  and emer-
    gency response personnel's health and safety
    shall  be  evaluated, as well  as the facility's
    oil spill history.
    
             1.1.1  Hazard  Identification
    
      The  Tank and Surface  Impoundment  (SI)
    forms, or their  equivalent,  that  are  part of
    this section must  be completed according to
    the  directions  below.  ("Surface Impound-
    ment" means a facility or part of a facility
    which is  a natural  topographic  depression,
    man-made excavation, or diked area formed
    primarily of earthen materials (although it
    may  be  lined  with  man-made  materials).
    which is  designed to hold an accumulation of
    liquid wastes or wastes containing- free liq-
    uids, and which is not, an injection well  or a
    seepage  facility.)  Similar  worksheets,  or
    their equivalent, must  be developed for  any
    other type of storage containers.
      (1) "List each tank  at. the facility  with a
    separate  and distinct identifier. Begin above-
    ground tank identifiers with an "A" and be-
    lowgrouud tank  identifiers with a  "B". or
    submit multiple sheets with the aboveground
    tanks  and  belowground tanks  on separate
    sheets.
      (2) Use gallons for the maximum capacity
    of a tank; and use square feet for the area,
      (3) Using the appropriate identifiers  and
    the following' instructions, fill in  the  appro-
    priate forms:
      (a)  Tank  or SI  number--Using1  the afore-
    mentioned identifiers  (A  or B) or multiple
    reporting sheets, identify each tank or SI at
    the facility that stores oil or hazardous,  ma-
    terials.
      d>  Tank Type 01  Surface  Area-Year---for
    each  tank,  import the  type  of  tank  (e.g-..
    floating' topi, and the  year  the  tank  was
    originally installed.  If the tank has been re-
    fabricated, the year that the latest refabrica-
    tion was completed  must be  recorded in  pa-
    rentheses next  to the  year  installed.  For
    each  SI. record  the  surface area of the im-
    poundment and the year it went into service
      
    -------
    Pt.  112, App. F
               40 CFR Ch. I  (7-1-04 Edition)
                                   HAZARD IDENTIFICATION TANKS'
                                      Date of Last Update:
        Tank No.
                    Substance Stored
                                                                                   Callure/Cause
      1 tank = any container that stores oil.
      Attach as many sheets as necessary.
                        HAZARD IDENTIFICATION SURFACE IMPOUNDMENTS (Sis)
                                       Date of Last Update'
         SI No.
                    Substance Stored
                                    Qu"*tored
      Attach as many sheets as necessary.
             1.4,2  Vulnerability Analysis
    
      The vulnerability analysis  shall  address
    the potential effects (i.e.. to human health.
    property, or the environment) of an oil dis-
    charge. Attachment C-III to Appendix C  to
    this part provides a method that owners  or
    operators shall use to determine appropriate
    distances from the facility to  fish and wild-
    life and sensitive environments. Owners  or
    operators can use a comparable formula that
    is considered acceptable by the RA. If a com-
    parable formula is used, documentation  of
    the reliability and analytical soundness  of
    the formula must  be attached  to the  re-
    sponse plan cover sheet. This analysis must
    be prepared for each  facility  and,  as  appro-
    priate, must discuss the vulnerability of:
      (1)  Water  intakes  (drinking, cooling,  or
    other);
      (2) Schools:
      (3) Medical facilities:
      (4) Residential areas;
      (5s Businesses;
                                                96
    

    -------
    Environmental Protection Agency
                                                                          Pt. 112, App. F
      (6)  Wetlands  or  other sensitive  environ-
    ments: -'
      t'7) Pish and wildlife:
      ;8) Lakes and streams:
      (9) Endangered flora and fauna;
      (10) Recreational areas;
      (11) Transportation  routes  (air. land, and
    water i;
      (12) Utilities: and
      (13) Other areas  of economic importance
    (e.g.. beaches, marinas i including terrestri-
    ally  sensitive environments,  aquatic envi-
    ronments, and unique habitats.
    
       1.4.:-.
      Each  owner or operator Khali  analyze the
    probability  of a  discharge  occurring at the
    facility. This analysis shall incorporate fac-
    tors such as oil discharge history, horizontal
    range of a potential discharge,  and vulner-
    ability  to natural disaster, and shall, as ap-
    propriate. incorporate other factors such as
    tank age. This analysis will provide informa-
    tion for developing discharge scenarios  for a
    worst case discharge and small and medium
    discharges and  aid in the  development  of
    techniques to reduce the size and  frequency
    of discharges. The  owner or operator  may
    need to research  the age of the tanks the oil
    discharge history at the facility.
    1.4.4
                    Kuportabl? Oil Spill
      Briefly  describe  the facility's reportable
    oil spill" history for the entire life of the fa-
    cility to the extent that such information is
    reasonably identifiable, including:
      (1) Date of discharges):
      (2) List of discharge causes;
      (3) Materiai(s) discharged:
      (4) Amount, discharged in gallons;
      (5) Amount of discharge that reached navi-
    gable waters, if applicable:
      (6) Effectiveness and rapacity of secondary
    containment:
      (7) Clean-up actions taken;
      (81 Steps taken to reduce possibility of re-
    currence:
      (9) Total oil storage capacity oi the tanklss
    or impoundments s) from which the  material
    discharged:
      (10) Enforcement  actions:
    
      -Refer to the DOONOAA "Guidance for Fa-
    cility and  Vessel Response Plans: Fish and
    Wildlife  and Sensitive Environments"  (See
    appendix E to this part, section 13. for avail-
    ability).
      •!As described in  40  CPR  part 110. report-
    able oil spills are those  that: sa> violate ap-
    plicable water quality standards, or  tbi cause
    a. film or sheen upon or discoloration of the
    surface of  the  water or adjoining shorelines
    or cause a sludge or emulsion to  be deposited
    beneath the surface of the water or  upon ad-
    joining shorelines.
                                                 ill;  Effectiveness  of  monitorin«  equip-
                                               ment: and
                                                 112) Descriptions)  of  how each  oil  dis-
                                               charge was detected.
                                               The  information  solicited  in  this  section
                                               may be similar to requirements in 40 CFR
                                               112,4(a). Any duplicate information  required
                                               by §112.4(a) may be photocopied and inserted.
    
                                                         L.'t  I.)i!«:hurgv Scenario*
    
                                                 In this section, the owner or operator is re-
                                               quired to provide a description  of the facili-
                                               ty's worst case discharge, as well as a small
                                               and  medium  discharge, as  appropriate,  A
                                               multi-level planning approach has been cho-
                                               sen because  the response actions to  a  dis-
                                               charge (i.e.,  necessary response equipment.
                                               products, and  personnel) are dependent on
                                               the magnitude of the discharge.  Planning- for
                                               lesser discharge  is necessary  because  the
                                               nature of the response may be qualitatively
                                               different depending' on  the  quantity of the
                                               discharge.  The  facility  owner  or   operator
                                               shall discuss the potential  direction of the
                                               discharge pathway.
      1.5.1.1  To address multi-level planning re-
    quirements, the owner or operator must con-
    sider types of facility-specific discharge sce-
    narios that may contribute to a small or me-
    dium discharge- The scenarios shall account
    for all the operations that take place at the
    facility. Including but not limited to:
      •, 1) Loading and unloading of surface trans-
    portation;
      (2) Facility maintenance:
      (31 Facility piping:
      (1) Pumping stations and sumps:
      '5) Oil storage tanks:
      (6) Vehicle refueling: and
      i7i Age and  condition of facility  and com-
    ponents.
      1.5.1.2  The  scenarios  shall  also  consider
    factors that  afi'erf the response efforts re-
    quired by the  facility  These include but are
    not limited to:
      (I) Size oi" the discharge:
      (2) Proximity to downgradient wells, wa-
    terways,  and drinking water intakes:
      <,3) Proximity  to fish and wildlife and sen-
    sitive environments:
      (4) Likelihood that the discharge  will trav-
    el offsite u'.r..  topography, drainage);
      (5s Location  of the  material discharged
    (i e.,  on  a concrete  pad or directly on the
    soil);
      16) Material  discharged:
      (7) Weather or aquatic  conditions   (i.e..
    river flow):
      ;8i Available remediation equipment;
      (9) Probability of a chain reaction of fail-
    ures; and
      (10) Direction of discharge pathway.
                                               97
    

    -------
    Pt.  112, App. F
               40 CFR Ch. I (7-1-04 Edition)
             1.5.2  Worst Case Discharge
    
      1,5,2.1  In this section, the owner or oper-
    ator must  identify the worst case discharge
    volume at  the facility. Worksheets for pro-
    duction and non-production, facility owners
    or operators to use when  calculating worst
    case discharge are presented in Appendix D
    to this part. When planning1 for the worst
    case discharge response, all of the aforemen-
    tioned factors listed in the small  and me-
    dium discharge section of the response  plan
    shall be addressed.
      1.5.2.2  For onshore  storage facilities and
    production      facilities.     permanently
    manifolded oil storage tanks are defined  as
    tanks that are designed, installed, and/or op-
    erated in such a manner  that the  multiple
    tanks function as one storage unit (i.e.. mul-
    tiple tank  volumes are equalized).  In  this
    section of the response plan, owners or oper-
    ators must provide evidence that oil storage
    tanks with common piping or piping systems
    are not operated as one unit. If such evidence
    is provided and is acceptable to the RA. the
    worst case  discharge volume shall be based
    on the  combined oil storage capacity of all
    manifold tanks or the  oil storage capacity of
    the largest single oil storage tank within the
    secondary  containment area,  whichever  is
    greater. For  permanently  manifolded  oil
    storage tanks that function as one storage
    unit, the worst case discharge shall "be based
    on the  combined oil storage capacity of all
    manifolded tanks or the oil storage  capacity
    of the largest single tank  within a secondary
    containment area,  whichever is greater. For
    purposes of the worst case discharge calcula-
    tion, permanently  manifolded  oil  storage
    tanks  that are separated by internal divi-
    sions for each tank are considered to be sin-
    gle  tanks  and  individual  manifolded tank
    volumes are not combined,
    
           1.6  Discharge Detection Systems
      In this section, the facility owner or oper-
    ator shall  provide a detailed description  of
    the procedures and equipment used to detect
    discharges.  A section on discharge detection
    by personnel  and a discussion  of automated
    discharge  detection,  if applicable,  shall  be
    included for  both regular operations and
    after hours operations. In addition, the facil-
    ity owner  or operator shall discuss how the
    reliability  of any automated system will  be
    checked and how frequently the  system will
    be inspected,
    
        1.6.1. Discharge Detection by Personnel
      In this section, facility owners  or opera-
    tors shall  describe the procedures  and per-
    sonnel that will detect any discharge of oil
    or release  of a hazardous substance. A thor-
    ough discussion of facility inspections must
    be included. In addition, a description of ini-
    tial  response actions shall be addressed. This
    section shall reference section 1,3.1 of the re-
    sponse plan for emergency response informa-
    tion.
    
         1.6-2  Automated Discharge Detection
    
      In this section, facility owners or opera-
    tors must describe any automated discharge
    detection equipment that the facility has in
    place. This section shall  include a discussion
    of overfill alarms, secondary containment
    sensors, etc. A discussion of the plans to
    verify  an  automated  alarm and  the actions
    to be taken  once verified must  also be in-
    cluded.
    
              1.7  Plan Implementation
    
      In this section, facility owners or opera-
    tors must  explain in  detail how to imple-
    ment the facility's emergency response  plan
    by describing response actions to be carried
    out under  the  plan to ensure the safety of
    the facility and to mitigate or prevent dis-
    charges described in section 1.5  of the re-
    sponse plan,  This section shall  include the
    identification  of  response  resources  for
    small, medium, and  worst case  discharges;
    disposal plans; and containment and drain-
    age planning. A list of those personnel  who
    would  be  involved in the cleanup shall be
    identified.  Procedures that the facility  will
    use. where appropriate or necessary, to up-
    date their  plan after an oil discharge event
    and the time frame to update the plan must
    be described.
    
     1.7.1  Response Resources for Small. Medium,
             and Worst Case Discharage.i
    
      1.7.1.1  Once  the discharge scenarios have
    been identified in section 1.5 of the response
    plan, the  facility owner  or  operator  shall
    identify and  describe implementation of the
    response actions. The facility owner or oper-
    ator shall  demonstrate  accessibility to the
    proper response personnel and equipment to
    effectively respond to all of the identified
    discharge  scenarios. The determination and
    demonstration of adequate response  capa-
    bility  are  presented in  Appendix E to  this
    part. In addition, steps to expedite the clean-
    up of oil discharges must be discussed. At a
    minimum,  the following items must be ad-
    dressed:
      (1) Emergency plans for spill response;
      (2) Additional response training;
      (3) Additional contracted help;
      (4)  Access  to  additional response equip-
    ment experts; and
      (5) Ability to implement the plan including
    response training and practice drills.
      1.7.1.2A  recommended  form  detailing im-
    mediate actions follows.
                                               98
    

    -------
    Environmental Protection Agency
    
       OIL SPILL RESPONSE—IMMEDIATE ACTIONS
                                                               Pt, 112, App. F
    1. Stop the product flow
    2. Warn personnel
    3, Shut off ignition
      sources,
    4. Initiate containment ...
            Act quickly to secure
              pumps, close valves,
              etc.
            Enforce safety and secu-
              rity measures.
            Motors, electrical circuits,
              open flames, etc.
            Around the tank and/or in
              the water with oil
              boom.
            1-800-424-8802
    5. Notify NRC 	
    6. Notify OSC
    7. Notify, as appropriate  :
     Source; FOSS,  Oil Spill Response—Emergency Proce-
    dures. Revised December 3, 1992.
    
                1.7.2  Disposal Plans
    
      1.7.2.1  Facility owners or operators must
    describe  how and where the facility intends
    to recover, reuse, decontaminate, or dispose
    of materials  after  a discharge  has taken
    place.  The appropriate permits required  to
    transport or dispose of recovered materials
    according to  local. State, and Federal re-
    quirements  must  be addressed.  Materials
    that must be accounted  for in the disposal
    plan, as appropriate, include:
      (1) Recovered product:
      (2) Contaminated soil:
      (3)  Contaminated  equipment  and mate-
    rials,  including  drums,  tank  parts, valves,
    and shovels:
      (4) Personnel protective equipment;
      (5) Decontamination solutions:
      (61 Adsorbents; and
      (7) Spent chemicals.
      1.7.2.2  These plans must be prepared in ac-
    cordance  with  Federal  (e.g.,  the Resource
    Conservation  and Recovery Act [RCRAJ),
    State,  and local regulations, where applica-
    ble. A copy of the disposal plans from the fa-
    cility's SPCC Plan may be inserted with this
    section,  including any  diagrams in  those
    plans.
       Material
    Disposal fa-
       cility
                             Location
    I  RCRA per-
    I mil/manifest
                                  	I	
            Containment and Drainage Planning
    
      A proper plan to contain and control a dis-
    charge  through  drainage  may  limit  the
    threat of harm to human health and the en-
    vironment. This  section shall describe how
    to contain and control  a discharge through
    drainage, including':
      il) The available  volume  of  containment
    tuse the  information presented  in  section
    1.4.1 of the response plan);
      (2) The  route of drainage from  oil  storage
    and transfer areas:
      (3) The  construction  materials  used  in
    drainage troughs:
      <4) The type and number of valves and sep-
    arators used in the drainage system;
      <5) Sump pump capacities:
      (6) The  containment capacity of weirs and
    booms that, might be used and their location
    (see section 1.3.2 of this appendix); and
      (7) Other cleanup materials.
      In addition, a  facility owner or operator
    must meet the inspection and monitoring' re-
    quirements for drainage contained in 40 CFB
    part 112, subparts A through C. A  copy of the
    containment  and drainage plans that are re-
    quired in 40  CPR  part  112,  subparts  A
    through C may be inserted  in  this section.
    including' any diagrams in those plans.
      NOTE: The  general  permit for stormwater
    drainage  may contain  additional  require-
    ments.
    
       1.8  Self-Inspection, Drills/Exercises, and
                 Response Training
    
      The owner or operator must  develop pro-
    grams  for facility response training  and for
    drills/exercises  according  to   the  require-
    ments of 40 CFR 112.21. "Logs must  be kept for
    facility drills.exercises,  personnel response
    training,  and  spill   prevention  meetings.
    Much of the recordkeeping'  information re-
    quired by this section is  also  contained  in
    the  SPCC Plan  required  by 40  CFR  112.3.
    These logs may be included in the  facility re-
    sponse plan or kept as an annex to the facil-
    ity response plan.
    
            1.8.1   Facility Self-Inspection
      Under 40 CFH 112.7te), you  must,  include
    the written procedures and records of inspec-
    tions for each facility in the  SPCC Plan. You
    must include the inspection  records for each
    container, secondary containment, and item
    of response equipment at the  facility. You
    must cross-reference the records of inspec-
    tions of each container  and secondary con-
    tainment required by 40 CPR 112.7(e> in the
    facility response plan. The inspection record
    of response equipment is a new requirement
    in this plan. Facility self-inspection requires
    two-steps: (1) a  checklist of things  to in-
    spect: and (2i a method of recording the ac-
    tual inspection and  its  findings.  You must
    note the date of each inspection. You must
    keep facility  response plan  records for five
    years. You must keep SPCC records for three
    years.
    
              1.8.1.1.  Tank Inspection
    
      The  tank inspection checklist presented
    below has been  included as guidance during'
                                               99
    

    -------
    Pt.  112, App. F
               40 CFR Ch, I (7-1-04 Edition)
    inspections and monitoring. Similar require-
    ments  exist in 40 CPE part 112, snbparts A
    through C, Duplicate Information from the
    SPCC Plan may be photocopied and inserted
    in tills section. The inspection checklist con-
    sists of the following items:
    
            TANK INSPECTION CHECKLIST
    1. Check tanks for leaks, specifically looking-
        for:
      A, drip marks;
      B. discoloration of tanks:
      C, puddles containing spilled or leaked ma-
        terial;
      D. corrosion:
      E, cracks; and
      F. localized dead vegetation.
    2. Check foundation for:
      A. cracks;
      B. discoloration;
      C. puddles containing spilled or leaked ma-
        terial;
      D. settling;
      E. gaps between tank and foundation: and
      F. damage caused by vegetation roots.
    3. Check piping- for:
      A. droplets of stored material:
      B, discoloration;
      C. corrosion;
      D- bowing of pipe between supports;
      E. evidence  of stored material  seepage
        from valves or seals; and
      F. localized dead vegetation.
                           TANK/SURFACE IMPOUNDMENT INSPECTION LOG
    Inspector
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    Tank or Sl#
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    Date
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    Comments
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
        1.8.1.2  Response Equipment Inspection
      Using the Emergency Response Equipment
    List provided in section 1.3,2 of the response
    plan,  describe each type  of response equip-
    ment, checking for the following:
                                              100
    

    -------
    Environmental Protection Agency
                               Pt. 112, App. F
           Response Equipment Checklist
    
      1. Inventory (item and quantity):
      2. Storage location;
      3.  Accessibility (time  to  access and  re-
    spond);
      4. Operational status/condition;
      5. Actual use/testing (last test date and fre-
    quency of testing): and
      6. Shelf life (present age, expected replace-
    ment date).
    Please note any discrepancies between this
    list and the available response equipment.
                               RESPONSE EQUIPMENT INSPECTION LOG
                             [Use section 1.3.2 of the response plan as a checklist]
      1.8.1.3 Secondary Containment Inspection
    
      Inspect the secondary containment (as de-
    scribed in sections 1.4.1  and 1.7.2 of the re-
    sponse plan), checking the following:
    
         Secondary Containment Checklist
    
    1. Dike or berm system.
      A.  Level  of precipitation in dike/available
       capacity:
      B. Operational status of drainage valves;
      C. Dike or berm permeability:
      D. Debris;
      B. Erosion:
      F.  Permeability  of the  earthen  floor  of
       diked area; and
      O. Location,status  of pipes,  inlets,  drain-
        age beneath tanks, etc.
    2. Secondary containment
      A. Cracks;
      B. Discoloration:
      C. Presence of spilled or leaked material
        (standing liquid):
      D. Corrosion: and
      E. Valve conditions.
    3. Retention and drainag'e ponds
      A. Erosion;
      B. Available capacity;
      C. Presence of spilled or leaked material;
      D. Debris; and
      E. Stressed vegetation.
    The tank  inspection  checklist  presented
    below has been included as guidance during
                                              101
    

    -------
    Pt.  112, App. F
    
    inspections and monitoring'. Similar require-
    ments exist in  40 CFR part 112,  subparts A
    through C.  Similar requirements exist  in 40
    CFR 112.7(e). Duplicate information from the
    SPCC Plan may be photocopied and inserted
    in this section.
    
            1.8.2  Facility Drills/Exercises
      (A) CWA section 311(j)(5), as amended by
    OPA, requires the response plan to contain a
    description of  facility  drills/exercises.  Ac-
    cording  to 40  CFR  112.21(c), the  facility
    owner or operator shall develop a program of
    facility  response  drills/exercises, including
    evaluation procedures. Following the PREP
    guidelines (see Appendix E to  this part, sec-
    tion 13, for availability) would satisfy  a fa-
    cility's  requirements  for  drills/exercises
    under this part. Alternately, under §112.21(c),
    a facility owner or  operator may develop a
    program  that  is  not  based on  the PREP
    guidelines.  Such a program is subject to  ap-
    proval by the Regional Administrator based
    on  the  description of the program provided
    in the response plan.
      (B) The PREP Guidelines specify that the
    facility conduct internal and external drills/
    exercises.  The  internal  exercises  include:
    qualified  individual notification  drills,  spill
    management team tabletop exercises, equip-
    ment   deployment   exercises,  and unan-
    nounced  exercises.   External  exercises  in-
    clude Area Exercises. Credit for  an Area  or
    Facility-specific Exercise  will be  given  to
    the facility for an actual response to a dis-
    charge in the area if the plan was utilized for
    response to the discharge and the objectives
    of the Exercise were met and were properly
    evaluated, documented, and self-certified.
      (C) Section 112.20(h)(8)(ii) requires the fa-
    cility owner or operator to provide a descrip-
    tion of the drill/exercise program to be car-
    ried out under  the  response plan.  Qualified
    Individual Notification Drill and Spill  Man-
    agement Team  Tabletop Drill logs  shall  be
    provided in sections 1.8.2.1 and 1.8.2.2, respec-
    tively. These logs may be included in the fa-
    cility response  plan  or kept as an annex  to
    the facility response plan. See section 1.3.3 of
    this appendix  for  Equipment Deployment
    Drill Logs.
    
     1.8.2.1  Qualified Individual Notification Drill
                        Logs
    
     Qualified Individual Notification Drill  Log-
    
    Date:    	   _     _ _	
    Company:
                             40 CFR Ch. I (7-1-04 Edition)
                  Qualified Individual(s):
                  Emergency Scenario:
                  Evaluation:
                  Changes to be Implemented:
                  Time Table for Implementation:
                     1.8.2.2  Spill Management Team Tabletop
                                  Exercise Logs
    
                   Spill Management Team Tabletop Exercise
                                      Log
    
                  Date:     	    _ _	
                  Company:                              	
                  Qualified Individual(s):    _	
                  Emergency Scenario:
                  Evaluation:
                  Changes to be Implemented:
                  Time Table for Implementation:
    
                             1.8.3  Response Training
    
                    Section 112.21(a) requires facility owners or
                  operators to develop programs for facility re-
                  sponse training. Facility owners or operators
                  are required by §112.20(h)(8)(iii) to provide a
                  description of the response training program
                  to be carried out under the response plan.  A
                  facility's training program can be  based on
                  the USCG's Training Elements for Oil Spill
                  Response, to the extent applicable to facility
                  operations, or another response training pro-
                  gram acceptable to the RA. The training ele-
                  ments are available from the USCG Office of
                  Response (G-MOR)  at  (202)  267-0518  or fax
                  (202)  267-4085.  Personnel  response training
                  logs and discharge prevention meeting logs
                  shall be  included in sections 1.8.3.1 and 1.8.3.2
                  of the response  plan respectively. These logs
                  may be included in the facility response plan
                  or kept  as an annex to the facility response
                  plan.
    
                     1.8.3.1  Personnel Response Training Logs
                                PERSONNEL RESPONSE TRAINING LOG
                 Name
    Response training/date and number of
               hours
    Prevention training/date and number of
                hours
                                               102
    

    -------
     Environmental Protection Agency
    
                          PERSONNEL RESPONSE TRAINING Loo—Continued
                                            ft. 112, App. F
                Name
    Response irainmg/date aod number of '  Prevention training/date and number of
               hours            ;             hours
      1.8.3.2  Discharge Prevention Meetings Logs
    
        DISCHARGE PREVENTION MEETING LOG
    late:
    Attendees:
           Subject/issue identified
                                           Required actors
                                       implementation date
                                                            4.
                   1.9  Diagrams
    
      The facility-specific response plan shall in-
    olude the following: diagrams. Additional dia-
    grams that would aid in the development of
    response plan sections may also toe included.
    (1) The  Site  Plan Diagram shall, as appro-
       priate, include and identify:
      (A) the entire facility to scale:
      (B) above and below ground bulk oil stor-
       age tanks;
      (C) the contents and capacities of bulk oil
       storage tanks:
      (D) the contents and capacity of drum oil
       storage areas:
      IE) the contents and capacities of surface
       impoundments;
      (P) process  buildings;
      (G) transfer areas;
      (H> secondary containment systems (loca-
       tion and capacity);
                    (I) structures  where  hazardous materials
                      are  stored or  handled,  including'  mate-
                      rials stored and capacity of storage;
                    (J) location of communication and  emer-
                      gency response equipment:
                    (K) location of electrical equipment  which
                      contains oil:  and
                    (L)  for  complexes  only,  the interfacets)
                      (i.e.,  valve or component) between the
                      portion of the  facility regulated by EPA
                      and  the  portion! s)  regulated by  other
                      Agencies, In  most, cases, this interface is
                      defined as the last valve inside secondary
                      containment before piping' leaves the sec-
                      ondary containment area to  connect to
                      the transportation-related portion  of the
                      facility (i.e., the structure  used  or  in-
                      tended  to be used to transfer oil to or
                      from a vessel or pipeline). In the absence
                      of secondary containment, this interface
                      is the  valve manifold adjacent to the
                                              103
    

    -------
    Pt. 112, App. F
               40 CFR Ch, I (7-1-04 Edition)
       tank nearest the transfer structure as de-
       scribed above.  The interface may "be de-
       fined differently at a specific  facility  if
       agreed to by the RA and the appropriate
       Federal official.
    (2) The Site Drainage Plan Diagram shall, as
       appropriate, include:
      (A) major sanitary and storm sewers, man-
       holes, and drains;
      (B) weirs and shut-off valves:
      (C) surface water receiving streams;
      (D) fire fighting water sources:
      (E) other utilities;
      (F) response personnel ingress and egress:
      (G)  response equipment  transportation
       routes; and
      (H)  direction of discharge flow from dis-
       charge points,
    (3) The Site Evacuation Plan Diagram shall,
       as appropriate, include:
      (A)  site  plan  diagram  with  evacuation
       route(s); and
      (B)  location  of  evacuation  regrouping:
       areas.
    
                   1.70  Security
    
      According to 40  CFR 112.7(gr> facilities are
    required to maintain a certain level of secu-
    rity, as appropriate. In this  section, a de-
    scription of the facility security shall be pro-
    vided and include,  as appropriate;
    (1) emergency  cut-off locations  (automatic
       or manual valves);
    (2) enclosures (e.g., fencing, etc.):
    (3) guards and their duties, day and night;
    (4) lighting;
    (5) valve and pump locks; and
    (6) pipeline connection caps.
    The  SPCC Plan  contains similar informa-
    tion.   Duplicate   information   may   be
    photocopied and inserted in this section.
    
           2.0  Response Plan Cover Sheet
      A three-page form has been developed to be
    completed and submitted to the RA by own-
    ers or operators who  are required  to prepare
    and submit a facility-specific response plan.
    The cover sheet (Attachment F-l) must ac-
    company the response plan to provide  the
    Agency with  basic  information  concerning
    the facility.  This section will describe  the
    Response Plan Cover Sheet and provide in-
    structions for its completion.
    
              2.1   General Information
    
      Owner/Operator of Facility: Enter the name
    of the owner of the facility (if the owner  is
    the operator). Enter  the operator of the fa-
    cility if otherwise. If the  owner/operator  of
    the facility is a corporation, enter the name
    of the facility's principal corporate execu-
    tive. Enter as much of the name as will fit  in
    each section.
      (1) Facility Name: Enter the proper name  of
    the facility.
      (2) Facility Address:  Enter the street ad-
    dress, city, State, and zip code,
      (3) Facility Phone Number: Enter the phone
    number of the facility.
      (4) Latitude and Longitude: Enter the facil-
    ity latitude and longitude in degrees,  min-
    utes, and seconds.
      (5) Dun and Bradstreet Number: Enter the
    facility's  Dun  and Bradstreet  number  if
    available (this information may be obtained
    from public library resources).
      (6) North American Industrial Classifica-
    tion System (NAICSj Code: Enter the facili-
    ty's NAICS code as determined by the Office
    of Management and Budget (this information
    may be obtained  from public library re-
    sources.)
      (7) Largest Oil Storage Tank Capacity: Enter
    the capacity in  GALLONS of the  largest
    aboveground oil storage tank at the facility.
      (8) Maximum Oil Storage Capacity: Enter the
    total maximum capacity in GALLONS of all
    aboveground oil storage tanks at the facil-
    ity.
      (9) Number of Oil Storage Tanks: Enter the
    number of all aboveground oil storage tanks
    at the facility.
      (10) Worst Case Discharge Amount:  Using in-
    formation  from the  worksheets in Appendix
    D, enter the amount of the worst  case dis-
    charge in GALLONS.
      (11) Facility  Distance to  Navigable  Waters:
    Mark the  appropriate  line for the nearest
    distance between  an  opportunity for  dis-
    charge  (i.e., oil  storage  tank,  piping,  or
    flowline) and a navigable water.
    
     2.2  Applicability of Substantial Harm Criteria
      Using  the flowchart provided  in Attach-
    ment C-I to Appendix C to this  part, mark
    the appropriate answer to each question. Ex-
    planations of referenced terms can be found
    in Appendix C  to this part. If a comparable
    formula to the ones described in Attachment
    C-III to Appendix C to this part is used to
    calculate the planning distance, documenta-
    tion of  the reliability and analytical sound-
    ness of  the formula must be attached to the
    response plan cover sheet.
    
                 2.3  Certification
    
      Complete this block after all other ques-
    tions have  been answered.
    
                   3.0  Acronyms
    ACP: Area Contingency Plan
    ASTM:  American  Society  of Testing Mate-
      rials
    bbls: Barrels
    bpd: Barrels per Day
    bph: Barrels per Hour
    CHRIS: Chemical Hazards Response Informa-
      tion System
    CWA: Clean Water Act
    DOI: Department of Interior
    DOC: Department of Commerce
                                              104
    

    -------
     nvironmental Protection Agency
                              Pt. 112, App. F
     )OT: Department of Transportation
     IPA: Environmental Protection Agency
     'EMA:  Federal  Emergency  Management
      Agency
     'R: Federal Register
     al: Gallons
     pm: Gallons per Minute
     tAZMAT: Hazardous Materials
     jEPC:   Local  Emergency Planning1  Com-
      mittee
     IMS: Minerals Management Service (part of
      DOI)
     IAICS:  North American  Industrial  Classi-
      fication  System
     JCP: National Oil and Hazardous Substances
      Pollution Contingency Plan
     IOAA:  National  Oceanic  and Atmospheric
      Administration (part of DOC)
     IRC: National Response Center
     fRT: National Response Team
     )PA: Oil Pollution Act of 1990
     )SC: On-Scene Coordinator
     'REP:  National  Preparedness for Response
      Exercise Program
     IA: Regional Administrator
     ICRA:  Resource  Conservation and Recovery
      Act
     IRC: Regional Response Centers
     IRT: Regional Response Team
     iSPA:  Research and Special Programs  Ad-
      ministration
     5ARA:   Superfund Amendments and  Reau-
      thorization Act
     •5ERC:  State Emergency Response Commis-
      sion
     5DWA: Safe Drinking Water Act of 1986
     51: Surface Impoundment
     5PCC: Spill Prevention, Control,  and Coun-
      termeasures
     JSCG: United States Coast Guard
    
                  4.0  References
    
      CONCAWE. 1982. Methodologies for Hazard
     Analysis and Risk Assessment in  the Petro-
     eum Refining and Storage Industry. Pre-
     >ared by CONCAWE's Risk Assessment  Ad-
     loc Group.
      U.S. Department of Housing and Urban De-
     ,'elopment.  1987. Siting  of HUD-Assisted
     Projects Near  Hazardous Facilities: Accept-
     ible Separation  Distances from  Explosive
     ind Flammable Hazards. Prepared by the  Of-
     Ice of  Environment and  Energy, Environ-
     nental  Planning Division,  Department of
     lousing  and  Urban Development.   Wash-
     ngton, DC.
      U.S. DOT, FEMA and U.S. EPA. Handbook
     )f Chemical Hazard Analysis Procedures.
      U.S. DOT, FEMA and U.S.  EPA. Technical
     3-uidance  for Hazards Analysis:  Emergency
     Planning  for  Extremely  Hazardous Sub-
     stances.
      The National  Response  Team.  1987. Haz-
    ardous   Materials   Emergency   Planning
    Guide. Washington, DC.
      The National  Response Team.  1990.   Oil
    Spill Contingency Planning,  National Sta-
    tus: A Report to the President. Washington.
    DC. U.S. Government Printing Office.
      Offshore Inspection and Enforcement Divi-
    sion.  1988.  Minerals Management  Service.
    Offshore  Inspection Program.:  National Po-
    tential Incident  of  Noncompliance  (PINC)
    List. Reston.  VA.
    
           ATTACHMENTS TO APPENDIX F
    
    Attachment F 1 -Response Plan Cover Sheet
    
      This cover sheet will  provide  EPA with
    basic  information concerning the  facility. It
    must  accompany  a  submitted facility re-
    sponse plan.  Explanations  and detailed in-
    structions  can be found  in  Appendix  F.
    Please type or write legibly  in blue or black
    ink. Public reporting burden for  the collec-
    tion of this information is estimated to vary
    from 1 hour to  270 hours per response  in the
    first year, with an average of 5 hours per re-
    sponse. This  estimate  includes time for re-
    viewing instructions, searching existing data
    sources, gathering- the data needed, and com-
    pleting and reviewing the collection of infor-
    mation. Send comments  regarding the bur-
    den estimate of this information, including
    suggestions  for reducing  this  burden to:
    Chief. Information Policy Branch.  Mail Code:
    PM-2822,   U.S.  Environmental   Protection
    Agency, Ariel Rios Building. 1200 Pennsyl-
    vania  Avenue,  NW..  Washington, DC 20460:
    and to the Office of Information  and  Regu-
    latory Affairs,  Office  of  Management  and
    Budget. Washington D.C. 20503.
    
              GENERAL INFORMATION
    
    Owner'Operator of Facility:
    
    
    Facility Name:
    Facility Address (street address or route):
    City. State, and U.S. Zip Code:
    
    Facility Phone No.:
    Latitude (Degrees: North):
    
    degrees, minutes, seconds
    Dun & Bradstreet Number:l
    
    Largest Aboveground  Oil  Storage Tank Ca-
      pacity (Gallons):
    
    
    Number of Aboveground Oil Storage Tanks:
    
    Longitude (Degrees: West):
    
    degrees, minutes, seconds
      1 These numbers may be obtained from pub-
    lic library resources.
                                             105
    

    -------
    Pt.  113
               40 CFR Ch. I (7-1-04 Edition)
    North  American  Industrial  Classification
      System (NAICS) Code:1
    Maximum Oil Storage Capacity (Gallons):
    Worst Case Oil Discharge Amount (Gallons):
    Facility Distance to Navigable Water. Mark
      the appropriate line.
    O-'/i mile   _  'Xi-'/a mile     'i-1 mile     >1
       mile	
    
        APPLICABILITY OF SUBSTANTIAL HARM
                     CRITERIA
    
      Does the facility transfer  oil over-water2
    to or from vessels and does the facility have
    a total  oil storage  capacity greater than or
    equal to 42.000 gallons9
    Yes
    No  		                _	
      Does the facility have a total  oil storage
    capacity greater than or  equal to 1 million
    gallons  and,  within any storage area, does
    the  facility  lack  secondary containment  2
    that is  sufficiently large  to  contain the ca-
    pacity of the largest aboveground oil storage
    tank plus  sufficient freeboard to allow for
    precipitation?
    Yes
    No  	
      Does the facility have a total  oil storage
    capacity greater than or  equal to 1 million
    gallons  and is the  facility located at  a  dis-
    tance 2 (as calculated using the appropriate
    formula in Appendix C or a comparable for-
    mula) such that  a discharge from  the facility
    could cause injury to fish and wildlife  and
    sensitive environments? J
    Yes
    No
    Does the facility have  a total oil  storage ca-
      pacity greater than  or  equal to 1 million
      gallons and is  the facility located at a dis-
      tance  2 (as calculated using the appropriate
      formula in Appendix  C or a comparable for-
      mula) such that a discharge from the facil-
      ity  would  shut  down a  public  drinking
      water intake? -
      'Explanations  of  the  above-referenced
    terms  can be found in Appendix C to this
    part. If a  comparable formula  to  the ones
    contained in Attachment C-III is used to  es-
    tablish the  appropriate distance to fish and
    wildlife and sensitive environments or  public
    drinking  water intakes,  documentation  of
    the reliability and analytical soundness of
    the formula must be attached to this form.
      3 For further description of fish and wildlife
    and sensitive environments,  see Appendices
    I. II, and III to DOC/NOAA's "Guidance  for
    Facility and Vessel Response Plans: Fish and
    Wildlife  and Sensitive Environments" (see
    Appendix E to this part, section  13. for avail-
    ability) and the applicable AGP.
    Yes
    No
      Does the facility have a total oil storage
    capacity greater  than or  equal  to 1 million
    gallons and has the facility experienced a re-
    portable oil spill  - in an amount greater thai
    or equal to  10,000 gallons within the  last 5
    years?
    Yes    		               	
    No
    
                  CERTIFICATION
    
      I certify under  penalty of law that I have
    personally examined  and am familiar with
    the information submitted in this document.
    and that based on my inquiry of those indi-
    viduals  responsible for obtaining  informa-
    tion.  I believe that the submitted  informa-
    tion is true, accurate, and complete.
    Signature:   _               			
    Name (Please type or print):
    
    
    Title:
    Date:                	
    
    [59 PR 34122,  July 1, 1994: 59 FR 49006. Sept.
    26, 1994. as amended at 65 FR 40816, June 30,
    2000: 65  FR 43840, July 14, 2000:  66 FR 34561,
    June 29. 2001: 67 FR 47152, July 17, 2002]
    
    PART  113—LIABILITY   LIMITS   FOR
      SMALL    ONSHORE     STORAGE
      FACILITIES
         Subpart A—Oil Storage Facilities
    Sec.
    113.1
    113.2
    113.3
    113.4
    Purpose.
    Applicability.
    Definitions.
    Size classes  and
                           associated liability
        limits for fixed onshore oil storage facili-
        ties. 1.000 barrels or less capacity.
    113.5  Exclusions.
    113.6  Effect on other laws.
      AUTHORITY:  Sec. 311(f)(2),  86 Stat.  867  (33
    U.S.C. 1251 (1972)).
      SOURCE: 38  FR 25440, Sept. 13. 1973, unless
    otherwise noted.
    
      Subpart A—Oil Storage Facilities
    
    §113.1   Purpose.
      This  subpart establishes size classi-
    fications and associated liability  limits
    for small onshore oil  storage  facilities
    with fixed capacity of 1.000 barrels  or
    less.
                                              106
    

    -------
     wironmental Protection Agency
    
     113.2  Applicability.
     This  subpart applies to all  onshore
     II storage facilities with fixed capac-
     .y of 1.000 barrels or less. When a dis-
     aarge to  the waters of the  United
     tates  occurs from such  facilities and
     hen removal of said discharge is per-
     xrmed by  the United  States  Govern-
     lent pursuant to the provisions of sub-
     action 311(c)(l) of the Act, the liability
     f the owner or operator and the facil-
     ,y will be limited to the amounts spec-
     led in §113.4.
    
     113.3  Definitions.
     As used in this subpart. the following
     arms shall  have  the  meanings  indi-
     a/ted below:
     (a)  Aboveg round  storage   facility
     leans a tank or other container, the
     ottom of which is on a plane not more
     tian 6 inches below the  surrounding
     arface.
     (b) Act means the Federal Water  Pol-
     rtion  Control Act, as  amended, 33
     f.S.C. 1151. et seq.
     (c) Barrel means 42 United States gal-
     3ns at 60 degrees Fahrenheit.
     (d)  Belowground  storage   facility
     leans  a tank  or other container lo-
     ated other than as defined as "Above-
     round".
     (e) Discharge includes, but is not  lim-
     bed to any spilling, leaking, pumping.
     ouring, emitting, emptying or dump-
     ag.
     (f) Onshore Oil Storage Facility means
     .ny facility (excluding motor vehicles
     nd rolling stock) of any kind located
     n, on, or  under, any  land within the
     Inited States, other  than submerged
     and.
     Cg) On-Scene Coordinator is the single
     'ederal representative designated  pur-
     uant  to  the National  Oil and  Haz-
     rdous Substances  Pollution  Contin-
     •ency Plan and. identified in approved
     legional Oil and Hazardous Substances
     'Dilution Contingency  Plans.
     (h) Oil means  oil  of any kind or in
     ,ny form, including but not limited to.
     >etroleum. fuel oil,  sludge, oil refuse.
     aid oil mixed with  wastes other than
     Iredged spoil.
     (i) Remove  or removal means the re-
     noval of the oil from the water and
    shorelines  or the taking of such other
    tctions as  the Federal On-Scene Coor-
    linator may determine to be necessary
                                   §m.6
    
    to minimize or mitigate damage to the
    public health  or welfare, including but
    not limited to. fish, shellfish, wildlife.
    and public and private property, shore-
    lines, and beaches.
    Additionally,  the  terms not otherwise
    defined herein shall have the meanings
    assigned them by section 311 of the
    Act,
    
    §113.4 Size classes and associated  li-
        ability limits for  fixed onshore oil
        storage facilities, 1,000 barrels  or
        less capacity.
      Unless the  United  States can show
    that oil  was discharged as a result  of
    willful   negligence   or  willful  mis-
    conduct  within the privity and knowl-
    edge of the owner or operator,  the fol-
    lowing limits of liability are  estab-
    lished for fixed onshore facilities in the
    classes specified:
      (a) Abovegrouml storage.
           Size cfass
     Capacity (bar- j   Lirnst
    I    rels)'   !  (dollars)
    
    '. Up to 10	!   4.000
    i 11 to 170 	 :   60,000
     171 to 500  ... ;  150,000
    i 501 to 1.000 . '  200.000
      (b) Belowground storage.
           Size class
    III
    IV
    T	 '		 I  	
    , Capacity (bar- ;   Linii
    I    rels)     (dollars)
    
    , Up to 10 	 !   5200
    I 11 to 170	 _   78.000
    ! 171 to 500 	 i  195,000
    i 501 to 1,000 ..  260,000
    § 113.5 Exclusions.
      This subpart does not apply to:
      (a)  Those  facilities  whose average
    daily  oil throughout is more than their
    fixed  oil storage capacity.
      (b) Vehicles and rolling stock.
    
    §113.6 Effect on other laws.
      Nothing herein shall be construed to
    limit the liability of any facility under
    State or local law or under any Federal
    law other than  section 311  of the  Act.
    nor shall the liability  of any facility
    for any charges or  damages  under
    State or local law reduce its liability
    to the Federal Government under sec-
    tion 311 of the Act. as  limited by this
    subpart.
                                         107
    

    -------
    Pt. 116
              40 CFR Ch. 1 (7-1-04 Edition
        PART  116—DESIGNATION OF
         HAZARDOUS SUBSTANCES
    
    Sec,
    116,1 Applicability.
    116.2 Abbreviations.
    116.3 Definitions.
    116.4 Designation of hazardous substances.
      AUTHORITY: Sees.  3n
    -------
     nvironmenial Protection Agency
                                   §116,4
      (2) Tributaries of navigable waters of
     he United  States, including adjacent
     retlands;
      <3) Interstate waters, including- wet-
     wids: and
      (4) All other  waters of"  the  United
     •tates such as intrastate lakes, rivers.
     treams. mudflats, sanclflats and wet-
     inds. the use. degradation or destruc-
     ion of which affect  interstate  com-
     lerce including', but- not limited to:
      Si) Intrastate lakes, rivers, streams.
     .nd  wetlands which  are  utilized  by
     literstate travelers for recreational or
     ther purposes; and
      (ii) Intrastate  lakes, rivers, streams.
     .nd wetlands from which fish or shell-
     ish are or could be taken  and sold in
     nterstate commerce; and
      (iii) Intrastate lakes, rivers, streams.
     .nd wetlands which are utilized for in-
     .ustrial  purposes by  industries  in
     nterstate commerce.
     Navigable waters  do  not include  prior
     :onverted  cropland.   Notwithstanding
     he determination of  an area's status
     .s  prior converted cropland  by  any
     »ther federal agency,  for the purposes
     >f the  Clean Water Act, the final au-
     .hority regarding  Clean Water Act  ju-
     isdiction remains with EPA.
      Offshore facility means any facility of
     my kind located in, on, or under, any
     )£ the  navigable  waters of the  United
     States,  and any  facility of any  kind
     vhich is subject to the jurisdiction of
     ,he United States  and is located in, on,
     >r under any other waters, other than
     i vessel or a public vessel;
      Onshore facility  means any  facility
     including, but not limited to, motor
     /ehicles and rolling stock)  of any kind
     ocated in.  on, or under, any land  with-
     n the  United States  other than sub-
     nergedland:
      Otherwise subject to the jurisdiction of
     he United States means  subject to the
     urisdictlon of the United  States  by
     /irtue  of  United  States  citizenship.
     Jnited States vessel documentation or
     lumbering, or as provided for by inter-
     national  agreement,  to   which  the
     United States is a  party.
      A discharge in connection with activi-
     ties under  the Outer  Continental  Shelf
     Lands Act or the Deepwater Port Act of
     1974, or  which may ajj'ect  natural  re-
    sources belonging to, appertaining  to, or
     under the exclusive management author-
    ity  of  the  I'nited  Stales (including  re-
    sources  under (hi;  Fishery  Conservation
    and Management Act of 1976), means: (1)
    A discharge into any waters beyond the
    contiguous zone from any vessel or on-
    shore or offshore facility, which vessel
    or facility is subject to or is engaged in
    activities under the Outer Continental
    Shelf Lands Act or the Deepwater Port
    Act of 1974, and (2i any discharge into
    any waters beyond the contiguous zone
    which  contain, cover, or support  any
    natural resource belonging  to. apper-
    taining to. or under the exclusive man-
    agement  authority  of  the   United
    States (including  resources  under the
    Fishery Conservation and Management
    Act of 1976).
      Public vessel means a vessel owned or
    bareboat-chartered and operated by the
    United  States, or a State or political
    subdivision  thereof, or by a foreign na-
    tion,  except when such vessel is en-
    gaged in commerce
      Territorial seas means the belt of the
    seas measured from  the  line  of  ordi-
    nary low water along that  portion of
    the coast which is in  direct  contact
    with the open sea and the line marking
    the seaward limit of inland waters, and
    extending  seaward  a  distance  of  3
    miles,
      Vessel  means  every  description  of
    watercraft or other artificial  contriv-
    ance used, or capable of being  used, as
    a  means of transportation on water
    other than a public vessel;
    
    [43 PR 10474, Mar.  13. 1978: 43 PR 27533. June
    26. 1978, as amended at 44 PR 10266. Feb. 16,
    1979; 58 PR 45039. Aug. 25. 1993]
    
    §116,4   Designation  of hazardous sub-
       stances.
      The elements and compounds  appear-
    ing in Tables 116.4  A and  B are des-
    ignated as hazardous substances in ac-
    cordance  with section 311(b)(2XA) of
    the Act. This designation includes any
    isomers  and hydrates, as  well  as  any
    solutions  and  mixtures   containing
    these substances. Synonyms and Chem-
    ical  Abstract System (CAS) numbers
    have been added for convenience of the
    user only. In ease of any disparity the
    common names shall be considered the
    designated substance.
                                         109
    

    -------
    §H6.4
    40 CFR Ch. 1 (7-1-04 Edition;
    TABLE 116.4A — LIST OF HAZARDOUS SUBSTANCES
    Common name CAS No
    Acetaldehyde 	 ' ,'5070
    Acetic acid 	 ; 64197
    Acetic anhydride 	 	 103247
    Acetone cyanohydrin 	 i 75865
    
    Acetyl bromide 	 ' 506967
    Acetyl chloride 	 i 79367
    Acrolein 	 '. 107028
    I
    Asrylofiiirile 	 	 	 , 107131
    
    Adipic acid 	 i 124049
    Aldrin 	 * 309002
    Allyl alcohol 	 ' 107186
    Aliyl chloride 	 j 1070V
    
    Aluminum sulfate 	 , 10043013
    Ammonia 	 • 7664417
    Ammonium acetate 	 631618
    Ammonium benzoate 	 ' 1863634
    Ammonium bicarbonate 	 1066337
    |
    Ammonium bichromate 	 • 7789095
    Ammonium bifluoride 	 j 1341497
    
    Ammonium bisulfite 	 	 I 10192300
    Ammonium carbamate 	 i I'M^SC
    Ammonium carbonate 	 i 506876
    Ammonium chloride 	 1 12125029
    
    Ammonium chromate 	 	 ; 7788989
    Ammonium citrate dibasic 	 j 3012655
    
    Ammonium fluoborate 	 j 13826830
    
    Ammonium fluoride 	 12125018
    Ammonium hydroxide 	 ( 1336216
    Ammonium oxalate 	 : 6009707
    i 5972736
    1 4258492
    Ammonium siiicofluoride 	 16919190
    Ammonium sulfamate 	 7773060
    Ammonium sylfide 	 ' 12135761
    Ammonium sutfite 	 ! 10196040
    i 10192300
    Ammonium tartrate 	 - 	 3164292
    14307438
    Ammonium thiocyanale 	 : 1762954
    
    Amly acetate 	 628637
    
    
    Aniline 	 62533
    
    Antimony pentachloride 	 • 7647189
    Antimony potassium tartrate 	 28300745
    
    Antimony tribrcmide 	 7789619
    Antimony trichloride 	 10025919
    Antimony trifiuoride 	 7783564
    Antimony trioxide 	 	 1309644
    Arsenic disulfide 	 1303328
    Arsenic pentoxide 	 1303282
    Arsenic trichloride 	 ; 7784341
    
    Arsenic trioxide 	 132753G
    Arsenic trisulfide 	 1303339
    Barium cyanide 	 ; 542621
    Benzene 	 	 . 71432
    Benzoic acid 	 65850
    
    Benzonitnle 	 ' 10047C
    Synonyms Isopiers • CAS No.
    i Ethanal. ethyi aidsnyde. acetic aldehyde 	 . 	 	
    Glacial acetic acid, vinegar acid 	 [ 	
    Acetic oxide, acetyi oxide 	 - 	 	
    2-methy!!actonitri!e. aipha- • 	 • 	
    nydroxyisobutyronstnie ,
    
    
    
    2-propenal acrylic aldehyde, acrylaidehyde. , 	
    ' acraidehyde
    Cyanoemytene Fumtgrain, Ventox 	
    propeneitrile. vmyi cyanide.
    
    
    Hexanedicic acid 	 . .. I 	
    , Octalene. HHDN 	 ! 	
    • ?-propen-1-ot. 1 -oropenol-3. vinyl carbinol 	 i 	
    3-chloropropene, 3-chloropropylerie. t 	
    Chlorallylene.
    J Alum 	 i 	 i 	
    
    Acetic acid ammonium, salt 	 I 	
    i
    Acid ammonium carbonate, ammonium hydro- 	 ; 	
    | gen carbonate. ;
    
    Acid ammon.'um fluoride, ammonium hydrogen 	
    fluoride.
    
    
    
    
    Ammonium aminoformate 	
    
    
    Ammonium muriate, sal ammoniac, salmiac 	 i 	
    Amchior
    
    Diammonium cit'ate citric acid diammonium
    
    
    
    sait.
    Ammonium flyoroborate. ammonium 	
    borofluoride j
    ; Neutral ammonium fluoride 	 | 	
    
    
    
    
    Ammonium fluosilicate 	 j 	
    Ammate, AMS. ammonium arnidosuifate 	
    ! 	 	 ; 	
    
    
    
    Tartaric acid ammonium sail 	 ' 	
    
    Ammonium rhodanide, ammonium ' 	 _ 	 	
    
    
    sulfocyanale. ammonium sulfocyanide, :
    Arnylacetic ester 	 ; iso- 	 123922
    Pear oil 	 ; sec- 	 626380
    \ Banana oil 	 tert- 	 625161
    1 Aniline oil. phenylamine. aminobenzene. -, 	
    
    aminophen. kyanol.
    
    Tartar emetic, tartrated antimony, tartarized 	 	 	
    anlimony, potassium antimonyltartrate.
    
    Butler of antimony 	 	 	 	 ! 	 , 	 -..
    Antimony fluoride 	
    Diantimony trioxide, flowers of anlimony 	
    Red arsenic sulfide 	 i 	
    Arsenic acid anhydride, arsenic oxide 	 s 	
    Arsenic chloride, aisenious chloride, arsencus ' 	 	 - 	
    chloride, butler of arsenic.
    Arsenious acid, arsenious oxide, white arsenic _ 	
    Arserious suifide, yeilow arsenic suifide 	
    
    Cyclohexatriene. benzol 	
    Benzenecarboxyiic acid, phenylformic acid 	
    .; dracylic acid.
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    Phenyl cyanide, cyanobenzene 	 : 	
                                        110
    

    -------
    nvfronmental Protection Agency
    §116.4
                 TABLE 116.4A—LIST OF HAZARDOUS SUBSTANCES—Continued
    Common name CAS No Synonyms j Isorners | CAS No.
    enzoyl chloride 	
    enzyj chloride - 	 	
    eryllium chloride 	
    erylliurn fluoride 	
    eryliiym nitrate 	
    
    utyl acetate 	
    
    
    utylamine 	
    
    
    
    "butyl phthalate 	
    
    utyric acid 	
    •admium acetate 	
    admJum bromide 	
    •admium chloride 	
    alcium arsenate
    alcium arsenite 	
    aicium carbide 	
    ;alcium chrornate 	
    
    •alcium cyanide 	
    Calcium dodecylbenzenesulfonate
    •aicium hypochiorite 	
    •<3tptan 	
    :arbaryi 	
    :arbofuran 	 	
    -arbon disuifide 	 	 	
    :arbon tetrachloride 	 - .
    98884 Benzenecarbonyl chloride 	
    100447 	
    778747S
    7787497
    7787555
    13597994
    123864
    
    
    109739
    
    
    
    84742
    
    107926
    543908
    7789426
    10108642
    7778441
    52740168
    
    j
    
    
    Acetic acid butyl ester 	 	 	 iso- ... .
    ' sec- ....
    left- .....
    1 -aminobutane , 	 »..,,,,. ,., 	 iso- .....
    sec- ....
    sec- ...,
    tert- .....
    1,2'benzenedicarboxylic acid, dibutyi ester, 	 , 	 ,
    dibutyl phthaiate.
    Butanoic acid, ethylacetic acid ,,..... 	 	 ,,,.. , ISQ- .....
    
    
    
    Tricaicium orthoarsen.^ie
    
    75207 Carbide, acetyienogen 	 	
    13765190 Calcium chrome yellow, geblin, yellow ultra- 	
    marine
    592018 	
    26264062 ,,,,.,,,..., 	 	 	 ..,, 	 .«....,...< 	 	 	 	 ,,
    7778543 	 ,. 	 .,.,,,......... 	 , 	
    133062 | Orthocide-406, SR-406, Vancide-89 	 	 	 ~ i 	 	 	 	
    63252 Sevin 	 	
    1563662
    75150
    Furadan 	 	 	 	 . j 	 	
    Cartoon bisulfide, dithiocafbonic anhydride 	
    56235 TetracMorornethane Perch toromethane ., 	 , ,.,,. 	
    Mordane 	 ! 57749
    Motine 	 75003
    Toxichfor, chlofdan . .,,.. .. ,, ....,,,.,,,.. ...... , .. ,. .....
    
    Ihiorobenzene 	 j 108907 Monochlorobenzena. benzene chloride 	 I 	
    Ihlorotorm 	 | 67663 Trichloromethane 	
    ;hlorpyritos 	 • 2921882 Dursban 	 • 	
    iNorosuHonic acid 	 j 7790945
    Ihromic acetate 	 - 	 	 ; 1066304
    ;hromic acid 	 ; 11115745
    ;hromic sulfate 	 i 10101538
    :hrornous chloride 	 10049055
    krtialtous bromide 	 j 7789437
    Sulfuflc chlorohydrin 	
    
    Chromic anhydride, chromium trtoxide 	 , 	
    	 , 	 , 	 ,. , 	 .„..,.„.„....... ..... .,..,., 	
    
    Cobalt bromide 	 , 	 	 	 	 	
    ;oabaltous formate 	 ! 544183 ; Cobalt tormate 	
    lobaltous sulfamate 	 i 14017415 Cobalt sulfamate 	
    ^oumaphos 	 56724 f Co-Ral 	 : 	
    Iresol 	 ; 1319773 ; Cresylic acid 	 rn- 	
    i i Hydroxytoluene 	 o- 	
    i ; P- 	
    "rotonaldehyde 	 	 	 j 4170303 2-butenal propy'ene aidelhyde 	
    ;upric acetate 	 - 142712 ! Copper acetate, eryslalized verdigris 	 ' 	
    iupric acetoarsenite 	 j 12002038
    
    ;upric chloride 	 7447394
    iupric nitrate 	 i 3251238
    ;upric oxalate 	 	 | 5893663
    'upric sulfate 	 i 7758987
    "upric sulfate, ammoniated 	 10380297
    ;cjpric tartrate 	 	 815827
    Cyanogen chloride 	 506774
    :yclohexane 	 ; 110827
    
    > 4-0 add 94757
    .',4-O ester 	 '• 94111
    94791
    ! 94804
    : 1320189
    1928387
    1928616
    i 1929733
    2971382
    Copper acetoarsenite, copper acetate arsenite | 	
    Paris green
    Copper chloride 	 , .. .. i 	
    Copper nitrate 	 	 	 	 ' .. 	
    Copper oxaiate ........ , 	 , 	 , 	 , 	
    Copper sulfate ....... . . .,,.,...,,....,., ... ... ..... . ' .,....,... .
    Amrrtonfated copper sulfate 	 ,., j ..... ......
    Copper tartrate 	 	 	 	 	 , 	 	 	 	
    
    Hexahydrobenzene, hexamethyleoe. i 	
    hexanaphthene i
    2.4-dichiorophenoxyacetlc acid
    2.4-dichiorophenoxyacelic acid ester 	 ' 	
    
    
    
    i
    
    
    
    : 25168267
    
    
    
    , 	 ,,« | . ,, ,. .......
    1
    
    	 110190
    	 105464
    	 540885
    	 78819
    	 513495
    	 13952846
    	 75649
    
    
    	 79312
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    	 ' 108394
    	 i 95487
    	 106445
    
    
    
    
    
    I
    
    
    
    	 i 	
    
    
    I
    
    
    
    
    
    
    
    
    
    
                                       111
    

    -------
    §116.4
    40 CFR Ch. I (7-1-04 Edition)
                  TABLE 116.4A—LIST OF HAZARDOUS SUBSTANCES—Continued
    Common name
    DDT 	
    
    Dicamba 	 , 	 . 	 ,. 	
    Dichtobenil 	
    Dichtone ..... 	 - 	 	 	
    Dichforobenzene 	 ..
    Dichloropropane 	
    Dichloropropene 	
    Dichloropropene-dichioropropane
    (mixture).
    2 2-Dichloropropionic acid 	
    Dichlorvos 	
    Dicofol .. - 	
    
    Oiethylamine 	
    Dimethyiamrne 	
    Dinifrobenzene (mixed) 	
    
    
    Diquat 	
    Disutfolon . 	
    Diuron .. 	 	 	 -,
    Dodecyfbenzenesulfonic acid 	
    Endosulfan 	
    Endrin 	 	
    Epichlorohydrin 	
    Ethion 	
    Elhylbenzene 	 	 	 	 	
    
    Ethylenediamine-tetraacetic acid
    (EDTA),
    Ethylene dibromide 	 . ..
    
    Ferric ammonium citrate 	
    
    Ferric chloride 	
    Ferric fluoride 	 .. 	 - 	
    
    
    
    Ferrous sutfate 	
    Formaldehyde 	
    Formic acid 	
    Fumaric acid 	
    Furfural 	
    Guthion 	
    Heptachlor , 	
    Hexachlorocyclopentadiene 	
    Hydrochloric acid 	
    Hydrofluoric acid 	 	 	
    Hydrogen sulfide .,, 	
    CAS No,
    534671 1 1
    50293
    333415
    1918009
    1194656
    1 1 7806
    25321226
    26638 1S7
    26952238
    8003198
    75990
    62737
    115322
    60571
    109897
    124403
    25154545
    51285
    25321146
    85007
    2764729
    298044
    330541
    27176870
    115297
    72208
    106898
    563122
    100414
    107153
    60004
    106934
    107062
    1185575
    2944674
    55488874
    7705080
    7783508
    10421484
    1 0028225
    10045893
    7758943
    7720787
    7782630
    50000
    64186
    110178
    98011
    86500
    76448
    77474
    7647010
    7664393
    74908
    7783064
    Synonyms
    
    
    2-methoxy-3.6-dichlorobenzoic ackJ 	
    2,6-dichlorobenzonitrile, 2,6-DBN 	
    Phygon, dichloronapMhoquinone 	
    Paramoth (Para) 	
    Propylene dichloride 	 	
    D-D mixture Vidden D 	
    
    2 2-dichlorovinyl dimettiyl phosphate Vapona
    Di{p-cN0rophenyl}-trichioromethy!cafbinol
    DTMC, dicofol,
    Alvit
    
    
    
    Aldifen
    DNT
    Acjuacide 	
    Dextrone, Reglone, Diquat dibromide .. ..
    Di-syston 	
    DCMU, DMU 	 - 	
    Thiodan 	
    Mendrin, Compound 269 	
    -chloropropylene oxide
    
    Phenylethane 	
    
    Edetic acid, Havidote, (ethylenedinitrilo)-
    letraacetic acid.
    1,2-dJbrornoethane acetylene dibromide sym-
    dibromoethylene-
    1 2-dlchloroethane sym-bichloroethane
    Ammonium ferric citrate 	
    Ammonium ferric oxalate
    
    Floras martis, iron trichloride 	
    
    
    tersulfate.
    
    Green vitriol 	
    Iron vitriol, iron sulfate, iron protosulfate 	
    Methyl aldehyde, methanal formalin , , .
    Metnanoic acid 	
    Trans-butenedioic acid, trans-1,2-
    ethylenedicarboxylic acid, boletic acid,
    allomaleic aoid.
    2-luraldehyde. pyromucic aldehyde 	
    Susalhion, azinphos-methyl 	
    Velsicol-104, Drinox, Heptagran 	 	 	
    Perchlorocyclopentadiene 	
    Hydrogen chloride, muriatic acid
    Fluohydric acid 	 	
    Hydrosutfuric acid sulfur hydride 	
    Isomers
    
    
    
    Ortho
    Para 	
    1.1 	
    1.2 	
    1,3 	
    1.3 	
    2.3 	
    
    
    
    
    
    
    
    o- 	 	
    p- 	
    (25-)
    (2.4-).
    (2,6-) 	
    24
    2,6 	
    3.4 	
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    CAS No,
    
    
    
    95501
    106467
    78999
    78875
    142289
    542756
    78886
    
    
    
    
    
    
    99650
    528290
    100254
    329715
    573568
    121142
    606202
    610399
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
    
                                         112
    

    -------
    wironmental Protection Agency
    §116.4
                TABLE 116.4A—LIST OF HAZARDOUS SUBSTANCES—Continued
    Common name
    >prene 	
    )propanolamine
    dodecylbenzenesultonate.
    jpone 	
    
    
    ad acetate 	
    >afl arsenate 	
    
    
    sad chloride 	
    tad fluoborate 	
    tad fluoride 	 - 	
    iad iodide 	
    iad nitrate 	
    >ad stearate 	 . 	
    
    
    tad sulfate 	 - 	 ---
    iad sulfide 	
    jad thiocyanate 	
    ndane 	
    •hium chromate 	
    alathion 	
    aleic acid , 	
    
    aleic anhydride 	
    
    ercaptodirnethur 	
    ercuric cyanide 	
    ercuric nitrate 	
    ercuric sulfate ... 	 	 	
    ercuric thiocyanate 	
    
    ercurous nitrate
    
    ethoxyehfor 	 	 	
    ethyi rnercaplan 	
    
    ethyl methacrylate ... 	
    
    ethyl parattiian 	 .... 	
    evinphos 	
    exacarbate 	 .
    onoethylarnine 	
    onomethyEamine 	
    aied
    aphthalerse 	 ..... 	
    aphthenic acid 	
    
    ickel ammonium sulfate 	 -.
    ickel chloride 	
    
    ickei hydroxide
    icket nitrate
    ickei sulfate
    (trie acid 	
    itrobenzene 	
    itrogen dioxide 	 ....
    itrophenol (mixed) 	 	
    
    
    itrotoluene 	
    
    
    araformaldehyde 	 	
    
    arathion
    erltachloroprMsnol
    henol 	 	
    
    hosgene 	 	
    
    CAS No. ! Synonyms : Isomers j CAS No.
    78795 2-methyl-1.3-butadiene 	 ! 	
    42504461 	 -! 	 : 	 -
    
    
    143500 Chlordecone 1,1a.3.3a,4,S,5,5a,5b.6- j 	 	
    decachlor0octahydro-1,3,4-metheno-2B- i ;
    cycbbuta(cd)penlalen-2-one. : i
    301042 Sugar of Isad 	 . 	 ! 	
    7784409 	 , 	 ! . .. 	
    7645252 	 	 ! 	 : 	
    10102484 	 '• 	
    7758954 • . . ! , .
    13814965 Lead tiuoroborate 	 	 	
    7783462 Lead dif'uonde. plumbous fluoride 	 : 	 ; 	
    10101630 	
    10099748 	 I 	 ; 	
    7428480 Stearic acid lead salt 	 i 	 j 	
    1072351 	 ! 	 ; 	
    52652592 .. ... ... '
    7446142 	 	 	 ' 	 ' 	
    1314870 Galena 	 	 ; 	
    592870 Lead sutfocyanate 	 	 j 	 ' 	
    58899 Gamma-BHC, gamma-benzene hexachloride 	 	 	 • 	
    1 4307358
    
    121755 PhospoShion 	 	
    110167 Cis-butenedioic acid, cis*1.2- ... 	 	 . . 	
    ethylenedtearboxylic acid, toxilic acid. \
    108316
    
    203657
    2,6-iurandione, cis-butenedioic anhydride, i 	
    toxilic anhydride. 1
    Mesurol 	 • 	
    592041 Mercury cyanide 	 	 '• 	
    10045940 Mercury nitrate, mercury pernftrate 	 i 	
    7783359
    592858
    
    7782867
    10415755
    72435
    74931
    
    80626
    
    298000
    7786347
    315184
    75047
    74895
    300765
    91203
    1338245
    
    Mercury sulfate mercury persulfafe
    Mercury thiocyanale. mercuric sultocyanate, 	
    mercuric suHocyanide
    
    Mercury protonitrate 	
    
    
    
    
    
    DMDT, methoxy-DDT 	 ! 	
    Methanethioi, mercaptomethane. methyl 	
    sulfhydrate, Ihiomethyl alcohol.
    Methacrylic acid methyl ester, methyl-2-rneth- j 	
    
    yl-2-propenoate.
    Nitrox-80 	
    
    Phosdrin 	
    Zectran 	 	 	 	
    Ethylamme, aminoethane 	
    Methylamtne, arninomethane 	 	 	 , 	
    Dibrom ... .
    White tar, tar camphor, napnffialin 	
    Cyclohexanecarboxyiic ac*d 	
    hexahydrobenzoic acid.
    15699180 Ammonium nickel sulfate 	
    37211055 Nteketous chloride 	
    7718549
    12054487 Niekeious hydroxide 	 	 	
    14216752
    7786814
    7697372
    98953
    10102440
    25154556
    
    
    1321126
    
    
    30525894
    
    56382
    87865
    108952
    
    75445
    
    
    Nickelous sulfate 	 , 	 } 	
    Aqua fortis 	 	 	 	 	 	 	 	
    
    
    
    
    
    
    
    
    
    
    
    
    Nitrobenzol, oil of mirbane 	
    Nitrogen tetraoxide 	 	
    
    Mononrtrophenol 	 	 	 i m- 	 554847
    o- 	 88755
    p- 	 100027
    	 	 	 	 Ortho 	
    88722
    I Meta 	 99081
    ! Para , 	 99990
    Paraform, Formagene, Triforrnol, polymerized ; 	
    formaldehyde, polyoxymethylene.
    DNTP Niran
    POP Penta 	 i
    Carbolic acid, phenyl hydroxide 	
    hydroxybenzene, oxybenzene.
    Diphosgene, carbonyl chioride, chloroformyl 	 	
    
    
    
    
    
    
    
    chloride
                                      113
    

    -------
    §116.4
    40 CFR Ch. I (7-1-04 Edition;
                  TABLE 116.4A—LIST OF HAZARDOUS SUBSTANCES—Continued
    Common name
    
    Phosphorus 	 	
    Phosphorus oxychloride 	
    Phosphorus pentasuffide 	
    Phosphorus trichloride 	
    Polyehorinated biphenyis 	
    Potassium arssnate 	
    Potassium bichromate 	
    Potassium ehromate 	
    Potassium cyanide 	
    Potassium hydroxide 	
    Potassium permanganate 	
    Propionfc acid 	
    Propionic anhydride 	
    Ptopylene oxide 	
    Quinoline 	 	
    Resorcinol 	
    Selenium oxide 	 	 	 	 	
    Silver nitrate 	
    Sodium 	
    Sodium arsenate 	
    Sodium bichromate 	
    Sodium bifluorkle 	
    Sodium bisulfite 	 	
    Sodium chromate 	
    Sodtum cyanide 	
    Sodium dodecylbenzene-sulfonate
    Sodium hydrosulfide 	 	 	
    Sodium hydroxide 	
    Sodium hypochlorite 	
    Sodium methylate 	
    Sodium nitrite 	
    Sodium phosphate, dibasic 	
    Sodium phosphate, tribasic 	
    
    
    
    Strontium chromate 	
    Strychnine 	
    Styrene 	
    Sulfuric acid 	
    Sulfur monochjoride 	
    2,4,5-T amines 	
    
    CAS No.
    7664382
    7723140
    10025873
    1314803
    7719122
    1336363
    7784410
    10124502
    7778509
    7789006
    151508
    1310583
    7722647
    231 2358
    79094
    123626
    75569
    121299
    121211
    91225
    108463
    7446084
    7761888
    744023S
    7631892
    7784465
    10588019
    1333831
    7631905
    7775113
    143339
    2S15S300
    768' 494
    16721805
    1310732
    7681529
    10022705
    124414
    7632000
    7558794
    1 0039324
    10140655
    7785844
    7601549
    10101890
    10361894
    7758294
    10124568
    10102188
    7782823
    7789062
    S7249
    100425
    7664839
    12771083
    93765
    6369966
    6369977
    1319728
    3813147
    2545597
    93798
    Synonyms isomers
    Orthophosphoric acic .. . 	
    Black phosphorus, red phosphorus, white 	
    phosphorus. yel!ow phosphorus. •
    Phosphory; chloride, phosphorus chloride 	 • 	
    Phosohoric sulfide, thiophosphoric anhydride 	 	
    phosphorus persulfide.
    Phosphorous chloride 	 	 	
    PCB. Aroclor. polychiorinated dipnenyls 	 ^ 	
    Potassium dichromate 	
    Potassium hydrate, caustic potash, potassa ... ! 	
    Chameleon mineral 	
    Omite . .. . 	
    Propanoic acid, rrethyiacetic acid, ethylforrnic 	 	
    acid.
    Propanoic anhydride, methylacetic anhydride 	 	
    Propene oxide 	
    Pyrethrin 11 	 •. 	
    1-benzazine, benzofbjpyridine, leuocoSne 	
    chinoleine, leucol.
    Hesorcm, 1 .3-benzenedioI, rneta- 	
    dthydroxybenzene
    Selenium dioxide 	 	 	 	
    Nitric acid silver (1+) salt lunar caustic 	 ! 	
    Natrium 	 i 	
    Disodium arsenate 	 	 	 	 ', 	
    Sodium dichromate 	
    Sodium acid sulfite. sodium hydrogen sultite . . ! 	
    Sodium hydrogen sulfide 	 	 	
    Caustic soda, soda lye, sodium hydrate 	
    Bleach 	 ' 	
    Sodium methoxide 	 i 	 -.
    
    
    
    
    Vinylbenzene, phenylethylene. styrol, i 	
    styrolene, cinnamene, cinnamol.
    Oil of vitriol, oleum 	 	 , 	
    Sulfur chloride 	 ; 	
    Acetic acid (2.4,5-trichlorophenoxy)-compound 	
    with N,N-dimethylmetnanamine (1:1).
    Acetic acid (2,4,5-triehiorophsnoxyS-compound 	
    with N-methylmethanamine (1:1). .'
    Acetic acid (2,4.5-trichlorophenoxy)-compound ; 	
    with 1-amino-2-propanol (1:1). j
    Acetic acid (2i4,5"1rich'orophenoxy)-cortipound 	
    with 2,2'2"-nitriiotris [ethanol] (1:1).
    
    CAS No.
    
    
    
    
    
    
    
    
    
    
    
    
    
    
                                         114
    

    -------
    Environmental Protection Agency
                                                                               §116.4
                      TABLE 116.4A—LIST OF HAZARDOUS SUBSTANCES—Continued
    Common name
    
    
    
    
    2.4.5-T salts 	
    
    TDE 	
    2.4,5-TP acid 	
    2,4.5-TP esters 	
    
    Tetraethyl lead 	
    Tetraethyl pyrophosphate 	
    Thallium sulfate 	
    
    Toluene 	
    
    Toxaphene 	
    Tfichiorfon 	
    Trichlorethylene 	
    Trichlorophenol 	
    
    
    
    
    
    Triethanoiamine
    dodecylbenzenesulfonate.
    Triethylamine 	
    Trimethylamine 	
    Uranyi acetate 	
    Uranyl nitrate 	
    
    Vanadium pentoxide 	
    Vanadyl sulfate 	
    Vinyl acetate 	
    Vinylidene chloride 	
    
    Xylene (mixed) 	
    
    
    Xylenol 	
    Zinc acetate 	
    Zinc ammonium chloride 	
    CAS No. Synonyms I Isorne'S
    i . 	 .
    
    61792072 	 I 	
    1928478
    25168154
    13560991
    
    72548
    93721
    32534955
    
    78002
    107493
    10031591
    	 j 	
    	 | 	
    Acetic acid (2.4.5-trichlorophenoxy)-sodium j 	
    salt {
    ODD 	 ' 	
    Propanoic add 2-12. 4.5-trichlorophenoxyj ... • 	
    Propanoic acid. 2-(2,4,5-trichlorophenoxy)- 	
    isooctyl ester. ;
    Lead tetraethyl. TRL 	 : 	
    TEPP 	 ; 	
    
    7446186 	
    108883 ToSuol. methylbenzene. phenylmethane 	
    Methaciae.
    8001352
    Camphechlor 	
    52686 Dipterex 	
    79016 Ethylene trichloride 	 ! 	
    25167822 Collunosol, Dowicide 2 or 25. Omal, ' (2,3,4-)
    Phenachlor. ; (2.3.5-) . .
    I (2.3,6-) ...
    ! (2.4.5-1 	
    (2,4,6-) ....
    (3,4.5-) .. .
    27323417 	
    
    121448 	 . 	
    75503 TMA 	 ' 	
    541093 	 	
    10102064 	
    36478769
    1314621
    27774136
    1 08054
    75354
    
    1330207
    
    
    1300716
    557346
    14639975
    Vanadsc anhydride, vanadic acid anhydride 	 ; 	
    Vanadic sulfate, vanadium sulfate 	
    Acetic acid ethylene ether 	 : 	
    1,1-dichlorethylene 	 ! 	
    1.1-dichloroethene 	 j 	
    Dimethylbenzene 	 I m- 	
    Xylol 	 i o- 	
    j P- 	
    Dimethylphenoi. hydroxydimethylbenzene . .. ] 	
    	 i 	
    	 | 	
    | CAS No
    i
    
    
    
    
    |
    
    
    
    
    
    
    
    
    
    
    
    
    
    15950660
    1 933788
    1 933755
    95954
    '. 88062
    I 609198
    I 	
    
    
    
    
    
    i
    
    . j 	
    
    
    
    . i 108383
    . : 95476
    . I 106423
    
    
    
    Zinc borate  	
    Zinc bromide 	
    Zinc carbonate  	
    Zinc chloride 	
    Zinc cyanide 	
    Zinc fluoride 	
    Zinc formate 	
    Zinc hydrosulfite 	
    Zinc nitrate  	
    Zinc phenolsulfonate 	
    Zinc phosphide	
    Zinc silicofiuoride 	
    Zinc sulfate  	
    Zirconium nitrate  	
    Zirconium potassium fluoride
    Zirconium sulfate 	
    Zirconium tetrachloride 	
                   14639986
                   52628258
                    1332076
                    7699453 i 	
                    3486359 .' 	
                    7646857  Butler of zinc 	
                     557211 i 	
                    7783495 I 	
                     557415 j 	
                    7779864 j 	
                    7779886 | 	
                     127822 ! Zinc sulfocarbolate  	
                    1314847 I 	
                   16871719 | Zinc fluosilicate 	
                    7733020 ! White vitriol, zinc vitriol, white copperas
                   13746899 j 	
                   16923958 ! 	
                   14644612 | Disulfatozirconic acid 	
                   10026116 i 	
          TABLE  116.4B—LIST OF HAZARDOUS
             SUBSTANCES BY CAS NUMBER
                                             TABLE 116.4B—LIST OF HAZARDOUS
                                          SUBSTANCES BY CAS NUMBER—Continued
        CAS No.
                              Common name
                                                          CAS No.
                                                                                 Common name
    50000	
    50293 ..
    | Formaldehyde
    ! DDT
    51285 	
    52686 	
    1 2.4-Dinitrophenol
     rrichlorfon
                                                   115
    

    -------
    §116.4
            40 CFR Ch. I (7-1-04 Edition)
         TABLE 116.4B—LIST OF HAZARDOUS
      SUBSTANCES BY CAS NUMBER—Continued
       TABLE 116.4B—LIST OF HAZARDOUS
    SUBSTANCES BY CAS NUMBER—Continued
       CAS No
                         Common name
    	
    56382 	
    56724
    57249 	
    57749 	
    58899 	
    60004 	
    
    60571
    62533 	
    62737 	
    63252 	
    64186 	
    64197 	
    65850 	
    67663 	
    71432 	
    72208 	
    72435 	
    72548 	
    74895 	
    74908 	
    74931 	
    75047 	
    75070 	
    75150 	
    75207 	
    75445 	
    75503 	
    75649 	
    75865 	
    75990 	
    76448 	
    78002 	
    78795 	
    78819 	
    79094 	
    79312 	
    79367 	
    80626 	
    85007 	
    86500 	
    87865 	
    88755 	
    91203 	
    91225 	
    93765 	
    93798
    94111 	
    94757 	
    94791 	
    94804 	
    95476 	
    95487 	
    98011 	
    98884 	
    98953 	
    99650 	
    100027 	
    100254 	
    100414 	
    100425 	
    100447 	
    100470 	
    105464 	
    106423 	
    106445 	
    107028 	
    107051 	
    107131 	
    107153 	
    107186 	
    Parathion
    Coumapnos
    Strychnine
    Chlordane
    Lindane
    Ethylenediaminetetraacetic
    acid (EDTA)
    Dieldrin
    Aniline
    Dichlorvos
    Carbaryl
    Formic acid
    Acetic acid
    Benzole acid
    Chloroform
    Benzene
    Endrin
    Methoxychlor
    TDE
    Monomethylamine
    Hydrogen cyanide
    Methyl mercaptan
    Monoetnylamine
    Acetaldehyde
    Carbon disulfide
    Calcium carbide
    Phosgene
    Trimethylamine
    tert-Butylamine
    Acetone cyanohydrin
    2,2-Dichloropropionic acid
    Heptachlor
    Tetraethyl lead
    Isoprene
    iso-Butylamine
    Propionic acid
    iso-Butyric acid
    Acelyl chloride
    Methyl methacrylate
    Diquat
    Guthion
    Pentachlorophenol
    o-Nitrophenol
    Naphthalene
    Quinoline
    2,4.5-T acid
    2.4,5-T ester
    2,4-D ester
    2,4-D acid
    2,4-D ester
    2,4-D Butyl ester
    o-Xylene
    c— Cresol
    Furfural
    Benzoyl chloride
    Nitrobenzene
    m-Dinitrobenzene
    p-Nitrophenol
    p-Dinitrobenzene
    Ethylbenzene
    Styrene
    Benzyl chloride
    Benzonitriie
    sec-Butyl acetate
    p-Xylene
    p-Cresol
    Acrolein
    Allyl chloride
    Acrylonitrile
    Ethylenediamine
    Allyl alcohol
    CAS No.
    107493 	
    107926 	
    108054 	
    108247 	
    108316 	
    108383 	
    108394 	
    108463 	
    108883 	
    108907 	
    108952 	
    109739 	
    109897 	
    110167 	
    110178 	
    110190 	
    110827 	
    115297
    115322 	
    117806 	
    121211 	
    121299 	
    121448 	
    121755 	
    123626 	
    123864 	
    123922 	
    124403 	
    124414 	
    127822 	
    133062 	
    142712 	
    143339 	
    151508 	
    298000 	
    298044 	
    300765 	
    301042 	
    309002 	
    315184 	
    329715 	
    330541 	
    333415 	
    506774 	
    506876 	
    506967 	
    513495 	
    528290 	
    540885 	
    541093 	
    542621 	
    543908 	
    544183 	
    5S4847 	
    557211 	
    557346 	
    557415 	
    563122 	
    573568 	
    592018 	
    592041 	
    592858 	
    592870 	
    625161 	
    626380 	
    628637 	
    631618 	
    815827 	
    1066304 	
    1066337 	
    1072351 	
    Common name
    Tetraethyl pyrophosphate
    n-Butyric acid
    Vinyl acetate
    Acetic anhydride
    Maleic anhydride
    m-Xylene
    m-Cresol
    Hesorcinol
    Toluene
    Chlorobenzene
    Phenol
    n-Butylamine
    Diethylamine
    Maleic acid
    Fumaric acid
    iso-Butyl acetate
    Cyclohexane
    Endosulfan
    Dicofol
    Dichlone
    Pyrethrin
    Pyrethrin
    Triethylamine
    Malatnion
    Prupionic anhydride
    n-Butyl acetate
    isc-Amyl acetate
    Dimethylamine
    Sodium methylate
    Zinc phenolsulfonate
    Captan
    Cupric acetate
    Sodium cyanide
    Potassium cyanide
    Methyl parathion
    Disulfoton
    Naled
    Lead acetate
    Aidrin
    Mexacarbate
    2.5-Diratrophenol
    Diuron
    Diazinon
    Cyanogen chloride
    Ammonium carbonate
    Acetyl bromide
    sec-Butyiamine
    o-Dinitrobenzene
    tert-Butyl acetate
    Uranyl acetate
    Barium cyanide
    Cadmium acetate
    Cobaltous formate
    m-Nitropheno
    Zinc cyanide
    Zinc acetate
    Zinc formate
    Ethion
    2 6-Dinitrophenol
    Calcium cyanide
    Mercuric cyanide
    Mercuric thiocyanate
    Lead thiocyanate
    tert-Amyl acetate
    sec-Amy! acetate
    n-Amyl acetate
    Ammonium acetate
    Cupric tartrate
    Chromic acetate
    Ammonium bicarbonate
    Lead stearate
                                         116
    

    -------
    Environmental Protection Agency
    
          TABLE 116.4B—LIST  OF HAZARDOUS
       SUBSTANCES BY CAS NUMBER—Continued
                                                                                      §116.4
    
                                                 TABLE 116.4B—LIST OF  HAZARDOUS
                                             SUBSTANCES BY CAS NUMBER—Continued
        CAS No.
    
    1111780 	
    1185575 	
    1194656 ..
    1300716 	
    1303282 	
    1303328 	
    1303339 .   .
    1309644  	
    1310583 	
    1310732
    1314621   .
    13K803 	
    1314847 	
    1314870 	
    1319773 	
    1320189 	
    1327533	
    1330207 	
    1332076 	
    1333831 	
    1336216 	
    1336363 	
    1338245 	
    1341497 	
    1762954 	
    1863634  	
    1918009 	
    1928387 	
    1928478 	
    1928616 	
    1929733 	
    2545597 	
    2764729 	
    2921882 	
    2944674 	
    2971382 	
    3012655 	
    3164292 	
    3251238 	
    3486359 	
    5893663 	
    5972736 	
    6009707 	
    6369966 	
    7428480 	
    7440235 	
    7446084 	
    7446142 	
    7447394 	
    7558794 	
    7601549 	
    7631892 	
    7631905 	
    7632000 	
    7645252 	
    7646857 	
    7647010 	
    7647189 	
    7664382 	
    7664393 	
    7664417 	
    7664939 	
    7681494 	
    7681529 	
    7697372 	
    7699458 	
    7705080 	
    7718549 	
    7719122 	
    7720787 	
    7722647 	
               Common name
    
    Ammonium carbamate
    Ferric ammonium citrate
    Oichlobenil
    Xylenol
    Arsenic pentoxide
    Arsenic bisulfide
    Arsenic trisulfide
    Antimony trioxide
    Potassium hydroxide
    Sodium hydroxide
    Vanadium pentoxide
    Phosphorus pentasulfide
    Zinc phosphide
    Lead sulfide
    Cresol (mixed)
    2,4-D  ester
    Arsenic trioxide
    Xylene
    Zinc borate
    Sodium bitiuoride
    Ammonium hydroxide
    Polychlorinated biphenyls
    Naphthenic acid
    Ammonium bifluoride
    Ammonium thiocyanate
    Ammonium benzoale
    Dicamba
    2,4-D  esters
    2,4.5-T ester
    2,4-D  ester
    2.4-D  ester
    2.4.5-T ester
    Diquat
    Chlorpyrifos
    Ferric ammonium oxalate
    2,4-D  ester
    Ammonium citrate, dibasic
    Ammonium tartrate
    Cupric nitrate
    Zinc carbonate
    Cupric oxalate
    Ammonium oxalate
    Ammonium oxalate
    2,4,5-T ester
    Lead stearate
    Sodium
    Selenium oxide
    Lead sulfate
    Cupric chloride
    Sodium phosphate, dibasic
    Sodium phosphate, tribasic
    Sodium arsenate
    Sodium bisulfite
    Sodium nitrite
    Lead arsenate
    Zinc chloride
    Hydrochloric acid
    Antimony pentachloride
    Phosphoric acid
    Hydrofluoric acid
    Ammonia
    Sulfuric acid
    Sodium fluoride
    Sodium hypochlonte
    Nitric acid
    Zinc bromide
    Ferric chloride
    Nickel chloride
    Phosphorus trichloride
    Ferrous sulfate
    Potassium permanganate
        CAS No.
    
    7723140 	
    7733020 	
    7758294  	
    77S8943 	
    7758954 	
    7758987 	
    7773060 	
    7775113 	
    7778441 	
    7778509 	
    7778543 	
    7779864 	
    7779886 	
    7782505 	
    7782630 	
    7782823  	
    7782867 	
    7783359 	
    7783462 	
    7783495 	
    7783508 	
    7783564 	
    7784341 	
    7784409 	
    7784410 	
    7784465 	
    7785844 	
    7786347 	
    7786814 	
    7787475 	
    7787497 	
    7787555 	
    7788989 	
    7789006 	
    7789062 	
    7789095 	
    7789426 	
    7789437 	
    7789619 	
    7790945 	
    8001352 	
    10022705 .....
    10025873 	
    10025919 	
    10026116 	
    10028225 	
    10028247 	
    10039324 	
    10043013 	
    10045893 	
    10045940 	
    10049055 	
    10099748 	
    10101538 	
    10101630 	
    10101890 	
    10102064 	
    10102188 	
    10102440 	
    10102484 	
    10108642 	
    10124502 	
    10124568 	
    10140655 	
    10192300 	
    10196040 	
    10361894 	
    10380297 	
    10415755 	
    10421484 	
    10588019 	
               Common name
    
    Phosphorus
    Zinc sulfate
    Sodium phosphate, tribasic
    Ferrous chloride
    Lead chloride
    Cupric sulfate
    Ammonium sulfamate
    Sodium chromate
    Calcium arsenate
    Potassium bichromate
    Calcium hypochlorite
    Zinc hydrosulfite
    Zinc nitrate
    Chlorine
    Ferrous sultate
    Sodium selenite
    Mercurous nitrate
    Mercuric sulfate
    Lead tiuoride
    Zinc fluoride
    Ferric fluoride
    Antimony trifluoride
    Arsenic trichloride
    Lead arsenate
    Potassium arsenate
    Sodium arsenite
    Sodium phosphate, tribasic
    Mevinphos
    Nickel sulfate
    Beryllium  chloride
    Beryllium  fluoride
    Beryllium  nitrate
    Ammonium chromate
    Potassium chromate
    Strontium chromate
    Ammonium bichromate
    Cadmium bromide
    Cobaltous bromide
    Antimony tribromide
    Chlorosulfonic acid
    Toxaphene
    Sodium hypochlorite
    Phosphorus oxychloride
    Antimony trichloride
    Zirconium tetrachloride
    Ferric sulfate
    Sodium phosphate, dibasic
    Sodium phosphate, dibasic
    Aluminum sulfate
    Ferrous ammonium sulfate
    Mercuric nitrate
    Chromous chloride
    Lead nitrate
    Chromic sulfate
    Lead iodide
    Sodium phosphate, tribasic
    Uranyl nitrate
    Sodium selenite
    Nitrogen dioxide
    Lead arsenate
    Cadmium chloride
    Potassium arsenite
    Sodium phosphate, tribasic
    Sodium phosphate, dibasic
    Ammonium bisulfite
    Ammonium sulfite
    Sodium phosphate, tribasic
    Cupric sulfate, ammoniated
    Mercurous nitrate
    Ferric nitrate
    Sodium bichromate
                                                        117
    

    -------
    Pt. 117
                                                      40CFRCh. I (7-1-04 Edition)
         TABLE H6.4B—LIST OF HAZARDOUS
      SUBSTANCES BY CAS NUMBER—Continued
    
       CAS No.              Common name
    
    11115745	  Chromic  acid
    12002038 	  Cupnc acetoarsemte
    12054487	  Nickel hydroxide
    12125018 	  Ammonium fluoride
    12125029 	  Ammonium chloride
    12135761 	 ' Ammonium siJfide
    12771083	 : Sulfur chloride
    13597994 	  Beryllium nitrate
    13746899 	 : Zirconium nitrate
    13765190	  Calcium  chromate
    13814965	 • Lead fluoborate
    13826830	  Ammonium fluoborate
    13952846	 • sec-Buiylamine
    14017415 	 : Cobaltous sulfamate
    14216752 	  Nickel nitrate
    14258492	  Ammonium oxalate
    14307358	 • Lithium chromate
    14307438	  Ammonium tartrate
    14639975 	  Zinc ammonium chloride
    14639986	 . Zinc ammonium chloride
    14644612 	 ! Zirconium sulfate
    15699180	 ; Nickel ammonium sulfate
    16721805	  Sodium hydrosulfide
    16871719	 ; Zinc silicofluoride
    16919190	 ' Ammonium silicofluoride
    16923958	 | Zirconium potassium fluoride
    25154545	 j Dinitrcbenzene
    25154556	 ; Nitrophenol
    25155300	 : Sodium dodecylbenzenesulfonate
    25167822 	 : Tnchlorophenol
    25168154 	 ; 2,4.5-T ester
    25168267	  2,4-D ester
    26264062 	 ; Calcium  dodecylbenzenesuifonate
    27176870	 : Dodecylbenzenesulfonic acid
    27323417 	 : Triethanolamine
                    dodecylbenzenesuifonate
    27774136	 : Vanadyl  sulfate
    28300745 	 j Antimony potassium tartrate
    30525894	 ; Paraformaldehyde
    36478769 	 Uranyl nitrate
    37211055 	 ; Nickel chloride
    42504461 	 \ Dodecylbenzenesuifonate
                 •   isopropanolamine
    52628258	  Zinc ammonium chloride
    52740166  	  Calcium  arsenite
    53467111 	 ' 2,4-D ester
    55488874 	 I Ferric ammonium oxalate
    61792072	 : 2,4.5-T ester
    [43 FR 10474, Mar. 13. 1978: 43 FR 27533. June
    26, 1978, as amended at 44 FR 10268. Feb. 16,
    1979: 44 FR  65400. Nov.  13. 1979: 44  FR 66602,
    Nov. 20, 1979: 54 FR 33482. Aug. 14, 1989]
    
    PART 117—DETERMINATION  OF  RE-
      PORTABLE QUANTITIES  FOR HAZ-
      ARDOUS SUBSTANCES
          Subpart A—General Provisions
    Sec.
    117.1
    117.2
    117.3
    Definitions.
    Abbreviations.
    Determination
                          of  reportable  quan-
        tities.
                                                    Subpart B—Applicability
    
                                           117.11  General applicability.
                                           117.12  Applicability  to discharges from  fa-
                                               cilities with NP1JES permits.
                                           117.13  Applicability to discharges from pub-
                                               licly owned treatment  works and their
                                               users.
                                           117.1 J  Demonstration projects.
    
                                               Subpart C—Notice of Discharge of a
                                                       Reportable Quantity
    
                                           117.21  Notice.
                                           117.23  Liabilities for removal.
                                             ArTHouiTY:  Sees.  311  and 501(a). Federal
                                           Water Pollution  Control  Act (33 U.S.C.  1251
                                           et.  seq.). ("the Act")  and  Executive  Order
                                           11735. superseded  by Executive Order 12777. 56
                                           FR 54757.
                                             SOURCE: 44 FR  50776. Aug. 29, 1979. unless
                                           otherwise noted.
      Subpart A—General Provisions
    
    SI 17.1  Definitions.
      As used in  this part, all  terms shall
    have the meanings  stated in  40 CFR
    part 116.
      (a) Reportable quantities means quan-
    tities that may be harmful  as set forth
    in §117.3, the discharge of which is  a
    violation of  section  311(b)(3)  and  re-
    quires notice  as set forth in §117.21.
      (b) Administrator means the Adminis-
    trator of the Environmental Protection
    Agency ("EPA").
      (c) Mobile source means  any  vehicle,
    rolling- stock, or  other means of trans-
    portation which  contains  or carries  a
    reportable quantity of a hazardous sub-
    stance.
      (d) Public  record means the  NPDES
    permit application or  the NPDES per-
    mit  itself and the materials comprising
    the  administrative record for the per-
    mit  decision  specified in §124.18 of this
    chapter.
      (e) National Pretreatment Standard or
    Pretreatment Standard means  any  regu-
    lation  containing pollutant  discharge
    limits  promulgated  by  the  EPA in ac-
    cordance with section 307 (b)  and  (c) of
    the  Act,  which  applies  to  industrial
    users  of a  publicly  owned  treatment
    works.  It further means  any State or
    local pretreatment  requirement appli-
    cable to a discharge and which is incor-
    porated into  a permit issued to a pub-
    licly owned treatment works under sec-
    tion 402 of the Act.
                                              118
    

    -------
    Environmental Protection Agency
                                   §117.3
      if) 1'iiblicly Oit:nuil I'l'i-utnu'.ni \\'oi/.-.•> or
    i'OTW means a  treatment works as de-
    fined bv set-Lion 212 of the Aft., which is
    owned by a  State or municipality (as
    defined by  section  502(4) of the  Act,).
    This  definition  includes any sewers
    that,  convey wastewater  to  such  a
    treatment works, but does not' include
    pipes, sewers or other conveyances not,
    connected to a facility providing treat-
    ment. The term also means the munici-
    pality as defined in section 502s4s of the
    Act. which has jurisdiction over the in-
    direct discharges to and the discharges
    from such a treatment works.
      ig>  Remove  or rcuiciti! refers to re-
    moval  of  the  oil or  hazardous  sub-
    stances from the water  arid shoreline
    or the taking of such other actions as
    may be necessary to minimize or miti-
    gate  damage to the public  health  or
    welfare, including, but not  limited to.
    fish, shellfish, wildlife, and  public and
    private   property.   shorelines.   and
    beaches.
      
    -------
    §117.3
                 40CFRCh. I (7-1-04  Edition)
    TABLK  117.3—R.KPOHTABI.F.   Qr WITTIKS
      OF    HAZARDOUS    Sl'BSTAXCK.S   DKS-
      IGXATFD  Pl'RriUAXT TO  SKCTIOX  311 OF
      THK CLKAX WATKR ACT
    
      NOTE:  The first  number under the column
    headed "RQ"  is  the  reportaV>le  quantity  in
    pounds.  The  number in  parentheses is  the
    metric equivalent  in kilograms. For conven-
    ience,  tiie  table  contains a  column  headed
    "CaVesrory" which  lists  the code  letters "X".
    "A". "B". "C". and "D" associated with report-
    aide  quantities  of 1. 10. 100. 1000.  and 5000
    pounds, respectively.
      TABLE 117.3—REPORTABLE QUANTITIES OF HAZARDOUS SUBSTANCES DESIGNATED PURSUANT TO
                                   SECTION 311 OF THE CLEAN WATER ACT
                                  Materia
    
    Acetaldehyde 	
    Acetic acid 	
    Acetic anhydride 	
    Acetone cyanohydrin 	
    Acelyl bromide 	
    Acetyl chloride 	
    Acrolein 	
    Acrylonitriie 	
    Adipic acid 	
    Aldrin 	
    Allyl alcohol  	
    Allyl chloride 	
    Aluminum sulfate 	
    Ammonia  	
    Ammonium acetate 	
    Ammonium benzoate 	
    Ammonium bicarbonate 	
    Ammonium bichromate  	
    Ammonium bifluoride	
    Ammonium bisulfite 	
    Ammonium carbamate 	
    Ammonium carbonate 	
    Ammonium chloride	
    Ammonium chromate 	
    Ammonium citrate dibasic 	
    Ammonium tluoborate 	
    Ammonium fluoride	
    Ammonium hydroxide 	
    Ammonium oxalate 	
    Ammonium silicofluoride 	
    Ammonium sulfamate 	
    Ammonium suifide 	
    Ammonium sulfite 	
    Ammonium tartrate 	
    Ammonium thiocyanate 	
    Amyl acetate	
    Aniline 	
    Antimony  pentachloride 	
    Antimony  potassium tartrate 	
    Antimony  iribromide 	
    Antimony  trichloride 	
    Antimony  trifluoride	
    Antimony  trioxide 	
    Arsenic disulfide  	
    Arsenic pentoxide 	
    Arsenic trichloride 	
    Arsenic trioxide 	
    Arsenic trisulfide  	
    Barium cyanide 	
    Benzene  	
    Benzoic acid 	
    Benzonitrile  	
    Benzoyl chloride  	
    Benzyl chloride 	
    Beryllium  chloride 	
    Beryllium  fluoride 	
    Beryllium  nitrate 	
    Butyl acetate 	
    Butylamine 	
    n-Butyl phthalate 	
    Butyric acid  	
    Cadmium acetate 	
                     Category
      RQ in pounds {kilograms}
    
    I 1.000 (454)
    j 5.000 (2,2701
    ! 5.000 (2,270)
    | 10 (4 54!
    | 5.000 (2.270)
    ! 5.000 (2,270)
    ' 1 (0.454)
    : 100 (45.4)
    : 5.000 (2.270)
     1 10.454)
     100(45.4)
    i 1.000 (454)
     5.000 (2 270)
     100 (45.4)
     5,000 (2,270)
     5.000 (2,270)
     5 000 (2.270)
     10 (4.54)
     100 (45.4)
     5.000 (2,270)
     5,000 (2,270)
     5,000 (2,270)
     5,000 (2,270)
     10(4.54)
     5.000 (2,270)
     5.000 (2,270)
     100 (45.4)
     1.000 (454)
     5.000 (2.270)
     1,000 (454)
     5,000 (2,270)
    '' 100 (45.4)
    i 5.000 (2.270)
    j 5.000 (2,270)
     5.000 (2.270)
     5.000 (2,270)
     5,000 (2.270)
     1,000 (454)
     100 (45.4)
     1,000 (454)
     1.000 (454)
     1.000 (454)
     1,000 (454)
     1 (0.454)
     1 (0.454)
     1 (0.454)
     1 (0.454)
     1 (0.454)
     10 (4.54)
     10 14.54)
     5.000 (2.270)
     5,000 (2.270)
     1,000 (454)
     100 (45.4)
     1 (0.454)
     1 (0.454)
     1 (0.454)
     5,000 (2.270)
      1,000 (454)
     10 (4.54)
     5,000 (2,270)
     10 (4.54)
                                                      120
    

    -------
    Environmental  Protection Agency
                                  §117.3
      TABLE 117.3—REPORTABLE QUANTITIES OF HAZARDOUS SUBSTANCES DESIGNATED PURSUANT TO
                              SECTION 311  OF THE CLEAN WATER ACT—Continued
                                    Material
    Cadmium bromide  	
    Cadmium chloride  	
    Calcium arseriate 	
    Calcium arsenite 	
    Calcium carbide	      .   .   .
    Calcium chromate  	       	
    Calcium cyanide 	
    Calcium dodeeylbenzenesulfonate 	
    Calcium hypnchlorite 	
    Captan  	
    Carbaryl	
    Carbofuran  	
    Carbon disulfide 	
    Carbon tetrachloride ....	
    Chlordane	 .. .	
    Chlorine 	.	
    Chlorobenzene 	
    Crroro'onr	
    Chiorosulfomc acid 	      	
    Chiorpypfos  	
    Chromic acetate 	
    Chromic acid  	
    Chromic sulfase  	
    Chromous chloride 	
    Cobaitous bromide	
    CoDaltous fcrmate  	
    Cooaltous sulfamate	
    Coumaphos	
    Cresol   	
    Crotcnaldehyde 	
    Cupnc acetate 	
    Cupric acetoareenite  	
    Cupric chloride 	
    Cupnc nitrate	
    Cupnc oxalate 	
    Cupnc sultate  	
    Cupric sulfate, ammoniated  	
    Cupnc tartrate	
    Cyancgen chloride 	
    Cyclohexane	
    2.4-D Acid	       	
    2.4-D Esi.ers  	
    DDT  	
    Diazinon	
    Dicamba  	
    Dicnloberiil   	
    Dicnlone  	      	
    Dichlorobenzene	    	
    Dichloropropane 	
    Dicnloropropene 	
    Dicnlorcpropene-Dichloropropane (mixture)
    2 2-OicbloropFopsonic acid -      	
    Dichiorvos 	     	
    DicofC'i   	
    Dieidrin  	.    ..    	
    Diethylarn;rie  	     	
    Oimethylarnine	
    Din^trobenzene (mixed)  	
    Dinitfophenoi  	     	
    Dinitroloiuene  	
    Diquat    	      	
    Disulfoton	
    Diuron   	     ....
    Dodecyibenzenesuifonic acid	
    Endosulfan    	
    Endrin  	
    Epichlorchydnn	
    Ethion	
    Ethylbenzene  	
    Ethylenediamine 	
    Ethylenediamine-telraacetic acid (FDTA)  ..
        Category    '  RO in pounds (kilograms
    
     A  .      	  10 (4.54)
     A      	  10 (4.54;
     X  	  : 1 (0454)
     X  .    	 , 1 (0.454)
     A	   10(4.54;.
     A  .        .    10(1.54)
     A	! 10(1.54)
     C	  1.000(454)
     4       .  .   .  10(4.54)
     A         .  .  I 10 (4.54)
     B         . ..  : 100(454)
     A   .        .. ! 10 (454)
     B	  100 (45.4)
     A        ..     10 (4 541
     X        ....    1 (0.454)
     A	10 (4,54)
     8       .  . . .  ! 100 (45.4!
     A	i 10 (4.54)
     C	j 1.000 (454)
     X             ! 1 (0 454)
     C        .   .  ; 1.000 (454»
     A           .  i 10 (4 54i
     C  .           : 1.000 (454)
    . C  . .      .  .   • 1.000(454}
     C          . .  • 1.000 (454)
     C  .  .          1.000 (454)
     C  	    1.000 (454)
     A         ...  10 (4.54!
     B  	   ; 100 (454)
     B  .           ; 100 (454)
     B      	100(45.4)
     X        ..  . .  ' 1 (0.454)
     A       .. .  .  j 10 (4 54)
     B  .    .       ; 100 (454)
     B         ., .,  ' 100 (45.4)
     A	  10 (4.54)
     B  	    !00 (454)
     B  ..       .    100 (454)
     A      ...    MO (4.54!
     C  ..       ... i 1.000 (454)
     B          .  . ! 100 s45 4)
     B             MOO |454i
     X         ..  . ; 1 (0.454i
     X  	1 (0.454)
     C              1.000 (454i
     B	    100 (454)
     X	    1 <0.454)
     B  .            100(454)
     C          .... . 1 000 (454)
     B  .      ..   .. ' 100 (45.4)
     B  	   ; 100 (45.4)
     D      	| 5.000(2.270)
     A       .   ..  . ; 10 !4 54)
     A          .  , ; 10 (4.54)
     X  .           ! 1 10454)
     B          ..MOO (454)
     C   .           t 000 (454)
     R   .       ..   100(454!
     A  .      ...  10 (45.4)
     A	10 (4.54)
     C   .        . i 1.000 (454)
                   1 1 (04541
                   : 100 (45.4)
                .   . 1.000 (454)
     X	M {0 454)
     X	' 1 (0.454)
     B	   100 (454)
     A  ....      . ..  10 (4,54)
     C  ..        .  . ' 1.000 (454)
     D        .    .  5,000 (2,270.1
     t)        .... 5.000 (2.270)
                                                         121
    

    -------
    §117.3
    40 CFR Ch. I (7-1-04 Edition)
     TABLE 117.3—REPORTABLE QUANTITIES OF HAZARDOUS SUBSTANCES DESIGNATED PURSUANT TO
                       SECTION 311 OF THE CLEAN WATER ACT—Continued
                           Material
                                                           Category
                RQ in pounds (kilograms)
    Ethylene dibromide 	
    Ethylene dichloride 	
    Ferric ammonium citrate 	
    Ferric ammonium oxalate 	
    Ferric chloride 	
    Ferric fluoride 	
    Ferric nitrate 	
    Ferric suitate 	
    Ferrous ammonium suitate 	
    Ferrous chloride 	
    Ferrous sulfate 	
    Formaldehyde 	
    Formic acid 	
    Fumaric acid 	
    Furfural 	
    Guthion 	
    Heptachlor 	
    Hexachlorocyclopentadiene 	
    Hydrochloric acid 	
    Hydrofluoric acid 	
    Hydrogen cyanide 	
    Hydrogen sulfide 	
    Isoprene 	
    Isopropanolamine dodecyibenzenesulfonate 	
    Kepone 	
    Lead acetate
    Lead arsenate 	
    Lead chloride 	
    Lead fluoborate 	
    Lead fluoride 	
    
    
    Lead sulfate 	
    Lead sulfide 	
    Lead thiocyanate 	
    Lindane 	
    Lithium chromate 	
    Malathion 	
    Maleic acid 	
    Maleic anhydride 	 	
    Mercaptodimethur 	
    Mercuric cyanide 	
    Mercuric nitrate 	
    Mercuric sulfate 	
    Mercuric thiocyanate 	
    Mercurous nitrate 	
    Methyl mercaptan 	
    Methyl methacrylate 	
    Methyl parathion 	
    Mevinphos 	
    Mexacarbate 	
    Monoethylamine 	
    Monomethylamine 	
    Naled 	
    Naphthalene 	
    Naphthenic acid 	
    Nickel ammonium sulfate 	
    Nickel chloride 	
    Nickel hydroxide 	
    Nickel nitrate 	
    Nickel sulfate 	
    Nitrobenzene 	
    Nitrogen dioxide 	
    Nitre-phenol (mixed) 	
    Nitrotoluene 	
    Paraformaldehyde 	
    Parathion 	
    Pentachlorophenol 	
    X 	 : 1 (0 454)
    B 	 ; 100 (45.4)
    C 	 ! 1.000 (454)
    C 	 : 1.000 (454)
    C 	 1.000 (454)
    B 	 100 (45 4)
    C 	 I 1.000 (454)
    C 	 1.000 (454)
    C 	 I 1.000 (454)
    B 	 I 100 (45.4)
    C 	 1,000 (454)
    B 	 100 (45.4)
    D 	 5000(2.270)
    D 	 5,000 (2.270)
    D 	 5,000 p. 270)
    X 	 i 1 (0.454)
    X 	 1 (0454)
    A 	 10 (4.54)
    D 	 5.000 (2.270)
    B 	 100 (454)
    A 	 10 (4.54)
    B 	 100 (45,4)
    B 	 ; 100 (45,4)
    C 	 : 1.000 (454)
    X 	 1 (0.454)
    A 10 (4 54)
    X 	 1 (0454)
    A 	 10 (4.54)
    A 	 10 (4.54)
    A 	 ; 10 (4.54)
    A '• 10 (4 54)
    A ! in (4 54)
    A i 10 (4 54')
    A 	 | 10 (454)
    A 	 | 10 (4.54)
    A 	 ; 10 (4.54)
    X 	 : 1 (0.454)
    A 	 : 10 (4.54)
    B 	 100 (45.41
    D 	 5.000 (2.270)
    D 	 5.000 (2.270)
    A 	 10 (454)
    X 	 1 (0.454)
    A 	 10 (4.54)
    A 	 10 (4 54)
    A 	 10 (454)
    A 	 10 (4.54)
    X 1 (0 454)
    B 	 100 (45.4)
    C 	 1.000 (454)
    B 	 100 (45.4)
    A 	 10 (4.54)
    C 	 1.000 (454)
    B 	 I 100 (454)
    B 	 ! 100 (454)
    A 	 i 10 (4.54!
    B 	 ! 100 (45.4)
    B 	 ! 100 (45.4)
    B 	 > 100 (45.4)
    B 	 : 100 (45.4)
    A 	 : 10 (4.54)
    B 	 100 (454)
    B 	 100(45.4)
    C 1 000 (454)
    C 	 1.000 (454)
    A 	 10 (4.54)
    B 	 100 (45.4)
    C 	 • 1.000 (454)
    C 	 : 1.000 (454)
    A 	 I 10 (4.54)
    A 	 ! 10 (4.54)
                                            122
    

    -------
    Environmental Protection Agency
    §117,3
      TABLE 117.3—REPORTABLE QUANTITIES OF HAZARDOUS SUBSTANCES DESIGNATED PURSUANT TO
                               SECTION 311 OF THE CLEAN WATER ACT—Continued
                                                                                 Category    .  RQ m pounds [kilograms)
    Phenol   .  ,  	..
    Phosgene  	,,	,
    Phosphoric add .  .,,
    Phosphorus 	., 	
    Phosphorus oxychloride 	,,	
    Phosphorus pentasuifide
    Phosphorus trichloride  ,	
    Polychlorinated biphenys	<
    Potassium arsenate	.
    Potassium arsemte  	
    Potassium bichromate  ,
    Potassium chrornate	  . ..   ........
    Potassium cyanide	 ...    ......
    Potassium hydroxide  	, . ..
    Potassium permanganate     .    	
    Propargite .,...,.„.,.	,	
    Propionic acid ,	.....
    Propionic anhydride 	
    Propylene oxide	-
    Pyrethrins	
    QuinolJne  ,.	, 	
    Resorcmol ,	  ,,	,	  .
    Selenium oxide
    Stiver nitrate ....  	,
    Sodium  	,,	,   . ,.....
    Sodium arsenate
    Sodium arsenite  .,	
    Sodium bichromate ..,.	,,
    Sodium bifiuond© .,,,,,,		
    Sodium bisulfite
    Sodium chfomate	 ,
    Sodiurr cya'iiete .	     	
    Sodiurr dodecyibenzenesu-fonate
    Sodium fluoride
    Sodium hydrosuffide ... ,	
    Sodium hydroxide
    Sodium hypochlorite
    Sodium methylate	
    Sodium nitrite   ..,	
    Sodium phosphate, dibasic	
    Sodium phosphate, Iribasic
    Sodium setenite ,,.,...,
    Strontium chrornate  .,....,.....,.	,., . ...
    Strychnin©   .... , ,. ,, ..,, 	
    Styrane    	
    Sulturic acid .,,...,,,...,..	 ......
    Sulfur mofiGChloride	,.  .   . ..
    2.4,5-Tacid	
    2,4.5-T amines  .  .	    .
    2A5-T esters .  ,. ,..,...,,
    2,4,5-T sails  	-
    TOE 	
    2,4,5-TP acid
    2,4.5-TP acid esters
    Tetraethyl lead	,	
    Tetraethyl pyrophosphale . .      	
    Thallium suPate  ,,.,, ,,,.  .....
    Toiuene ,..,..,.,...„,....,,...,	   .  . .....,
    Toxaphene ...  ,	,..  ....,,...  ....
    Trichiorfon ... ..		
    Trichloroelhylene ..... ........	   ..  .
    Trichlorophenoi	
    Triethanolam;ne dodecyibenzenesuitonate
    Triethyiarnine 	,
    TriTtethylamine  ,,    ..... ....
    Uranyl acetate	
    Uranyl ntlrate 	,	
    Vanadium pentoxide
    Vanadyl sulfate
    Viny! acetate	
    Vinyiidene chloride  .. ,.	  .	
    c
    A
    D .
    X
    C .
    B
    
    X .
    X .
    A ,.
    A
    A ...
    A ...
    C . .
    8 .
    A ..
    D
    D ... .
    B ..
    X
    D
    D .
    A
    X
    A ...
    •^
    X .. .
    A . .
    B ... .
    D
    A
    A
    Q
    C
    D .. .
    C .
    B
    c
    B
    D
    0 .. .
    B . ..
    A .
    A
    C .. .
    C. . ..
    c
    c .
    D
    0
    c
    X .
    B .. . .
    B .
    A . ..
    A
    B ...
    •^
    X ...
    B
    B
    A . .
    C . ..
    u . ..
    B
    B
    B 	
    C
    C
    D . .
    P
    . . . . : 1,000 (454l
    .. . ! 10 (4.54)
    .... ! 5000 (2.270)
    11 (0454)
    . \ 1 .000 (454!
    .. . IOC (45 4i-
    1.000 (454)
    . 1 (0.454)
    ; 1 (0.454)
    . ' 1 (0.454!
    .... ; !0 (4. 54)
    .... MO :4.54!
    	 I 10 (4.54)
    .... 1 1.000 (4541
    . ! 100 (45.4)
    . ... i 10 (4.54)
    	 ' 5,000 (2.270)
    .... '. 5,000(2,270)
    .... 100 (45.4)
    1 (0.4541
    ... . 5.000 (2.270)
    . 5.000 (2.270)
    .. . 10 (4.541
    	 t (0.454)
    	 10 (4,54)
    1 (0454)
    I 1 (0454)
    . .. j 10 (4.54)
    .. . . i 100(45.4)
    . . ! 5.000 (2.270!
    , ., . j 10 (4.541
    .. . I 10 -,4 54)
    	 ' 1,000(454)
    1,000(454)
    5,000 (2.270)
    	 1,000(454)
    . . 100 (45.4)
    . . . 1.000 !454)
    . ' 100 (45.4)
    .. . : 5.000 (2.270;
    , ! 5.000 (2.270)
    .. .. : 100 (45.4)
    . : 10(4.54)
    10 (4.54)
    ... 1 .000 (454i
    	 1,000(454)
    	 1,000 {454)
    ..... 1.000 (454)
    5,000 (2.270)
    1.000 (4541
    ''• 1.000 (454'
    . i 1 (0454)
    .... : 100 i45 41
    . , '. 100 (45.4)
    . .. 10(4.54)
    10(454)
    100(454)
    . , 1.000 (454!
    1 (0,454)
    100 (45.4)
    : 100 (45 4)
    10(454>
    .... 1.000(454;
    . . . 5.000 i,2, 270)
    100 (454)
    . 100 (45.4)
    . '. 100 (454)
    .. ' 1.000 (454)
    1.000 (454)
    5.000 (2,270)
    . ... '. (00 (454)
                                                          123
    

    -------
    §117.11
                                                       40CFRCh. I (7-1-04 Edition)
     TABLE 117.3—REPORTABLE QUANTITIES OF HAZARDOUS SUBSTANCES DESIGNATED PURSUANT TO
                       SECTION 311 OF THE CLEAN WATER ACT—Continued
                           Material
    Xylene (mixed)
    Xylenol
    Zinc acetate
    Zinc ammonium chloride
    Zinc borate
    Zinc bromide
    Zinc carbonate
    Zinc cnloride
    Zinc cyanide
    Zinc fluoride
    Zinc formate
    Zinc hydrosulfite
    Zinc nitrate
    Zinc phenolsulfonate
    Zinc phosphide
    Zinc silicofluoride
    Zinc sulfate
    Zirconium nitrate
    Zirconium potassium fluori
    Zirconium sulfate
    Zirconium tetrachloride
                    ide ...
                                                          Category
                                                                    RO in pounds (kilograms)
    
    B
    C 	
    C 	
    C 	
    C 	
    C 	
    C 	
    C 	
    A 	
    C 	
    C . .
    C 	
    C 	
    D 	
    B
    D 	
    C 	
    D 	
    C 	
    D 	
    D 	
    
    	 100(454)
    	 1.000 (454)
    	 1,000 (454)
    	 1.000(454)
    	 1,000(454)
    	 ' 1.000 (454)
    	 1.000 (454)
    	 1.000(454)
    	 10 14.54)
    	 1000(454;
    	 1.000 (454)
    	 1.000(454)
    	 1.000(454)
    	 5.000(2,270)
    	 100(45.4)
    	 5.000(2.270)
    	 ' 1.000 (454)
    	 i 5.000 (2.270)
    	 i 1.000 (454)
    	 ; 5.000 (2,270)
    	 j 5.000 (2.270)
    [50 FR 13513. Apr. 4. 1985. as amended at. 51 FR 3-1517. Sept. 29. 1986: 54 FR 33482
    58 FR 35327. June 30. 1993; 60 FR 30937. Jane 12. 1995]
                                                                         Aug. 14. 1989:
          Subpart B—Applicability
    
    § 117.11  General applicability.
      This  regulation sets forth a  deter-
    mination of the reportable quantity for
    each substance designated as hazardous
    in 40  CFR part 116. The regulation ap-
    plies  to quantities of designated  sub-
    stances equal to or greater than the re-
    portable  quantities,  when discharged
    into or  upon the  navigable waters of
    the  United States,  adjoining  shore-
    lines, into or upon the contiguous zone.
    or beyond the contiguous  zone as pro-
    vided in section 311(b)(3) of the Act. ex-
    cept to  the extent that the  owner or
    operator can show such that discharges
    are made:
      (a)  In compliance  with  a  permit
    issued  under the Marine  Protection.
    Research and  Sanctuaries  Act of 1972
    (33U.S.C. 1401 etseq.);
      (b)  In  compliance  with  approved
    water treatment  plant operations  as
    specified by local  or  State regulations
    pertaining to safe drinking water;
      (c)  Pursuant  to the label directions
    for application of a  pesticide product
    registered under section 3  or section 24
    of the  Federal Insecticide. Fungicide.
    and   Rodenticide   Act  (FIFRA).   as
    amended (7 U.S.C. 136 et seq.1. or pursu-
    ant to  the  terms and conditions of an
                                             experimental use  permit issued under
                                             section 5 of FIFRA. or pursuant  to  an
                                             exemption  granted under section 18 of
                                             FIFRA;
                                               (d) In  compliance  with  the regula-
                                             tions issued under section 3004 or with
                                             permit conditions issued  pursuant  to
                                             section 3005 of  the Resource Conserva-
                                             tion and  Recovery Act (90 Stat. 2795: 42
                                             U.S.C. 6901);
                                               (e) In compliance with instructions of
                                             the  On-Scene Coordinator pursuant to
                                             40 CFR part 1510 (the National Oil and
                                             Hazardous  Substances Pollution  Plan)
                                             or  33  CFR 153.10(e) (Pollution by  Oil
                                             and Hazardous  Substances) or  in  ac-
                                             cordance with applicable removal regu-
                                             lations   as    required   by   section
                                               (ft  In  compliance  with  a  permit
                                              issued  under §165.7  of Title  14  of the
                                              State  of  California  Administrative
                                              Code;
                                               (g) From a properly functioning inert
                                              ,gas system when used to provide inert
                                              gas to the cargo tanks of a vessel;
                                               (h) From a permitted  source and are
                                              excluded by §117.12 of this regulation;
                                               (i)  To  a  POTW and  are  specifically
                                              excluded or reserved in §117.13: or
                                               (j)  In  compliance with  a  permit
                                              issued under section  404(a) of the Clean
                                              Water Act or  when  the discharges are
                                          124
    

    -------
    Environmental Protection Agency
                                 §117.13
    exempt from such requirements by sec-
    tion 404(f) or 404(r) of the Act (33 U.S.C.
    1344(al. (f). (r)),
    
    SI 17.12  Applicability  to  discharges
        from facilities with NPDES permits.
      (a) This regulation  does not apply to:
      (1) Discharges  in compliance with a
    permit under section 402 of this Act:
      (2)  Discharges  resulting  from  cir-
    cumstances  identified,  reviewed  and
    made a part of the public record with
    respect to  a permit issued or modified
    under  section 402 of this Act. and sub-
    ject to a condition in  such permit;
      (3) Continuous or  anticipated inter-
    mittent discharges from a point, source.
    identified in a permit or permit appli-
    cation under section  402 of this Act.
    which  are  caused by events occurring
    within the scope of  the relevant oper-
    ating or treatment systems; or
      (b)  A  discharge is  "in compliance
    with a permit issued under section  402
    of this Act" if the permit contains an
    effluent limitation specifically applica-
    ble to  the substance discharged or an
    effluent  limitation  applicable  to  an-
    other waste parameter which has been
    specifically identified in the permit as
    intended to limit such substance,  and
    the discharge is in compliance with the
    effluent limitation.
      (cs  A  discharge results  "from  cir-
    cumstances  identified,  reviewed  and
    made a part of the public record with
    respect to  a permit issued or modified
    under  section 402 of the Act. and sub-
    ject to  a  condition  in such permit."
    whether or not the discharge is in com-
    pliance with the permit, where:
      (1) The permit application, the per-
    mit, or another  portion of the public
    record contains  documents  that spe-
    cifically identify:
      (it The substance and the amount of
    the substance; and
      «ii) The origin and source of the sub-
    stance: and
      (iii)  The  treatment  which  is to  be
    provided for the discharge either by:
      (A) An on-site treatment system sep-
    arate  from any treatment   system
    treating the  permittee's normal  dis-
    charge; or
      (B) A treatment system designed to
    treat the permittee's normal discharge
    and  which  is additionally  capable of
    treating the identified amount, of the
    identified substance; or
        Any combination  of the above:
    and
      (2s  The permit  contains a  require-
    ment that the substance and amounts
    of  the  substance,  as  identified  in
    §117.12  be
    treated pursuant, to §117.12(c)O'tiin in
    the event of an on-site release; and
      (3> The treatment to be provided is in
    place.
      (d)  A discharge  IK a '"continuous or
    anticipated    intermittent   discharge
    from  a point  source, identified in a per-
    mit  or permit application under sec-
    tion  402  of  this Act. and caused  by
    events occurring within the  scope of
    the  relevant operating  or treatment
    systems," whether or not the discharge
    is in compliance with the permit, if:
      (1)  The hazardous  substance is  dis-
    charged from a point source lor which
    a valid permit exists or for which a per-
    mit  application has been  submitted:
    and
      (2)  The discharge of  the hazardous
    substance results from:
      (i) The  contamination  of noncontact
    cooling water or storm water, provided
    that such cooling water or storm water
    is not contaminated by an on-sife spill
    of a hazardous substance: or
      >ii)   A  continuous  or  anticipated
    intermittent discharge of process waste
    water,  and  the  discharge originates
    within the manufacturing or treatment
    systems: or
      fiiii An upset or failure of  a  treat-
    ment system or of a process producing
    a continuous or anticipated intermit-
    tent discharge where the upset or fail-
    ure results from a control problem, an
    operator error, a system  failure or mal-
    function,  an  equipment  or  system
    startup  or   shutdown,   an  equipment
    wash, or a production schedule change.
    provided that such upset or failure is
    not caused by an on-site spill  of a haz-
    ardous substance.
    f+4 PR 50778. AUK J9. 1979, . K"\)i
    
    S117.13 Applicability  to   discharges
       from  publicly   owned treatment
       works and their users.
      *a) [Reserved]
      (b) These regulations apply to all dis-
    charges of reportable quantities to  a
                                         125
    

    -------
    §117.14
              40 CFR Ch. I (7-1-04 Edition)
    POTW,  where the discharge originates
    from  a  mobile source, except  where
    such  source has  contracted with,  or
    otherwise received written permission
    from  the owners  or operators of the
    POTW to discharge  that quantity, and
    the mobile  source can  show that prior
    to accepting the substance from an in-
    dustrial discharger,  the substance had
    been treated to comply with any  efflu-
    ent limitation under sections 301. 302 or
    306 or  pretreatment   standard  under
    section 307 applicable to that facility.
    
    SI 17.14  Demonstration projects.
      Notwithstanding any other provision
    of this  part, the Administrator of the
    Environmental    Protection   Agency
    may.  on a case-by-case basis, allow the
    discharge of designated hazardous sub-
    stances in connection with research  or
    demonstration projects relating to the
    prevention, control, or abatement  of
    hazardous substance pollution. The Ad-
    ministrator will allow such a discharge
    only where he  determines that the  ex-
    pected   environmental  benefit  from
    such a discharge will outweigh the po-
    tential  hazard  associated with the dis-
    charge.
    
    Subpart C—Notice of Discharge  of
           a Reportable Quantity
    
    §117.21  Notice.
      Any person in charge of a vessel  or
    an onshore or an offshoz'e facility  shall.
    as soon as he has knowledge of any dis-
    charge  of a designated hazardous sub-
    stance from such vessel  or facility  in
    quantities equal to or exceeding in any
    24-hour period  the reportable quantity
    determined by  this  part,  immediately
    notify the  appropriate agency of the
    United  States Government of such dis-
    charge. Notice  shall  be given in accord-
    ance  with such procedures as the Sec-
    retary of Transportation has set forth
    in 33 CFR  153.203,  This  provision  ap-
    plies  to all discharges not specifically
    excluded or reserved by another section
    of these regulations.
    
    § 117.23  Liabilities for  removal.
      In any case  where a substance des-
    ignated as hazardous in 40 CPR part 116
    is discharged from  any  vessel or on-
    shore or offshore facility in a quantity
    equal  to or exceeding the reportable
    quantity determined by this part, the
    owner,  operator or person  in charge
    will  be  liable,  pursuant to section  311
    ff) and  (g) of  the  Act.  to the United
    States Government for the actual costs
    incurred in the removal of such sub-
    stance, subject only to the defenses and
    monetary  limitations  enumerated  in
    section 311 (f) and (g) of the Act.
    The Administrator may act to mitigate
    the damage to the public health or wel-
    fare  caused by  a discharge and the cost
    of such  mitigation  shall be  considered
    a, cost, incurred under section 311(c) for
    the removal  of that substance by the
    United States Government.
    
    PART   121—STATE  CERTIFICATION
      OF ACTIVITIES REQUIRING A FED-
      ERAL LICENSE OR PERMIT
    
              Subpart A—General
    121.3 Contents of application.
      Subpart B—Determination of Effect on
                 Other States
    
    121.11  Copies of documents.
    123.12  Supplemental information.
    121.13  Review by  Regional Administrator
       and notification.
    121.14  Forwarding to affecteO State.
    121.15  Hearing's  on objection  of  affected
       State.
    121.16  Waiver.
    
         Subpart C—Certification by the
                 Administrator
    
    121.21  When Administrator certifies.
    121.22  Applications.
    121.23  Notice and hearing.
    121.2-!  Certification.
    121.£5  Adoption of new water quality stand-
       ards.
    121.26  Inspection of facility or activity be-
       fore operation.
    121.27  Notification to licensing or  permit-
       ling agency.
    121.28  Termination of suspension,
    
            Subpart D—Consultations
    
    121.30  Review and advice.
    
      ALTHORITY: Sec. 21 (b)  and ic), 84 Stat. 91
    (33 U.S.C, 1171(b) (1970)); Reorganization Plan
    No. 3 of 1970.
                                         126
    

    -------
    Environmental Protection Agency
                                 §121.11
            Subpart A—General
    
    SI 21,1  Definitions.
      As  used  in  this parr, the  following
    terms shall have the  meanings  indi-
    cated below;
      (a)  [Avenue  or permit means any  li-
    cense or permit granted by an agency
    of the Federal Government to conduct
    any activity which may result in any
    discharge into the navigable waters of
    the United States,
      (b)  Licensing or  permitting  aycncy
    means any agency of the Federal Gov-
    ernment to which application is made
    for a license or permit.
      sc) Administrator means the  Adminis-
    trator.    Environmental   Protection
    Agency.
      (d)  Regional Administrator means the
    Regional designee appointed by the Ad-
    ministrator, Environmental Protection
    Agency.
       Certifying agency means the person
    or agency  designated by the Governor
    of a State, by statute, or by other gov-
    ernmental  act.  to  certify compliance
    with  applicable water duality stand-
    ards.  If an interstate agency has sole
    authority  to  so certify for  the  area
    within its jurisdiction, such interstate
    agency  shall be the  certifying agency.
    Where a State agency and an interstate
    agency  have  concurrent  authority  to
    certify, the State agency shall be the
    certifying- agency. Where water quality
    standards have been  promulgated  by
    the Administrator pursuant to section
    10icS(2> of the Act, or where DO State or
    interstate agency has authority to cer-
    tify,  the  Administrator shall be  the
    certifying agency.
      if) Act means the  Federal Water Pol-
    lution Control Act. 33 TJ.S.C. 1151 vA ,v«/.
      (gi  Water  quality  standard*  means
    standards established pursuant 10 sec-
    tion 10(c) of the Act. and State-adopted
    water duality standards for  navigable
    waters which are not interstate waters.
    
    § 121.2  Contents of certification.
      (a) A  certification  made by  a  certi-
    fying  agency   shall   include  the fol-
    lowing:
      ( 1 I The  tlAlfir
    ij'.icant:
      '.'2' A statement,  that  i-he  certifying
    Agency has either '!) exaimneii th<~ ap
    plication  made by the applicant to the
    licensing  or permitting agency ;specifi~
    rally identifying  the  number or  code
    affixed to such  application)  and bases
    its certit'icatlo!! upon  an evaluation of
    the information contained in such ap-
    plication  which  is  relevant  to water
    Duality considerations, or tin examined
    other information furnished by the ap-
    plicant sufficient  to permit  the certi-
    fying  agency  to make  the statement
    described  in  paragraph  taxSi of  this
    section;
      (3) A statement that there is a rea-
    sonable assurance  that  the activity
    will  be conducted in  a  manner which
    will  not violate applicable water qual-
    ity standards;
      (4) A statement  of any conditions
    which  the certifying' agency deems nec-
    essary or  desirable with  respect- to the
    discharge,  of the activity: and
      (5) Such other information as the cer-
    tifying agency may determine to be ap-
    propriate.
      (b) The  certifying agency may mod-
    ify the certification in such manner as
    may be agreed upon by  the  certifying
    agency, the   licensing  or permitting
    agency, and  I he  Regional   Adminis-
    t rater,
    
    S 121.3  Contents of application.
      A  licensing' 01   permitting agency
    shall require an applicant for a  license
    or permit  to include in the form of ap-
    plication  such information relating to
    water quality  considerations as may be
    atrreed upon by the licensing or permit-
    ting agency and  the Administrator.
    
    Subpart B—Determination of Effect
              on Other States
    
    § 121.11 Copies of documents.
      ias Upon receipt- from an  applicant of
    an application for a license  or  permit
    without   an  accompanying  certifi-
    cation, the  licensing  or permitting
    agency shall  either: (1) Forward one
    copy of the application  to the  appro-
    priate certifying agency and two copies
    to the Regional Administrator, or <2i
    forward three  copies of the application
                                         127
    

    -------
    §121.12
              40 CFR Ch. i (7-1-04 Edition)
    to the Regional Administrator, pursu-
    ant to an agreement  between  the  li-
    censing or permitting' agency  and the
    Administrator  that the Regional Ad-
    ministrator will transmit a copy of the
    application to the  appropriate  certi-
    fying agency. Upon subsequent receipt
    from  an  applicant of a.  certification.
    the  licensing  or  permitting'   agency
    shall  forward a  copy  of such  certifi-
    cation to the Regional Administrator.
    unless such certification shall  have
    been  made  by the Regional Adminis-
    trator pursuant to §121,24.
      (b) Upon receipt from an applicant of
    an application for  a license  or permit
    with  an  accompanying  certification.
    the  licensing  or  permitting   agency
    shall forward two copies of the  applica-
    tion and  certification  to  the Regional
    Administrator.
      (c) Only those  portions of  the appli-
    cation which relate to  water quality
    considerations shall  be forwarded  to
    the Regional Administrator.
    
    § 121.12  Supplemental information.
      If  the  documents forwarded to the
    Regional  Administrator by the licens-
    ing or permitting agency pursuant to
    §121.11 do not contain sufficient infor-
    mation for the Regional Administrator
    to make the  determination provided
    for in §121.13, the Regional Adminis-
    trator may request, and  the licensing
    or permitting agency shall obtain from
    the applicant and  forward to  the Re-
    gional   Administrator,   any   supple-
    mental information as may be  required
    to make such determination.
    
    § 121.13  Review  by Regional Adminis-
        trator and notification,
      The Regional Administrator  shall re-
    view the application, certification, and
    any supplemental information provided
    in accordance  with §§121.11  and 121.12
    and if the Regional Administrator de-
    termines there is reason to believe that
    a discharge  may affect the  quality of
    the waters of an:/ State or States other
    than  the State in which the discharge
    originates, the Regional Administrator
    shall, no later than 30 days of  the date
    of receipt of the application and cer-
    tification from the licensing  or permit-
    ting agency as provided  in  §121.11. so
    notify each  affected State, the licens-
    § 121,14  Forwarding to affected State.
      The  Regional  Administrator  shall
    forward to each affected State a copy
    of the material provided in accordance
    with §121.11.
    
    § 121,15  Hearings  on objection of af-
       fected State,
      When  a.  licensing or permitting agen-
    cy holds a public hearing on  the objec-
    tion  of an affected State, notice of such
    objection,  including  the grounds  for
    such objection,  shall be forwarded  to
    the Regional Administrator  by  the  li-
    censing  or permitting agency no later
    than 30  days prior to such hearing. The
    Regional  Administrator shall at such
    hearing submit his evaluation with re-
    spect to  such  objection and his rec-
    ommendations as to whether and under
    what conditions the license  or permit
    should be  issued.
    
    §121.16  Waiver.
      The certification  requirement with
    respect  to an application for a license
    or permit shall be waived upon:
      (a)  Written  notification  from  the
    State or  interstate  agency  concerned
    that it  expressly waives its authority
    to act on  a request for certification; or
      (b) Written notification from the  li-
    censing  or permitting  agency  to  the
    Regional  Administrator of  the  failure
    of the State or interstate agencsr con-
    cerned to act on. such request for cer-
    tification within a reasonable period of
    time after receipt of such request,  as
    determined by  the licensing  or permit-
    ting agency  (which period  shall  gen-
    erally be considered to be  6 months,
    but  in  any event shall not exceed 1
    year).
    In the event of a waiver hereunder. the
    Regional  Administrator shall consider
    such waiver as a substitute for a cer-
    tification, and as  appropriate, shall
    conduct the  review, provide the  no-
    tices, and perform the  other functions
    identified in §§121.13, 121.14,  and 121.15.
    The  notices required by §121.13 shall be
    provided  not later  than 30  days after
    the date of receipt by the Regional Ad-
    ministrator of either notification re-
    ferred to herein.
                                         128
    

    -------
    Environmental Protection Agency
                                  §121,24
      Subpart C—Certification by the
                Administrator
    
    S 121.21  When Administrator certifies.
      Certification  by the  Administrator
    that the  discharge  resulting from  an
    activity  requiring a license or permit
    will not.  violate applicable water qual-
    ity standards will be required where:
      ia> Standards have been promulgated,
    in whole  or in  part, by  the Adminis-
    trator pursuant to  section  10(c)(2) of
    the  Act:  Provided, however, That  the
    Administrator will certify  compliance
    only with respect  to those water qual-
    ity standards promulgated by him; or
      (b.)  Water  quality  standards have
    been established, but no State or inter-
    state agency has authority to give such
    a certification,
    
    8121.22  Applications.
      An  applicant  for  certification from
    the Administrator shall submit  to the
    Regional Administrator a complete de-
    scription  of the discharge involved in
    the activity for which  certification is
    sought, with a request for certification
    signed by the applicant. Such descrip-
    tion shall include the following:
      (a) The name  and address of the ap-
    plicant:
      (b) A description of the facility or ac-
    tivity, and of any discharge into navi-
    gable waters  which may  result from
    the conduct of any activity including.
    but not limited to. the  construction or
    operation of the facility, including the
    biological,  chemical,  thermal, and
    other characteristics of the discharge,
    and the location or locations at  which
    such  discharge  may enter navigable
    waters:
      (c) A description of the function and
    operation of equipment or facilities to
    treat wastes or other effluents  which
    may be discharged, including specifica-
    tion of  the  degree  of treatment  ex-
    pected to be attained:
      id) The date or dates on which the ac-
    tivity will begin and end, if known, and
    the date  or dates on  which the dis-
    charge will take place:
      (e) A description of the methods and
    means being used  or proposed to mon-
    itor the quality and characteristics of
    the  discharge and  the  operation  of
    equipment or facilities employed  in the
    treatment or control of wastes or other
    effluents.
    
    S 121.23  Notice and hearing.
      The Regional Administrator will pro-
    vide public  notke of each  request for
    certification  by  mailing  to  State.
    County,   and  municipal  authorities,
    heads of State agencies responsible for
    water quality improvement, and other
    parties  known to be  interested in the
    matter,  including  adjacent  property
    owners and conservation organizations.
    or may provide such  notice in a news-
    paper of general circulation in  the area
    in which the activity is proposed to be
    conducted if the  Regional Adminis-
    trator deems mailed  notice to be  im-
    practicable. Interested parties  shall be
    provided  an  opportunity to comment
    on such request, in such manner as the
    Regional  Administrator deems appro-
    priate. All interested and affected par-
    ties  will be  given reasonable oppor-
    tunity to present evidence and testi-
    mony at a public hearing on the ques-
    tion whether  to  grant or deny certifi-
    cation if the Regional  Administrator
    determines that, such a hearing is nec-
    essary or appropriate.
    
    § 121.24  Certification.
      If. after considering the complete de-
    scription, the record of a  hearing,  if
    any. held pursuant to §121,23, and such
    other information and data as the Re-
    gional Administrator deems  relevant.
    the Regional Administrator determines
    that there is reasonable assurance that
    the proposed activity will not result in
    a violation of applicable water quality
    standards, he shall so  certify. If the Re-
    gional Administrator determines that
    no water quality  standards are applica-
    ble to the waters which might be af-
    fected by  the proposed  activity,  he
    shall so notify the applicant and the li-
    censing or permitting agency  in writ-
    ing and shall provide the  licensing or
    permitting agency with advice, sugges-
    tions, and recommendations  with re-
    spect to conditions to be incorporated
    in any  license  or  permit  to  achieve
    compliance  with the purpose of this
    Act. In such case, no certification shall
    be required
                                         129
    

    -------
    §121.25
              40 CFR Ch, I (7-1-04 Edition)
    § 121.25 Adoption of new water quality
        standards.
      (a) In any case where:
      (1) A license  or permit  was issued
    without  certification  due  to  the ab-
    sence  of  applicable   water   quality
    standards; and
      (2) Water quality standards  applica-
    ble to the  waters into which the li-
    censed or permitted activity may dis-
    charge  are subsequently  established;
    and
      (3) The Administrator is the certi-
    fying agency because:
      (i) No State or interstate agency lias
    authority to certify; or
      (ii) Such new standards were promul-
    gated  by  the  Administrator pursuant
    to section 10(c)(2) of the Act: and
      (4) The Regional Administrator de-
    termines that such uncertified activity
    is violating water quality standards;
    Then the  Regional Administrator shall
    notify  the licensee or permittee of such
    violation,  including his  recommenda-
    tions as to  actions necessary for  com-
    pliance.  If  the  licensee  or permittee
    fails within 6 months of the   date of
    such notice to take action which in the
    opinion of the Regional Administrator
    will result in  compliance with  applica-
    ble water quality standards,  the Re-
    gional Administrator  shall  notify the
    licensing or permitting agency  that the
    licensee or  permittee  has failed,  after
    reasonable notice, to comply with such
    standards and that suspension of the
    applicable license or permit is  required
    by section 21(b)(9;
    -------
    Environmental Protection Agency
                                                                                 Pf. 122
    for which a license or permit is sought,
    The Regional Administrator may.  and
    upon request shall, also advise licens-
    ing" and permitting agencies as to the
    status  of compliance  by  dischargers
    with  the conditions and  requirements
    of applicable water quality standards.
    In cases where an activity  for  which a
    license or permit is sought will affect
    water quality, but, for which there are
    no  applicable water quality standards.
    the Regional Administrator may advise
    licensing or  permitting' agencies  with
    respect to conditions of such license or
    permit to achieve compliance with the
    purpose of the Act.
    
    PART 122—EPA ADMINISTERED PER-
      MIT  PROGRAMS:  THE  NATIONAL
      POLLUTANT   DISCHARGE    ELIMI-
      NATION SYSTEM
    
        Subpart A—Definitions and General
              Program Requirements
    Sec,
    122,1
    122.2
    122,3
    122.4
          Purpose and scope.
          Definitions.
          Exclusions.
          Prohibitions  (applicable  to   State
       NPDES Programs, see §123.25),
    122,5  Effect of a permit
    122.6  Continuation of expiring' permits,
    122.7  Confidentiality of information.
    
    Subpart B—Permit Application and Special
          NPDES Program Requirements
    
    122.21 Application for a  permit (applicable
       to State programs, see §123,25).
    122,22 Signatories to  permit  applications
       and  reports  (applicable  to State  pro-
       grams, see §123,25).
    122,23 Concentrated  animal feeding  oper-
       ations (applicable to State NPDES pro-
       grams, see §123.25)
    122.24 Concentrated aquatic  animal  produc-
       tion  facilities  (applicable  to   State
       NPDES prog-rams, see §123.25),
    122.25 Aquaculture  projects (applicable to
       State NPDES programs, see §123.25),
    122.36 Storm water dischursfes (applicable to
       State NPDES programs, see §123.25).
    122.27 Silvteuitural  activities (applicable to
       State NPDES programs, see § 123.251.
    122.28 General permits (applicable to  State
       NPDES programs, see §123.25),
    122,29 New sources and new dischargers.
    122.30 What are  the objectives of the storm
       water regulations for small MS4s?
    122.31 As a Tribe, what is my role under the
       NPDES storm water program''
    122.32  As an operator of a small MS4. am I
        regulated under the NPDES storm water
        program?
    122.33  If I am an operator  of  a regulated
        small MS4. how do I apply for an NPDES
        permit and when do I have to apply?
    122.34  As an operator of a regulated small
        MS4, what will  my  NPDES MS4 storm
        water permit require?
    122.35  As an operator of a regulated small
        MS4, may I  share the responsibility  to
        implement the minimum control meas-
        ures with other entities?
    122.36  As an operator of a regulated small
        MS4. what happens if I don't comply with
        the  application or permit requirements
        in §§122.33 through 122.35?
    122.37  Will the small MS4 storm water pro-
        grain  regulations at  §§122.32  through
        122.36 and §123.35 of this  chapter change
        in the future?
    
           Subpart C—Permit Conditions
    
    122.41  Conditions applicable to all  permits
        (applicable   to  State   programs,  see
        1123,25>.
    122.42  Additional conditions applicable  to
        specified  categories  of NPDES  permits
        (applicable to State NPDES programs.
        see 1123.25i,
       43  Establishing  permit  conditions  (ap-
        plicable to State programs, see §123.25).
       44  Establishing  limitations, standards
        and other  permit conditions  (applicable
        to State  NPDES programs, see §123.25).
    ".22,45  Cak.ulai.ine  NPDES  permit  condi-
        tions (applicable  to  State NPDES  pro-
        exams, see §123.25).
    122.46  Duration  of  permits   (applicable  to
        State programs, see §123.25).
    122.47  Schedules of compliance,
    122.48  Requirements for recording1  and  re-
        porting of monitoring results (applicable
        to State  programs, see §123.25).
    122.49  Considerations under Federal law.
    122,50  Disposal of pollutants into wells, into
        publicly  owned treatment works or by
        land  application  (applicable  to State
        NPDES programs, see §123.251.
    
    Subpart D—Transfer, Modification, Revoca-
        tion and Reissuance, and Termination
        of Permits
    
    122.SI  Transfer  of  permits  (applicable  to
        State programs see §123.25).
    122.62  Modification    or   revocation   and
        reissuanee  of  permits  (applicable   to
        State programs, see § 123.25),
    122.63  Minor modifications of permits.
    122.64  Termination of permits (applicable  to
        State programs, see §123.25).
    APPENDIX  A  TO Pun-  122--NPDES  PRIMARY
        IXDUSTEY CATEGORIES
    Ai'i'ENnrx B TO PAKT 122 [RKtsKKYicnl
                                            131
    

    -------
    §122.1
              40 CFR Ch. I (7-1-04 Edition)
    APPENDIX C TO PART 122- CRITERIA FDH DE-
       TERMINING A CONCKNTKATKlJ Agl'ATIC' ANi-
       MAL PRODUCTION FACILITY t§ 122.24)
    Ai'PBNnrx D TO  PART  122—NPDES PERMIT
       APPLICATION   TESTING   RKQUIRKMKNTS
       (§122.21)
    APPENDIX E TO PART 122—RAINFALL ZONKS or
       THE UNITED STATF.K
    APPENDIX  F TO  PART  122—INCORPORATION
       PLACES  WITH  POPULATIONS  GRKATKH
       THAN 250,000 ACCORDING  TO THE 1990 DE-
       CENNIAL CENSUS BY THE BUREAU OK THK
       CENSUS
    APPENDIX  & TO  PART  122—INCORPORATED
       PLACES  WITH  POPULATIONS  GREATER
       THAN 100,000 BUT LESS THAN 250.000 AC-
       CORDING TO THS 1990 DECENNIAL CENSUS
       BY THK BUREAU OF THE CENSUS
    APPENDIX H TO PART 122—COUNTIES WITH UN-
       INCORPORATED URBANIZED AREAS WITH A
       POPULATION OF 250.000 OB Mom: ACCORD-
       ING TO THE 1990 DECENNIAL CENSUS BY THE
       BUREAU OF THE CENSUS
    APPENDIX I TO PART 122—COUNTIES WITH UN-
       INCORPORATED URBANIZED AKKA.S OKKAT-
       KK THAN 100.000, BUT LESS THAN 250.000
       ACCORDING TO THE 1990 DECENNIAL CENSUS
       BY THE BUREAU OF THE CENSUS
    APPENDIX J TO PART  122—NPDES PERMIT
       TESTING REQUIREMENTS  FOR PUBLICLY
       OWNED TREATMENT WORKS (§122.21(.n)
      AUTHORITY; The Clean Water Act. 33 U.S.C.
    1251 e( seg.
      SOURCE: 48 FR 14153. Apr. 1,  1983. unless
    otherwise noted.
    
        Subpart A—Definitions and
      General Program Requirements
    
    § 122,1  Purpose and scope.
      (a) Coverage. (1) The regulatory provi-
    sions contained in this part and parts
    123. and 124 of this chapter implement
    the   National  Pollutant   Discharge
    Elimination System (NPDES) Program
    under sections 318. 402, and  405 of the
    Clean Water Act 
    -------
    Environmental Protection Agency
                                   §122.2
    Act. Part C of the Safe Drinking Water
    Act, the Marine Protection, Research,
    and  Sanctuaries  Act  of  1972,  or the
    Clean  Air Act,  or under State permit
    programs  approved  by the  Adminis-
    trator as  adequate to assure compli-
    ance with section 405 of the CWA.
      (3) The Regional Administrator may
    designate  any  person  subject  to the
    standards  for sewage  sludge  use and
    disposal as a "treatment works treating
    domestic  sewage" a.s defined  in  § 122,2.
    where   the  Regional   Administrator
    finds that a permit, is necessary to pro-
    tect public health and the  environment
    from the  adverse  effects of  sewage
    sludge or  to  ensure compliance with
    the technical  standards for sludge use
    and disposal developed under CWA sec-
    tion 405(d). Any person designated as a
    "treatment works  treating  domestic
    sewage" shall submit, an application for
    a permit  under  §122.21 within  180 days
    of being notified  by the  Regional Ad-
    ministrator that a permit is required.
    The Regional  Administrator's decision
    to designate a person as a "treatment
    works  treating1 domestic sewage" under
    this paragraph  shall be stated in the
    fact sheet or statement of basis for the
    permit,
      [NOTE TO §122.1; Information concerning1
    the NPDES program and its regulations can
    be obtained by contacting- the  Water Permits
    Diviston(4203). Office of Waste-water Manage-
    ment, U.S.E.P.A.. Ariel Rios  Building. 1200
    Pennsylvania Avenue. NW.. Washington. DC
    20460 at (2Q2) 260-9545 and by visiting  the
    homepage at http:- www.epa.govowm-'J
    J65 FR 30904. May 15, 2000]
    
    S 122.2 Definitions.
      The  following definitions  apply  to
    parts 122.  123. and 124. Terms nol de-
    fined in this section  have  the meaning
    given by CWA. When a defined terns ap-
    pears in  a definition, the defined term
    is   sometimes  placed  in  quotation
    marks as an aid to readers.
      Administrator  means  the  Adminis-
    trator  of the United States Environ-
    mental Protection Agency, or an au-
    thorized representative.
      Animal feeding operation  is defined at
    §122.23.
      Applicable standard-is  and  limitations
    means all State, interstate, and federal
    standards and  limitations to which a
    "discharge," a "sewage sludge use or dis-
    posal practice." or a related activity is
    subject, under the CWA, including "ef-
    fluent  limitations."   water   quality
    .standards, standards  of performance.
    toxic  effluent standards  or  prohibi-
    tions,  "best  management  practices."
    pretreatment standards, and "standards
    for  sewage  sludge use or  disposal"
    under sections 301. 302. 303. 304. 306. 307.
    308. 403 and 405 of CWA.
      Application means the EPA standard
    national forms for applying for a per-
    mit., including any additions, revisions
    or modifications* to the forms: or forms
    approved  by  EPA for  use in "approved
    states." including any approved modi
    Hcations or revisions.
      Appro red program or  approved  State
    .means a  State or interstate program
    which has been approved or authorized
    by EPA under part 123.
      Aquaculturc  project   is   defined   at
    f122.25.
      Average monthly  discharge  limitation
    means the highest allowable average of
    "daily  discharges"  over  a  calendar
    month, calculated as the  sum  of all
    "daily discharges"  measured  during a
    calendar month divided  by  the number
    of "daily  discharges"  measured during
    that month.
      Average  icKckli/  discharge  limitation
    means the highest allowable average of
    "daily  discharges"  over  a  calendar
    week,  calculated as  the  sum  of  all
    "'daily discharges"  measured  during a
    calendar week divided by  the number
    of "daily  discharges"  measured during
    that week.
      Best mancici(-ini'nt  practices  ("RMPs")
    means schedules  of activities, prohibi-
    tions of practices,  maintenance  proce-
    dures, and other management practices
    io prevent or  reduce  the pollution  of
    "waters of the United  States."  BMPs
    also include treatment requirements.
    operating1 procedures,  and practices  to
    control plant  site runoff,  spillage  or
    leaks,  sludge  or  waste disposal,   or
    drainage from raw material  storage.
      BMPs means "best management prac-
    tices."
      Class  I  -iludffc  management  facility
    means any  POTW  identified under  40
    CPR 403.8(a)  as being  required to have
    an approved pretreatment program (in-
    cluding such POTWs located in a State
    that has elected  to assume local pro-
    gram responsibilities  pursuant  to  40
                                         133
    

    -------
    §122.2
              40 CFR Ch, I (7-1-04 Edition)
    CFR 403.10(e.S) and any other treatment
    works treating' domestic sewage classi-
    fied as a Class I sludge management fa-
    cility by  the  Regional Administrator.
    or. in the case of approved State pro-
    grams, the Regional  Administrator in
    conjunction with the State Director.
    because of the potential for its sludge
    use or disposal practices to  adversely
    affect public  health  and the  environ-
    ment.
      Bypass is defined at §122.41(m>.
      Concentrated animal feeding operation
    is defined  at §122.23.
      Concentrated aquatic  animal  feeding
    operation is defined at §122.24.
      Contiguous   zone  means the  entire
    zone established  by  the United States
    under Article 24  of the Convention on
    the Territorial Sea and the Contiguous
    Zone.
      Continuous  discharge  means  a "dis-
    charge" which occurs without interrup-
    tion throughout the  operating- hours of
    the facility, except for infrequent shut-
    downs   for    maintenance,    process
    changes, or other similar activities.
      CWA means the Clean Water Act (for-
    merly referred to as the Federal Water
    Pollution  Control Act or Federal Water
    Pollution  Control Act Amendments of
    1972) Public Law  92^500. as amended by
    Public Law 95-217.  Public Law 95-576.
    Public Law 96-483 and  Public Law 97-
    117. 33 U.S.C. 1251 et sag,
      CWA and regulations means the Clean
    Water Act (CWA) and applicable regu-
    lations promulgated thereunder. In the
    case of an approved State program, it
    includes State program requirements.
      Daily  discharge  means the "discharge
    of a pollutant" measured during  a cal-
    endar day or any 24-hour period that
    reasonably represents the calendar day
    for purposes of sampling. For pollut-
    ants  with  limitations expressed  in
    units of mass, the "daily discharge" Is
    calculated as the total mass of  the pol-
    lutant discharged over the  day. For
    pollutants with  limitations  expressed
    in other  units of measurement,  the
    "daily  discharge" is calculated  as  the
    average measurement of the pollutant
    over the day.
      Direct discharge means the "discharge
    of a pollutant."
      Director  means the Regional Adminis-
    trator  or the  State  Director, as  the
    context requires, or  an authorized rep-
    resentative. When there is no ''approved
    State program." and  there  is an EPA
    administered   program.    "Director"
    means  the  Regional  Administrator.
    When there is an approved State pro-
    gram. "Director"  normally  means  the
    State Director. In some circumstances.
    however. EPA retains the authority to
    take certain act-ions even when there is
    an approved State program.  (For exam-
    ple,  when. EPA has issued  an NPDES
    permit prior to the  approval of a State
    program. EPA may retain jurisdiction
    over  that  permit  after  program  ap-
    proval,  see  §123.1.)  In such cases,  the
    term "Director" means  the  Regional
    Administrator and not the State Direc-
    tor.
      Discharge  when used  without  quali-
    fication means the  "discharge of a pol-
    lutant."
      Discharge of a pollutant  means:
      (at Any addition of any "pollutant" or
    combination of pollutants to "waters of
    the  United States" from any  "point
    source." or
      
    means the EPA uniform  national form.
    including any subsequent additions, re-
    visions, or modifications for the report-
    ing of self-monitoring results by per-
    mittees. DMRs must be used by "ap-
    proved States" as well as by EPA. EPA
    will  supply  DMRs  to  any  approved
    State upon request. The EPA national
    forms may be modified to substitute
    the State  Agency name, address, logo.
    and  other  similar information,  as  ap-
    propriate, in place of EPA's.
                                         134
    

    -------
    Environmental Protection Agency
                                   §122.2
      DMR  means "Discharge  Monitoring'
    Report."
      Draft  permit means a document  pre-
    pared under §124.6 indicating the Direc-
    tor's  tentative  decision  to  issue or
    deny, modify, revoke and reissue,  ter-
    minate, or reissue a "permit." A notice
    of intent to terminate a permit;, and a
    notice of intent  to  deny a permit, as
    discussed in §124.5. are types of "draft
    permits." A  denial  of a request   for
    modification,  revocation  and  reissu-
    ance. or termination, as  discussed in
    §124.5. is not a "draft permit." A "pro-
    posed permit" is not a "draft permit."
      Effluent limitation means any  restric-
    tion imposed by the Director on quan-
    tities, discharge  rates,  and concentra-
    tions of "pollutants" which are "dis-
    charged" from "point sources" into "wa-
    ters of  the United States." the waters
    of the "contiguous zone."  or the ocean.
      Effluent limitations guidelines means a,
    regulation published by  the  Adminis-
    trator under section 304 of CWA to
    adopt or revise "effluent limitations."
      Environmental    Protection    Agency
    ("EPA")  means  the   United   States
    Environmental Protection Agency.
      EPA means the United States "Envi-
    ronmental Protection Agency."
      Facility or activity means any  NPDES
    "point source" or any other facility or
    activity  (including  land  or  appur-
    tenances  thereto)  that  is subject, to
    regulation under the NPDES  program.
      Federal  Indian  reservation means all
    land  within the  limits of any Indian
    reservation  under  the  jurisdiction of
    the  United States  Government,  not-
    withstanding the issuance of any  pat-
    ent, and including rights-of-way  run-
    ning' through the  reservation.
      General permit  means  an   NPDES
    "permit" issued  under  §122.28  author-
    izing  a category  of  discharges under
    the CWA within a geographical area.
      Hazardous substance  means  any  sub-
    stance designated under  40  CFR  part
    116 pursuant to section 311 of CWA.
      Indian country means:
      (1) All land  within the  limits of  any
    Indian reservation under the jurisdic-
    tion of  the United States Government.
    notwithstanding  the issuance  of  any
    patent,   and.  including  rights-of-way
    running through the reservation:
      (2) All dependent Indian communities
    with the borders of the United States
    whether within the originally or subse-
    quently acquired territory thereof, and
    whether within or without the limits of
    a stale: and
      (3) All Indian  allotments, the  Indian
    titles to  which have  not been  extin-
    guished, including rights-of-way run-
    ning through the same.
      Indian Tribe means any Indian Tribe.
    baud, group, or  community recognized
    by the Secretary of the Interior and ex-
    ercising governmental authority  over a
    Federal Indian reservation.
      Indirect discharger means a nondomes
    tic  discharger introducing "pollutants"
    to a "publicly owned treatment works."
      Individual control strategy  i^ defined
    at 40 CFR 123.46(0.
      interstate agency means an agency of
    two or  more  States established by  or
    under  an agreement  or compact  ap-
    proved  by  the Congress, or  any other
    agency  of two or more  States having
    substantial powers or duties pertaining
    to  the  control  of pollution as  deter-
    mined and  approved  by  the Adminis-
    trator under the CWA and regulations.
      Major taciIitJi means  any NPDES "fa-
    cility or activity" classified as such by
    the Regional Administrator, or.  in the
    case of  "approved State  programs." the
    Regional Administrator  in conjunction
    with the State Director.
      Maximum  daily discharge  limitation
    means the highest allowable  "daily dis-
    charge."
      Municipal111/ means a city. town, bor-
    ough, county, parish,  district,  associa-
    tion, or other public body created by or
    under  State  law  and  having jurisdic-
    tion over disposal of sewage, industrial
    wastes,  or other wastes, or  an  Indian
    tribe or an authorized Indian tribal  or-
    ganization,  or  a designated and  ap
    proved management agency under sec-
    tion 208 of Ctt'A.
      Municipal  separate storm seicer  system
    is defined at §122,26 ib)(4) and <7>.
      National  Pollutant   Discharge  Elimi-
    nation  System (NPDES)  means the na-
    tional program  for issuing, modifying.
    revoking  and reissuing,  terminating.
    monitoring and  enforcing permits,  and
    imposing  and enforcing  pretreatment
    requirements, under  sections 307.  402.
    318, and 405  of CWA. The term includes
    an "approved piogram,"
      New  discharger means  any  building.
    structure, facility, or installation:
                                         135
    

    -------
    §122.2
              40 CFR Ch. I (7-1-04 Edition)
      (a) Prom which there is or may  be a
    "discharge of pollutants;"
      (b) That did not commence the "dis-
    charge  of pollutants" at  a particular
    "site" prior to August 13, 1979:
      (c) Which is not a "new source:" and
      (d) Which has never received a finally
    effective NDPES permit for discharges
    at that "site."
    This definition   includes  an "indirect
    discharger"   which   commences  dis-
    charging  into  "waters of  the United
    States" after August 13, 1979. It also in-
    cludes  any existing mobile point  source
    (other  than an  offshore or coastal oil
    and  gas exploratory drilling rig  or a
    coastal oil and gas developmental drill-
    ing rig) such as a seafood processing
    rig, seafood processing vessel, or aggre-
    gate plant, that begins discharging at a
    "site" for  which  it does not have a per-
    mit; and any offshore or coastal mobile
    oil and gas  exploratory drilling rig or
    coastal mobile   oil  and  gas  develop-
    mental drilling rig that commences the
    discharge of pollutants after August 13.
    1979. at a  "site" under EPA's permitting
    jurisdiction for  which it is not covered
    by an individual or general permit and
    which  is located in an area determined
    by the  Regional Administrator  in the
    issuance of a final permit to be an  area
    or biological  concern.  In determining
    whether an area is an area of biological
    concern,  the  Regional  Administrator
    shall consider the factors  specified in
    40 CFR 125.122(a) (1) through (10).
    An offshore  or  coastal mobile explor-
    atory drilling rig or coastal mobile de-
    velopmental  drilling rig will be consid-
    ered a  "new discharger" only for the du-
    ration  of  its discharge in  an area of bi-
    ological concern.
      New   source   means  any  building.
    structure, facility, or installation from
    which  there  is or may be a "discharge
    of  pollutants,"   the  construction of
    which commenced:
      (a) After promulgation  of  standards
    of performance  under section  306 of
    CWA  which  are applicable  to  such
    source, or
      (b) After proposal of standards  of per-
    formance in accordance  with section
    306 of  CWA which are  applicable to
    such source, but only if  the  standards
    are  promulgated in accordance  with
    section 306 within 120 days of their pro-
    posal.
      NPDES  means  "National  Pollutant
    Discharge Elimination System."
      Oicner or operator means the owner or
    operator of any "facility or activity"
    subject to regulation under the NPDES
    program.
      Permit means  an authorization,  li-
    cense,  or equivalent control document
    issued  by EPA or an "approved  State"
    to implement the requirements of this
    part and parts 123 and 124. "Permit" in-
    cludes   an  NPDES  "general  permit"
    (§122.28). Permit does not include any
    permit which  has not yet been the sub-
    ject of  final agency action,  such as a
    "draft permit" or a "proposed  permit."
      Person means  an individual, associa-
    tion, partnership, corporation, munici-
    pality.  State  or Federal agency, or an
    agent or employee thereof.
      Point  source means  any discernible.
    confined, and discrete conveyance,  in-
    cluding but not limited  to. any pipe,
    ditch,  channel,  tunnel,  conduit, well.
    discrete  fissure,  container,   rolling
    stock,  concentrated animal feeding  op-
    eration. landfill  leachate  collection
    system, vessel or other floating craft
    from which pollutants are or may be
    discharged. This term does not include
    return flows from irrigated agriculture
    or  agricultural  storm  water  runoff.
    (See §122.3).
      Pollutant  means dredged spoil, solid
    waste,  incinerator residue, filter back-
    wash, sewage, garbage, sewage  sludge,
    munitions, chemical wastes, biological
    materials,  radioactive materials  (ex-
    cept those regulated under the Atomic
    Energy Act of  1954.  as amended  (42
    U.S.C.  2011 et seq.n.  heat, wrecked or
    discarded equipment, rock, sand, cellar
    dirt and industrial, municipal, and  ag-
    ricultural waste discharged into  water.
    It. does not mean:
      (a) Sewage from vessels; or
      (b)  Water,  gas,  or other material
    which  is injected into a well to facili-
    tate production of oil or gas. or water
    derived in  association with oil and  gas
    production and disposed of in a well, if
    the well used either to  facilitate pro-
    duction or for disposal purposes is  ap-
    proved  by authority  of  the State in
    which  the well  is located,  and  if  the
    State determines that the injection or
    disposal will not result in the degrada-
    tion of  ground  or  surface  water  re-
    sources.
                                         136
    

    -------
    Environmental Protection Agency
                                   §122.2
      NOT]:;  Radioactive  materials  covered by
    the Atomic Energy Act are those encom-
    passed in its definition of source, byproduct,
    or special  nuclear materials. Examples  of
    materials not covered include  radium and
    accelerator-produced  isotopes. See  Train  v.
    Cohiructr, Public Inleresi Rt'scarch  Group. Inc.,
    426 U.S. 1 (1976).
      POTW Is  defined at  §403.3  of  this
    chapter.
      Primary industry  category means any
    Industry category  listed in  the NRDC
    settlement  agreement,   (Natural  Re-
    sources Defense Council et al,  v. Train, 8
    E.R.C.  2120 (D.D.C. 1976). modified 12
    B.R.C. 1833 (D.D.C.  1979)); also listed in
    appendix A of part 122.
      Privately   owned   treatment   works
    means any  device  or system which is
    (a) used to treat wastes from any facil-
    ity whose operator1 is not the operator
    of the treatment works and (b) not a
    "POTW."
      Process  wastewater means  any water
    which, during  manufacturing' or proc-
    essing, comes into  direct contact with
    or results from the  production or use of
    any  raw material,  intermediate prod-
    uct,  finished  product,  byproduct, or
    waste product.
      Proposed  permit   means   a   State
    NPDES  "permit"  prepared  after  the
    close of  the  public comment period
    (and. when applicable, any public hear-
    ing and administrative appeals) which
    is sent  to EPA for review before  final
    issuance by the State. A "proposed per-
    mit" is not a "draft  permit."
      Publicly owned treatment works is de-
    fined at 40 CPB 403.3.
      Recommencing  discharger  means  a
    source  which  recommences  discharge
    alter terminating operations.
      Regional Administrator  means the Re-
    gional  Administrator  of the  appro-
    priate  Regional Office of the Environ-
    mental  Protection  Agency or the au-
    thorized representative of the Regional
    Administrator.
      Schedule of compliance means a sched-
    ule of remedial measures included  in a
    "permit",  including  an  enforceable se-
    quence, of interim requirements  (for ex-
    ample,  actions,  operations,  or mile-
    stone events)  leading  to compliance
    with the CWA and regulations.
      Secondary  industry  category  means
    any  industry category  which is not a
    "primary industry category."
      Secretary means the  Secretary  of tht-
    Army, acting- through the Chief  of En-
    gineers.
      SeplMie  means the  liquid and solid
    material pumped from a  septic- tank,
    cesspool,  or  similar domestic  sewage
    treatment  system, or a  holding tank
    when the system is cleaned  or  main-
    tained.
      Sewage  rrom  resaeh  means  human
    body  wastes  and the wastes from toi-
    lets  and other receptacles intended to
    receive  or retain body wastes that are
    discharged from vessels and regulated
    under section 312 of CWA. except that
    with respect  to commercial vessels on
    the  Great Lakes this term includes
    graywater, For the purposes of this def-
    inition,  ''graywater"   means   galley.
    hath, and shower water.
      Sewage Sludge means any solid, semi-
    solid, or liquid residue removed  during
    the  treatment  of  municipal   waste
    water  or  domestic  sewage.  Sewage
    sludge includes, but is not limited  to.
    solids  removed  during  primary,  sec-
    ondary, or advanced waste water treat-
    ment,  scum,  septage,  portable  toilet
    pumpings.  type III  marine sanitation
    device pumpings (33  CFR  part 159), and
    sewage sludge products. Sewage  sludge
    does not include grit or screenings, or
    ash generated  during  the incineration
    of sewage sludge.
      Sewage sludge use  or disposal practice
    means the collection,  storage,  treat-
    ment, transportation, processing, mon-
    itoring,  use,  or  disposal  of  sewage
    sludge.
      Silvicultural point source is defined at
    §122.27
      Site means  the land or  water area
    where any "facility or activity" is pli3rs-
    ically located or  conducted, including
    adjacent land used in connection with
    the facility or activity.
      Sludge-only facility means any "treat-
    ment works treating domestic sewage"
    whose methods of sewage sludge  use or
    disposal are subject to regulations pro-
    mulgated pursuant, to section 405(d) of
    the CWA and is required to obtain a
    permit under §122.1(b)<2).
      Standards for sen-age Kludge use  or dis-
    posal means  the  regulations promul-
    gated pursuant  to section 405(d)  of the
    CWA  which govern  minimum require-
    ments for sludge quality, management
                                         137
    

    -------
    §122.2
              40 CFR Ch. I (7-1-04 Edition)
    practices, and  monitoring and report-
    ing' applicable  to sewage sludge or the
    use or disposal of sewage sludge by any
    person.
      State means any of the 50 States, the
    District of Columbia. Guam,  the Com-
    monwealth of Puerto Rico, the  Virgin
    Islands.  American  Samoa,  the  Com-
    monwealth of the Northern Mariana Is-
    lands, the Trust Territory of the Pa-
    cific Islands, or an Indian Tribe as de-
    fined in these reg'ulations which meets
    the  requirements  of  §123.31 of  this
    chapter.
      State Director means the chief admin-
    istrative officer of any  State or inter-
    state agency operating  an  "approved
    program," or the delegated representa-
    tive of the State Director. If responsi-
    bility is divided among two  or more
    State or interstate agencies. "State Di-
    rector" means the chief administrative
    officer of  the State or interstate agen-
    cy authorized to perform the particular
    procedure  or function  to which ref-
    erence is made.
      State/EPA Agreement means  an agree-
    ment between the  Regional  Adminis-
    trator and the  State which coordinates
    EPA  and  State activities, responsibil-
    ities  and  programs  including  those
    under the CWA programs.
      Storm     water     is    defined   at
    §122.26(0X13).
      Storm  water discharge  associated  with
    industrial   activity   is   defined  at
    §122.26
    -------
    Environmental Protection Agency
                                    §122.3
      <2) From which fish or shellfish are or
    could be taken and sold in interstate or
    foreign commerce: or
      (3) Which are used  or  could be used
    for industrial purposes by industries in
    interstate commerce;
      (d) All impoundments  of waters oth-
    erwise defined as waters of the United
    States under this definition:
        which also meet  the criteria
    of this definition) are not waters of the
    United  States.  This exclusion  applies
    only to manmade bodies of  water which
    neither were  originally created in wa-
    ters of  the United States (such as dis-
    posal area  in wetlands) nor resulted
    from the impoundment of waters of the
    United  States. [See Note 1 of this sec-
    tion.] Waters of the United States do
    not include  prior converted  cropland.
    Notwithstanding the determination of
    an  area's status as  prior  converted
    cropland by  any other federal agency.
    for the  purposes  of the Clean  Water
    Act.  the  final  authority  regarding-
    Clean  Water  Act jurisdiction remains
    with KPA.
      Wetlands means those areas that are
    inundated or saturated  by surface or
    ground-water at a frequency and dura-
    tion sufficient  to  support,  and that
    under  normal circumstances do sup-
    port,  a prevalence of vegetation typi-
    cally  adapted for  life in  saturated soil
    conditions. Wetlands generally include
    swamps,  marshes,  bogs,  and similar
    areas,
      Whole effluent toxicity means the ag-
    gregate  toxic  effect  of  an  effluent
    measured directly by a toxicity test.
      NOTK: At 45 FR 48620. July 21, 1980. the En-
    vironmental  Protection Agency  suspender!
    until further notice in § 122.2.  the last  sen-
    tence, beginning- "This exclusion applies . . ."
    in the definition  of "Waters of the  United
    Suites." This revision continues that, suspen-
    sion.1
    ;Clean Water Act (33 U.S.C. 1251 et «'<,'.). Safe
    Drinking  Water Act (42 U.S.C. 300f cl sea.i.
    Clean  Air Act  (42 U.S.C. 7401 et. .vcy.i. Re-
    source  Conservation and Recovery Act < 12
    r.S.C. 6901 ct .*<>
    -------
    §122.4
                                40 CFR Ch. I (7-1-04 Edition)
    conveyances owned by a State, munici-
    pality, or  other  party not leading to
    treatment works.
      (d) Any discharge in compliance with
    the instructions of an On-Scene Coordi-
    nator pursuant to 40 CPR part 300 (The
    National Oil and  Hazardous Substances
    Pollution Contingency Plan) or 33 CPR
    153.10(e)  (Pollution  by  Oil  and  Haz-
    ardous Substances).
      (e)  Any  introduction of pollutants
    from non point-source agricultural and
    silvicultural   activities.    including
    storm water runoff from orchards, cul-
    tivated  crops,  pastures,  range  lands,
    and  forest  lands, but not discharges
    from concentrated animal feeding oper-
    ations as defined in §122.23. discharges
    from concentrated aquatic animal pro-
    duction facilities as defined in §122.24.
    discharges  to aquaculture  projects as
    defined in §122.25, and discharges from
    silvicultural point sources as defined in
    §122.27.
      (f) Return flows from  irrigated agri-
    culture.
      (g) Discharges into a privately owned
    treatment  works, except as the Direc-
    tor  may   otherwise   require  under
    §122.44(m).
    L48 FR 14153. Apr. 1. 1983. as amended at 54
    FR 254. 258. Jan. 4. 1989]
    § 122.4  Prohibitions
        State    NPDES
        § 123.25).
    (applicable
    programs,
    to
      No permit may be issued:
      (a) When the conditions of the permit
    do not provide for compliance with the
    applicable  requirements  of CWA.  or
    regulations promulgated under CWA:
      (b) When the applicant is required to
    obtain  a  State  or  other  appropriate
    certification under section  401 of CWA
    and §124.53 and that certification has
    not been obtained or waived:
      (c) By the State  Director where the
    Regional Administrator has objected to
    issuance of the permit under §123.44:
      (d) Wrhen the imposition of conditions
    cannot  ensure compliance with the ap-
    plicable water quality requirements of
    all affected States:
      (e) When, in the judgment of the Sec-
    retary,  anchorage and navigation in or
    on  any of  the  waters of  the  United
    States would be, substantially impaired
    by the discharge:
      (f) For  the  discharge of any  radio-
    logical, chemical, or biological warfare
    agent or high-level radioactive waste;
      (g)  For any discharge  inconsistent
    with  a plan  or plan  amendment ap-
    proved under section 208(b) of CWA;
      (h)  For any discharge  to the terri-
    torial sea. the waters of the contiguous
    zone, or the  oceans in the following cir-
    cumstances:
      (1) Before  the promulgation of guide-
    lines  under  section 403(c)  of CWA (for
    determining degradation of the waters
    of the territorial seas, the contiguous
    zone,  and the  oceans) unless the Direc-
    tor determines permit  issuance to be in
    the public interest; or
      (2) After promulgation of guidelines
    under section  403(c)  of CWA,  when in-
    sufficient information  exists to make a
    reasonable judgment whether  the dis-
    charge complies with them.
      (i) To  a new source or  a  new dis-
    charger,  if the discharge  from its con-
    struction or  operation  will  cause or
    contribute to  the violation  of water
    quality standards. The owner or oper-
    ator of a new  source or new discharger
    proposing to  discharge into a  water
    segment which does not meet applica-
    ble water quality standards or  is not
    expected to  meet those standards even
    after  the application  of  the  effluent
    limitations    required   by  sections
    301(b)(l)(A) and 301(b)(l)(B) of CWA, and
    for which the  State or interstate agen-
    cy has performed a pollutants load al-
    location for the  pollutant to  be dis-
    charged, must demonstrate, before the
    close  of the  public comment  period.
    that:
      (1)  There  are  sufficient remaining
    pollutant load allocations to  allow for
    the discharge: and
      (2) The existing dischargers into that
    segment  are   subject   to  compliance
    schedules designed  to bring  the  seg-
    ment into compliance  with applicable
    water quality standards.  The Director
    may waive the submission of informa-
    tion by  the  new  source  or  new dis-
    charger  required by paragraph (i) of
    this section if the Director determines
    that the Director already has adequate
    information to evaluate  the  request.
    An explanation of the development of
    limitations to meet the criteria of this
    paragraph (i)(2) is to be included in the
                                         140
    

    -------
    Environmental Protection Agency
                                   §122,7
    fact  sheet  to   the  permit   under
    §124.56(b)(J.) of this chapter.
    
    148 FR 1-3153. Apr. 1. 1983. as amended -ti  50
    FK  6940. Feb. 19, 1985; 65 FR  30905.  Mav 15.
    2000)
    
    § 122.5   Effect of a permit,
      (a) Applicable to State programs, nna
    §123.25.  il! Except for any toxic efflu-
    ent standards and prohibitions imposed
    under  section  307  of  the  CWA  and
    "standards for sewage sludge use or dis-
    posal" under 405(d) of the CWA. compli-
    ance with a permit during its term con-
    stitutes compliance, for purposes of en-
    forcement, with  sections 301, 302,  306,
    307. 318. 403. and 405 (a)-fb) of CWA.
    However, a permit may be modified, re-
    voked and reissued, or terminated dur-
    ing' its  term for  cause as  set forth in
    §§122,62 and 122.64.
      (2) Compliance  with a  permit condi-
    tion which implements  a  particular
    "standard for sewage sludge use or dis-
    posal" shall be an affirmative defense
    in any enforcement action brought for
    a violation of that "standard for sewage
    sludge use or disposal" pursuant to  sec-
    tions 405(e) and 309 of the CWA,
      (b) Applicable to State programs, See
    §123.25.  The issuance of  a  permit does
    not convey any property rights of any
    sort, or any exclusive privilege,
      (c) The issuance of a permit does not
    authorize  any injury  to   persons  or
    property or invasion of other private
    rights, or any infringement of State or
    local law or regulations.
    [48 FR 14153, Apr. 1. 1983. as amended at  54
    FR 18782, May 2, 1989]
    
    § 122.6   Continuation of  expiring per-
        mits,
      (a) EPA permits. When EPA is the  per-
    mit-issuing' authority,  the  conditions
    of an expired permit continue in force
    under 5 U.S.C. 558(e> until  the effective
    date of a new permit (see §124.15) if:
      (1) The permittee has submitted  a
    timely application under §122.21 which
    is a complete (under §122.21>!nait.  When the permittee
    is  not in  compliance with the condi-
    tions  of tlu.- expiring'  or expired permit
    the   Regional   Administrator   may
    choose to do any or all of the following:
      (1) Initiate enforcement action based
    upon the pel mil which has been contin-
    ued:
      (2) Issue  a notice of intent to  deny
    the new permit under §124.6. If the per-
    mit is denied, the owner or operator
    would then be required to cease the ac-
    tivities authorized by the  continued
    permit or be subject to enforcement ac-
    tion for operating: without a permit:
      (3) Issue a new permit under part 124
    with appropriate conditions: or
      (4) Take other actions authorized by
    these regulations.
      (d)  State continuation. (1) An EPA-
    issued permit does  not  continue  in
    force  beyond its expiration date under
    Federal law if at that time  a State is
    the permitting  authority.  States au-
    thorized to administer the NPDES pro-
    gram may  continue either EPA  or
    State-issued permits until the effective
    date of the new permits, if State law
    allows. Otherwise, the facility or activ-
    ity is operating without a  permit from
    the time of expiration of the  old permit
    to the effective date of the State-issued
    new permit
    [48 FR 14153. Apr. 1. 1983. as amended at 50
    PR 6940. Fell, 19, J985J
    
    S 122.7  Confidentiality of information.
      (a) In accordance with 40 CPR part 2.
    any  information  submitted to  EPA
    pursuant to these regulations may be
    claimed as confidential  by  the sub-
    mitter.  Any such  claim must be as-
    serted at the time of  submission in the
    manner prescribed on the application
    form  or instructions  or. in the case of
    other submissions,  by  stamping the
    words "confidential  business informa-
    tion"  on each  pag'e containing such in-
    formation.  If  no claim is made at the
    time of submission, EPA may make the
    information  available  to  the public
    without further notice. If a claim is as-
    serted, the information will  be treated
                                         141
    

    -------
    §122.21
              40 CFR Ch. 1 (7-1-04 Edition)
    in accordance with the proccdan.-? in 40
    CFR part 2 < Public Informal ioiu.
      (b)  Applicable  to  i>7a/r urw/ruw.s,  act;
    §123.25.  Claims  of  confidentiality  for
    the following information will  be  de-
    nied:
      (Is The name and address of any per-
    mit applicant or permittee:
      (2) Permit applications, permits, and
    effluent data.
        Applicable  to  State program*.,  see
    §123.25.    Information   required  by
    NPDES application forms  provided by
    the Director  under §122.21 may  not be
    claimed confidential.  This includes in-
    formation  submitted on  the   forms
    themselves and  any attachments used
    to supply information required  by the
    forms.
    
    Subpart   B—Permit   Application
        and  Special NPDES  Program
        Requirements
    
    8122.21  Application for  a permit (ap-
        plicable  to  State programs, see
        § 123,25).
      (a) Duty to  apply, d) Any person who
    discharges or proposes to discharge pol-
    lutants  or who  owns  or operates  a
    "sludge-only  facility"  whose   sewage
    sludge use or disposal practice is regu-
    lated by part 503 of  this chapter, and
    who does not have an effective permit,
    except persons covered by  general per-
    mits  under  §122,28,  excluded   under
    §122.3. or  a user of a privately  owned
    treatment  works  unless  the Director
    requires  otherwise  under  §122.44(m).
    must submit  a complete  application to
    the Director in accordance  with this
    section and part 124 of this chapter. All
    concentrated  animal  feeding-   oper-
    ations have  a  duty  to seek coverage
    under an  NPDES permit, as described
    in §122.23(d).
      (2)  Application  Forms:  (i)  All   appli-
    cants for EPA-issued permits must sub-
    mit applications on EPA permit appli-
    cation forms. More  than one applica-
    tion form may be required from  a facil-
    ity depending on the number and types
    of discharges or outfalls found  there.
    Application forms may be obtained by
    contacting the  EPA water resource
    center at (202)  260-7786  or Water Re-
    source Center.  U.S.  EPA.  Mail Code
    4100.  1200  Pennsylvania  Ave.. NW..
    Washington,  DC  20460 or at  the EPA
    Iiiltrriif-l     sit i.'     www.epa.eov owm
    npdf-s.litrn.   Applications   for   EPA-
    issued  pt-imits must "be .submitted  a?
    follows:
      (As All applicants,  other than POTWs
    and TWTDS. must submit Form 1.
      ', BI Applicants  for new and existing
    POTWs must  submit the information
    contained in  paragraph (j)  of this sec-
    tion using Form 2A  or other form pro-
    vided by the director.
      (Ci Applicants for concentrated ani-
    mal feeding operations  or aquatic ani-
    mal production facilities must submit
    Form 2B.
      (D> Applicants for  existing industrial
    facilities (including  manufacturing fa-
    cilities, commercial facilities, mining
    activities, and silvicultural  activities).
    must submit Form 2C.
      (E> Applicants for new industrial fa-
    cilities that  discharge  process  waste-
    water must, submit Form 2D.
       Applicants  for new and existing
    industrial facilities that discharge only
    nonprocess  wastewater  must submit
    Form 2E.
      (G) Applicants  for new and existing
    facilities whose discharge is composed
    entirely of storm  water  associated with
    industrial activity must submit Form
    2F.  unless exempted by  §122.26(ci(l)(ii).
    If the  discharge is  composed of storm
    water  and non-storm water, the appli-
    cant must also submit.  Forms 2C. 2D.
    and/or  2E. as  appropriate (in addition
    to Form 2F).
      (H) Applicants  for new and existing
    TWTDS. subject  to  paragraph (cK2)(i>
    of this section must submit the appli-
    cation  information  required  by para-
    graph (i[i of this section, using Form 2S
    or other form provided by the director.
      ni) The application  information re-
    quired  by  paragraph  (a)(2)(i) of this sec-
    tion may be electronically submitted if
    such method of  submittal  is approved
    by EPA or the Director.
      (iii)  Applicants can obtain  copies of
    these   forms  by  contacting  the Water-
    Management Divisions  (or  equivalent
    division  which  contains the  NPDES
    permitting function) of the  EPA Re-
    gional  Offices. The Regional Offices'
    addresses can be found at  §1.7 of this
    chapter.
      (iv)   Applicants for State-issued per-
    mits must use State forms which must
    require at a minimum the information
                                        142
    

    -------
    Environmental Protection Agency
                                 §122.21
    listed in the appropriate paragraphs of
    this section,
      (b) Who applies? When a facility or ac-
    tivity is owned by one person but is op-
    erated by another person, it is the op-
    erator's duty to obtain a permit.
      (O Time to apply. (1) Any person pro-
    posing a new discharge, shall submit an
    application  at least 180 clays before the
    date on which the discharge is to com-
    mence,  unless  permission for a later
    date has been granted by  the Director,
    Facilities proposing: a new discharge of
    storm water associated with industrial
    activity shall submit  an application 180
    days before  that facility commences
    industrial activity which may result in
    a discharge of storm water associated
    with that industrial activity. Facilities
    described  under   §122.26  All other  permittees  with cur-
    rently effective  permits shall submit a
    new application  180 days before the ex-
    isting permit expires,  except that:
      (is The Regional Administrator may
    grant permission to submit an applica-
    tion later than the (leadline for submis-
    sion otherwise applicable, but rio later
    than the permit  expiration date; and
      (3) [Reserved]
                                         143
    

    -------
    §122.21
              40 CFR Ch. I (7-1-04 Edition)
      (e)  Completeness.  (1)  The  Director
    shall not issue a permit before receiv-
    ing a complete application for a permit
    except for NPDBS general permits. An
    application  for a permit  is complete
    when the Director receives an  applica-
    tion form and  any supplemental infor-
    mation which  are completed to his or
    her satisfaction, The  completeness of
    any application for  a permit  shall be
    judged independently  of the status of
    any other permit application or permit
    for the same  facility  or  activity.  For
    EPA administered NPDES  programs.
    an application which is reviewed under
    §124.3 of this chapter is complete when
    the Director receives either a complete
    application or the information  listed in
    a notice of deficiency.
      (2) A permit application shall not be
    considered complete if a permitting au-
    thority has waived application  require-
    ments  under  paragraphs (j) or (q) of
    this section and EPA  has disapproved
    the waiver application. If a waiver re-
    quest has been submitted to EPA more
    than 210 days  prior to permit expira-
    tion and EPA  has not disapproved the
    waiver  application  181 days prior to
    permit expiration, the permit  applica-
    tion lacking the information subject to
    the waiver application shall be consid-
    ered complete.
      (f) Information requirements. All appli-
    cants for NPDES permits, other  than
    POTWs and other TWTDS. must pro-
    vide the following information to the
    Director,  using the application  form
    provided by the Director. Additional
    information required  of  applicants is
    set forth in paragraphs (g) through (k)
    of this section.
      (1) The activities  conducted by the
    applicant which require it to obtain an
    NPDES permit.
      (2) Name, mailing address, and  loca-
    tion of the facility for which the appli-
    cation is submitted.
      (3) Up to  four SIC codes which best
    reflect the principal products  or  serv-
    ices provided by the facility.
      (4)  The  operator's   name,  address.
    telephone  number,  ownership status.
    and status  as  Federal. State,  private.
    public, or other entity.
      (5) Whether  the facility is located on
    Indian lands.
      (6) A listing  of all  permits  or con-
    struction approvals received or applied
    for  under  any  of  the following  pro-
    grams;
      (i)  Hazardous  Waste  Management
    program under RCRA.
      (ii) UIC program under SDWA.
      .  shall provide the  following-
    information  to the  Director,  using ap-
    plication forms provided  by the Direc-
    tor.
      (.1) Outfall  location. The latitude  and
    longitude  to the nearest 15 seconds and
    the name of the receiving  water.
      (2)  Line,  drawing.  A line  drawing of
    the  water flow  through  the facility
    with  a  water  balance, showing oper-
    ations contributing wastewater to the
    effluent and treatment units. Similar
    processes,  operations, or  production
    areas may be indicated as a single unit,
                                         144
    

    -------
    Environmental Protection Agency
                                  §122.2!
    labeled to correspond to tlie more de-
    tailed  identification under  paragraph
    Cg")<3) of this section. The water balance
    must show approximate average flows
    at intake and discharge points and be-
    tween units, including' treatment units.
    If a water balance  cannot be  deter-
    mined (for example, for certain mining
    activities), the applicant may provide
    instead a pictorial  description  of the
    nature and amount of any  sources of
    water  and any collection  and  treat-
    ment measures.
      (8) Average flown and treatment. A nar-
    rative  identification of each  type of
    process,  operation, or production area
    which  contributes wastewater  to  the
    effluent  for   each  outfall,  including'
    process wastewater. cooling water, and
    stormwater runoff:  the average flow
    which,  each process  contributes;  and a
    description of the  treatment the waste-
    water receives, including the ultimate
    disposal  of any solid or fluid  wastes
    other than by discharge. Processes, op-
    erations,  or production  areas may be
    described in general terms (for  exam-
    ple, "dye-making reactor", "distillation
    tower").  For  a privately owned  treat-
    ment works, this information shall in-
    clude the identity of each user of the
    treatment works.  The average flow of
    point sources composed of storm water
    may be  estimated.  The basis for  the
    rainfall event and the method of esti-
    mation must be indicated.
      (4) Intermittent flows. If any of the dis-
    charges described  in paragraph igK3) of
    this  section are intermittent or sea-
    sonal,  a  description of the  frequency.
    duration  and  flow  rate  01  each  dis-
    charge    occurrence    (except    for
    stormwater runoff, spillage or leaks*.
      (.5) Maximum production. If an effluent-
    guideline promulgated  under section
    304 of CWA applies to the applicant and
    is expressed in terms of production (or
    other measure  of  operation), a reason-
    able  measure of the applicant's actual
    production reported in the units used
    in the  applicable effluent  guideline.
    The reported measure must reflect the
    actual production of the facility as re-
    quired by §122,45 and (vii>
    of this section that an applicant must
    provide quantitative  data  for certain
    pollutants  known  or believed  to  be
    present do not  apply  to pollutants
    present in a discharge solely as the re-
    sult of their presence in  intake  water:
    however, an applicant must report such
    pollutants  as  present.   Grab  samples
    must be used for pH,  temperature, cya-
    nide,  total phenols,  residual  chlorine.
    oil and grease, fecal coliform  and fecal
    streptococcus. For all other pollutants.
    2-1-hour composite  samples  must  be
    used. However, a minimum  of one grab
    sample may be taken  for effluents from
    holding ponds or other impoundments
    with a retention period greater than 24
    hours.  In addition, for discharges other
    than storm water  discharges, the Di-
    rector  may waive composite  sampling
    for any outfall for which the applicant-
    demonstrates  that  the use  of an auto-
    matic  sampler is  infeasible and that
    the minimum  of four (4) grab samples
    will be a representative  sample  of the
    effluent being  discharged.
      (ii) Storm water dischurgex. For  storm
    water discharges, all samples shall be
    collected from the  discharge  resulting
    from a storm event that is greater than
    0.1 inch and at least  72 hours from the
    previously measurable (greater than 0.1
                                         145
    

    -------
    §122.21
              40 CFR Ch. I (7-1-04 Edition)
    inch rainfall! storm event. Where  fea-
    sible, the variance in the duration of
    the event and the total  rainfall of the
    event  should not  exceed  50  percent
    from  the average  or median  rainfall
    event in that area. For all applicants, a
    flow-weighted composite shall be taken
    for either the entire discharge or for
    the first three hours of the  discharge.
    The  flow-weighted  composite sample
    for a storm water  discharge  may be
    taken with a continuous sampler or as
    a combination of a  minimum  of three
    sample  aliquots taken in each hour of
    discharge for the entire discharge or
    for the first  three  hours of  the  dis-
    charge, with each aliquot being- sepa-
    rated by a minimum period of fifteen
    minutes (applicants submitting permit
    applications for storm water discharges
    under   §122.26(d)  may  collect  flow-
    weighted composite samples using dif-
    ferent protocols  with  respect  to  the
    time  duration between  the  collection
    of sample aliquots,  subject  to the ap-
    proval  of  the Director).  However,  a
    minimum of one grab sample may be
    taken for storm water discharges from
    holding ponds or other  impoundments
    with a retention period greater than 24
    hours. For a  flow-weighted  composite
    sample, only one analysis of the com-
    posite  of  aliquots  is  required.   For
    storm  water discharge  samples taken
    from discharges associated with indus-
    trial activities, quantitative data must
    be reported for the grab sample taken
    during the first thirty minutes (or as
    soon thereafter as practicable) of the
    discharge for all pollutants specified in
    §122.26(c)(l).  For all  storm  water  per-
    mit,  applicants taking  flow-weighted
    composites, quantitative data,  must, be
    reported for all pollutants specified in
    §122.26  except pH,  temperature,  cya-
    nide,  total phenols, residual chlorine.
    oil and grease, fecal coliform. and fecal
    streptococcus. The Director  may allow
    or establish  appropriate  site-specific
    sampling  procedures or requirements,
    including sampling locations,  the  sea-
    son in which the sampling takes place.
    the  minimum duration between  the
    previous measurable storm  event  and
    the storm event sampled, the minimum
    or maximum  level of precipitation re-
    quired for an appropriate storm event.
    the  form   of precipitation  sampled
    (snow melt  or rain  fall), protocols for
    collecting  samples under  part 136 of
    this chapter,  and additional  time for
    submitting  data  on  a  case-by-case
    basis.  An  applicant  is  expected  to
    "know or have reason to believe" that a
    pollutant is  present  in  an  effluent
    based on an evaluation of the expected
    use, production, or storage of the pol-
    lutant, or on any previous analyses for
    the pollutant. (For example,  any pes-
    ticide manufactured by a facility may
    be expected to be present in  contami-
    nated storm water runoff from the fa-
    cility.)
      (iii) Reporting requirements. Every ap-
    plicant,  must report quantitative data
    for every outfall  for the following pol-
    lutants:
      Biochemical Oxygen Demand (BODS)
      Chemical Oxygen Demand
      Total Organic Carbon
      Total Suspended Solids
      Ammonia (as N)
      Temperature (both winter and summer!
      pH
      (iv) The Director may waive the re-
    porting   requirements  for individual
    point sources or for a particular indus-
    try category for one or more of the pol-
    lutants  listed in paragraph (gMTXiii) of
    this section if the applicant  has dem-
    onstrated that such  a waiver is appro-
    priate because information adequate to
    support issuance of a permit can be ob-
    tained  with  less  stringent  require-
    ments.
      (v) Bach applicant with  processes in
    one or more primary industry category
    (see appendix A  of this  part) contrib-
    uting to a discharge must report quan-
    titative data for the following pollut-
    ants in  each outfall containing1 process
    wastewater:
      (A) The organic toxic pollutants in
    the fractions  designated  in  table I of
    appendix D of this part for the  appli-
    cant's industrial category or categories
    unless  the  applicant qualifies  as  a
    small business under  paragraph (g)(8)
    of this section. Table II  of appendix  D
    of this part lists  the organic toxic pol-
    lutants  in each fraction. The fractions
    result from the sample preparation re-
    quired  by  the   analytical  procedure
    which uses gas  ehromatography/mass
    spectrometry. A determination that an
    applicant falls within a particular in-
    dustrial  category for  the purposes of
    selecting  fractious for testing is not
                                         146
    

    -------
    Environmental Protection Agency
                                  §122.21
    conclusive as to the applicant's inclu-
    sion in that category for any other pur-
    poses. See Notes 2. 3. and 4 of this sec-
    tion.
      (B) The pollutants listed  in table III
    of appendix  D of this  part (the  toxic
    metals, cyanide, and total phenols).
      (vi)(A) Each applicant must indicate
    whether it knows or has reason to be-
    lieve that  any  of  the pollutants in
    table IV of appendix D of this part (cer-
    tain conventional and nonconventional
    pollutants)  is  discharged  from  each
    outfall. If an applicable effluent limita-
    tions guideline  either  directly  limits
    the pollutant or. by its express terms.
    indirectly limits the pollutant through
    limitations on an indicator, the appli-
    cant  must  report  quantitative  data.
    For  every pollutant discharged which
    is not so limited in an effluent limita-
    tions guideline, the applicant must ei-
    ther report quantitative data or briefly
    describe the reasons the pollutant is
    expected to be discharged.
      (B) Each  applicant  must indicate
    whether it knows or has reason to be-
    lieve, that  any of the pollutants listed
    in table II or table III of appendix D of
    this part  (the   toxic  pollutants  and
    total phenols)  for which quantitative
    data are not otherwise required under
    paragraph  (g>(7)(v) of this  section  are
    discharged from each outfall. For every
    pollutant expected to be discharged in
    concentrations of 10 ppb or  greater the
    applicant  must  report  quantitative
    data. For acrolein.  acrylomtrile.  2.4
    dinitrophenol.    and   2-metbyl-4.   6
    dinitrophenol. where any of these four
    pollutants  are   expected   to  be  dis-
    charged in concentrations of 100 ppb or
    greater  the  applicant must  report,
    quantitative data. For  every  pollutant
    expected to be discharged in concentra-
    tions less than 10 ppb. or in the case of
    acrolein.       acrylonitriie.       2.4
    dinitrophenol,    and   2-methyl-4.   6
    dinitrophenol,  in concentrations  less
    than 100 ppb, the applicant  must either
    submit, quantitative data or briefly de-
    scribe the  reasons the  pollutant is ex-
    pected to be discharged. An  applicant
    qualifying as a  small  business under
    paragraph  (g)(8)  of this section is not
    required to analyze  for pollutants list-
    ed in table II of appendix D  of this part
    (the organic toxic pollutants).
      ivii)  Bach  applicant must  indicate
    whether  it knows or has  reason to  be-
    lieve  that any  of  the pollutants in
    table V of appendix D of this part (cer-
    tain hazardous  substances and  asbes-
    tos) are  discharged  from each outfall.
    For every pollutant  expected to be dis-
    charged,  the applicant must briefly  de-
    scribe  the reasons the pollutant is  ex-
    pected to be discharged, and report, any
    quantitative data it  has for any pollut-
    ant.
      iviii)  Each  applicant  must,  report
    qualitative  data, generated   using a
    screening  procedure   not calibrated
    with analytical  standards, for  2.3.7.8-
    tc-trachlorodibenzo-p-dioxin (TCDD) if
    it-
      i A)   Uses  or   manufactures   2.4.5-
    trichlorophenoxy acetic acid  (2.4.5.-T):
    2-( 2.4.5-trichlorophenoxy)     propanoic
    ad.d   (Silvex.    2.4.5.-TP):   2-( 2.4.5-
    trichlorophenoxy >      ethyl.       2.2-
    dichloropropionate   (Erbon):   O.O-di-
    methyl       0-(2.4.5-trichlorophenyl)
    phosphorothioate    (Ronnel):    2.4.5-
    trichlorophenol        (TCP):        or
    hexachlorophene (HCP); or
      (B) Knows  or has  reason to believe
    that TCDD is or may be  present in an
    effluent.
      (8) Small business exemption. An appli-
    cation  which qualifies as a small busi-
    ness under one of the following criteria
    is  exempt from the  requirements in
    paragraph (g)(7Mv)(Ai or (g)(7)(vixA) of
    this section  to submit   quantitative
    data for the pollutants listed in table II
    of appendix D of this part, (the organic
    toxic pollutants):
      :i) For coal mines, a probable total
    annual production of less than  100.000
    tons per year.
      ill)  For all other  applicants, gross
    total annual  sales averaging less than
    $100.000 pel' year (in second quarter 1980
    dollars).
      (9) Used or manufactured tox>c,f.  A list-
    ing of any toxic: pollutant which  the
    applicant currently   uses  or manufac-
    tures as  an intermediate  or final prod-
    uct or byproduct.  The Director may
    waive  or modify this requirement  for
    any applicant  if the  applicant  dem-
    onstrates that it, would be unduly bur-
    densome  to identify each toxic pollut-
    ant and  the Director has adequate  in-
    formation to issue the permit.
      (10) [Reserved!
                                         147
    

    -------
    §122.21
              40 CFR Ch. I (7-1-04 Edition)
      (11) Biological toxicity tests.  An identi-
    fication of any biological toxicity tests
    which the applicant knows or has rea-
    son to believe have been made within
    the last 3 years on any of  the  appli-
    cant's discharges  or  on  a   receiving
    water in relation to a discharge.
      (12) Contract analyses.  If a contract
    laboratory  or  consulting1  firm  per-
    formed any of the analyses required by
    paragraph  fg)(7) of this  section, the
    identity of each laboratory or firm and
    the analyses performed,
      (13) Additional information. In  addi-
    tion to the information reported on the
    application form, applicants  shall pro-
    vide to  the Director, at his  or her  re-
    quest, such other  information  as the
    Director may  reasonably require to  as-
    sess the discharges of the  facility and
    to  determine  whether  to   issue  an
    NPDES permit.  The additional  infor-
    mation  may include additional  quan-
    titative data  and bioassays  to  assess
    the relative toxicity of discharges to
    aquatic life and requirements to  deter-
    mine the cause of the toxicity,
      (h)  Application  requirements  for  manu-
    facturing,  commercial,  mining and  sil-
    vicultural  facilities which discharge only
    non-process  wastewater.   Except   for
    stormwater discharges,  all   manufac-
    turing-,  commercial,  mining and sil-
    vicultural  dischargers  applying  for
    NPDES permits  which discharge only
    non-process wastewater  not  regulated
    by an effluent limitations  guideline or
    new source performance  standard shall
    provide the following information to
    the Director,  using- application  forms
    provided by the Director:
      (1)  Outfall location.  Outfall number,
    latitude and longitude to the nearest 15
    seconds, and the name of the receiving
    water.
      (2)  Discharge   date (for  new  divS-
    chargers). Date of expected commence-
    ment of discharge.
      (3) Type of waste. An identification of
    the general type of waste discharged.
    or expected to be discharged  upon com-
    mencement of   operations,   including
    sanitary  wastes,  restaurant or  cafe-
    teria wastes,  or noncontact cooling
    water.  An  identification  of cooling
    water additives  (if any) that are used
    or expected to be used upon commence-
    ment of operations,  along with  their
    composition if existing composition is
    available.
      (4) Effluent  characteristics, (i) Quan-
    titative data for the pollutants or pa-
    rameters listed below, unless testing is
    waived  by  the  Director.  The quan-
    titative  data  may  be data collected
    over the past  365 days, if they remain
    representative  of current  operations,
    and  must  include  maximum  daily
    value, average daily value, and number
    of measurements taken. The applicant
    must collect and analyze samples in ac-
    cordance with 40 CFR part 136, Grab
    samples must  be used for pH. tempera-
    ture,  oil  and  grease, total  residual
    chlorine, and  fecal coliform.  For all
    other  pollutants.  24-hour  composite
    samples must  be used. New  dischargers
    must include estimates for the pollut-
    ants or parameters listed below instead
    of actual sampling data, along with the
    source  of  each  estimate.  All levels
    must be reported or estimated as con-
    centration  and  as  total  mass,  except
    for flow. pH, and temperature.
      (A)  Biochemical   Oxygen  Demand
    (BODO.
      (B) Total Suspended Solids (TSS).
       Temperature (Winter and  Sum-
    mer).
      (iii The Director may waive the test-
    ing and reporting requirements for any
    of the pollutants or flow listed in para-
    graph (h>(4)(i)  of this section if the ap-
    plicant  submits  a  request  for such  a
    waiver before or with his  application
    which  demonstrates  that information
    adequate to support issuance  of a per-
    mit can be obtained through less strin-
    gent requirements.
      (iii) If the  applicant  is  a  new dis-
    charger, he must complete  and submit
    Item IV of Form 2e (see §122,21lh)(4)) by
                                         148
    

    -------
    Environmental Protection Agency
                                 §122.21
    providing quantitative data  in accord-
    ance  willi  that section  no later than
    two years after commencement of dis-
    charge. However, the applicant,  need
    not complete those portions of Item TV
    requiring  tests which he  has already
    performed  and reported  under the dis-
    charge monitoring1 requirements of his
    KPDES permit.
      (iv) The  requirements  of parts i and
    iii of  this section thai  an applicant,
    must provide quantitative data or esti-
    mates of  certain  pollutants  do  not
    apply  to pollutants present in  a dis-
    charge solely  as  a result of their pres-
    ence in intake water. However, an ap-
    plicant must report such pollutants as
    present. Net credit may be provided for
    the presence  of pollutants  in  intake
    water  if the requirements of §122.45('g)
    are met,
      (5)  Plow. A  description of the  fre-
    quency of flow and duration of any sea-
    sonal or intermittent discharge (except,
    for stormwater runoff, leaks, or spills).
      (6) Treatment system. A brief descrip-
    tion  of any system used or to be  used.
      (7)  Optional  information. Any  addi-
    tional information the applicant wish-
    es to  be considered,  such as influent
    data for the purpose of obtaining" "net"
    credits pursuant to §122.45(g).
      (8)  Certification. Signature  of certi-
    fying official under §122.22.
      (i)   Application  requirements for  new
    and existing concentrated animal feeding
    operations and aquatic, animal production
    facilities.   New  and   existing"   con-
    centrated  animal  feeding operations
    (defined  in §122.23) and concentrated
    aquatic  animal  production  facilities
    (defined  in §122.24)  shall  provide the
    following information to the Director.
    using the application form provided by
    the Director:
      (It For  concentrated  animal feeding
    operations:
      (i)  The  name of the owner or  oper-
    ator:
      (ii)  The facility location and mailing
    addresses:
      (iii)  Latitude and  longitude  of the
    production area  (entrance to produc-
    tion area);
      (iv)  A  topographic  map of the geo-
    graphic area in which the CAFO is lo-
    cated showing the specific location of
    the production area,  in  lieu of the re-
    number and  type  of animals, whethev
    in open confinement or housed  under
    re,of (beef cattle, broilers, layers, swine
    weighing1  55  pounds or  more,  swine-
    weighing  less than 55 pounds, mature
    dairy  cows, dairy  heifers,  veal  calves.
    sheep and lambs, horses,  ducks, tur-
    keys,  other;;
      ivi)  The type  of containment, and
    storage (anaerobic- lagoon  roofed stor-
    age shed, storage  ponds, underfloor
    pits, above ground storage  tanks, below
    ground  storage tanks,  concrete pad.
    impervious soil pad, other) and  total
    capacity for manure, litter, and process
    wastewater storages tons/grail oiia >:
      ivii) The total number of acres under
    control of the  applicant available for
    land application  of  manure, litter,  or
    process wastewater:
      I'viii) Estimated amounts of manure.
    litter, and  process  wastewater  gen-
    erated per year (tons/gallons);
      (ix)  Estimated  amounts  of manure,
    litter and process wastewater trans-
    ferred to  other persons per year (tons-
    gallons); and
      (x)  For  CAFOs that must seek cov-
    erage under  a  permit after December
    31.  2006,  certification  that a nutrient
    management plan has been completed
    and will be implemented upon the date
    of permit  coverage.
      (2) For  concentrated  aquatic animal
    production facilities:
      (i) The  maximum daily  and average
    monthly flow from each outfall.
      (ii)  The number of ponds, raceways.
    and similar structures.
      (iii) The name of the receiving water
    and the source of intake water.
      (iv)  For each species of  aquatic ani-
    malo.  the  total yearly and maximum
    harvestable weight.
      (v) The  calendar month of maximum
    feeding and the total mass of food fed
    during that month.
      (j)  Application  requirements for new
    and existing  POTWs.  Unless otherwise
    indicated,  all  POTWs  and other dis-
    chargers  designated  by  the  Director
    must  provide, at a minimum, the infor-
    mation in this  paragraph to the Direc-
    tor, using Form 2A or another applica-
    tion  form provided by the Director.
                                         149
    

    -------
    §122.21
              40 CFR Ch. i (7-1-04 Edition)
    Permit  a.pplicant,s muse  .  NPDES  program   under  Clean
    Water Act (CWA):
      (D)  Prevention of  Significant Dete-
    rioration  (PSD)  program  under  the
    Clean Air Act:
      (E)  Nonattainment program  under
    the Clean Air Act:
      (F)  National Emission Standards for
    Hazardous  Air  Pollutants (NBSHAPS)
    preconstruction approval  under  the
    Clean Air Act:
      i(/1 Oci-.-m dumping permits under the
    Malint-  Protection Research and  Sanc-
    t umies Act:
      iH'i Dredge  or fill permits under sec-
    lion 404 of the CWA; and
      di Other relevant environmental per-
    mits, including State permits;
      iiv)  Population. The name and  popu-
    lation of each municipal entity served
    by  the  facility,  including  unincor-
    porated connector  districts.  Indicate
    whether each municipal entity owns or
    maintains  the collection  system and
    whether the collection system is sepa-
    rate sanitary or combined storm and
    sanitary, if known:
      iv) Indian country. Information con-
    cerning whether the facility is located
    in Indian  country and whether the fa-
    cility discharges to a receiving stream
    that flows through Indian country;
      (vi)  Flow rate.  The facility's design
    flow rate (the wastewater flow rate the
    plant was  built to handle), annual aver-
    age daily  flow  rate,  and maximum
    daily flow rate for each of the previous
    3  years;
      (viii  Collection system.  Identification
    of type(s) of  collection system(s) used
    by the treatment works  (i.e.. separate
    sanitary sewers or combined storm and
    sanitary sewers) and an estimate of the
    percent of sewer line  that- each  type
    comprises; and
      (viii5  Outfalls and other  discharge or
    disposal methods. The  following  infor-
    mation  for outfalls to waters of the
    United  States  and  other discharge  or
    disposal methods:
      (A) For  effluent discharges to waters
    of the United States, the total number
    and types  of outfalls (e.g. treated efflu-
    ent,  combined  sewer overflows,  by-
    passes,  constructed emergency  over-
    flows):
      (B) For wastewater discharged to sur-
    face impoundments:
      (1) The  location of each surface im-
    poundment:
      (2) The   average  daily  volume dis-
    charged to each surface impoundment:
    and
      (3) Whether the discharge  is contin-
    uous or intermittent:
      (C)  For  wastewater applied to  the
    land:
      (]) The location of each land applica-
    tion site:
                                         150
    

    -------
    Environmental Protection Agency
                                  §122.21
      (2) The  size of each land application
    site, in acres:
      (.'>'; The  average daily volume applied
    to each land  application site, in gallons
    per day:and
      (4) Whether land application is con-
    tinuous or intermittent:
      (Di For  effluent sent to another facil-
    ity for treatment prior to discharge:
      (1) The  means  by which the effluent
    is transported:
      (2) The  name,  mailing address, con-
    tact person,  and phone number of the
    organization  transporting   the  dis-
    charge, if the transport is provided by
    a party other than the applicant:
      (3) The  name,  mailing address, con-
    tact person, phone number, and NPDES
    permit number (if any)  of the receiving
    facility: and
      (4) The  average daily flow rate from
    this facility into the receiving facility.
    in millions of gallons  per day: and
      (E) For wastewater disposed of in a
    manner  not  included  in  paragraphs
    (jHlMviiiKA) through (D)  of this sec-
    tion (e.g.. underground percolation, un-
    derground injection):
      (1)  A  description  of  the  disposal
    method, including the location and size
    of each disposal site, if applicable;
      (2) The  annual  average daily volume
    disposed of by this method,  in gallons
    per day;and
      (3) Whether disposal through this
    method is continuous or intermittent:
      (2) Additional  Information.  All appli-
    cants with a design flow greater than
    or equal to 0.1 mgd must provide the
    following  information:
      (i) Inflow and infiltration. The current
    average daily volume of inflow and  in-
    filtration, in gallons per day. and steps
    the facility is taking to minimize  in-
    flow and infiltration:
      (ii) Topographic map. A  topographic
    map (or  other map  if a  topographic-
    map is unavailable) extending at least
    one mile beyond property boundaries of
    the treatment plant,  including all unit
    processes, and showing:
      (A) Treatment plant area  and unit
    processes:
      (B) The major  pipes  or  other struc-
    tures through which wastewater enters
    the treatment plant  and the  pipes or
    other structures through which treated
    wastewater   is  discharged  from  the
    treatment plant. Include outfalls from
    bypass piping, if applicable:
      (C)  Each well where fluids  from the
    treatment plant  are  injected  under-
    ground:
      (D)  Wells, springs, and other surface
    water bodies listed in public records or
    otherwise known to the applicant with-
    in  >i  mile of the  treatment  works'
    property boundaries:
      (E)  Sewage sludge management  fa-
    cilities (including on-site treatment.
    storage, and disposal sites); and
      (F)  Location at which waste classi-
    fied as hazardous under RCRA enters
    the treatment plant by  truck, rail, or
    dedicated pipe;
      (illI Process  flow diagram or sctiematic.
      (A)  A diagram showing the  processes
    of the treatment plant, including  all
    bypass  piping and  all  backup  power
    sources or redundancy  in the system.
    This includes a water balance showing
    all  treatment units, including disinfec-
    tion,  and showing daily average flow
    rates  at influent and discharge  points.
    and approximate  daily  flow  rates be-
    tween treatment units; and
      (B)  A  narrative description  of the
    diagram: and
      (iv)  Scheduled improvements,  scliediiles
    
    -------
    §122.21
              40CFRCh. I (7-1-04 Edition)
      (D)  Distance from shore and depth
    below surface:
      (E)  Average daily flow rate,  in mil-
    lion gallons per day;
      (F)  The  following  information  for
    each outfall with a seasonal or periodic
    discharge:
      (1) Number of times per year the dis-
    charge occurs:
      (2) Duration of each discharge:
      (3) Plow of each discharge: and
      (4) Months in which discharge occurs:
    and
      (G)  Whether the outfall is equipped
    with a diffuser and the type (e.g.. high-
    rate) of diffuser used;
      (ii) Description of receiiinu icutcrx. The
    following information  (if known)  for
    each outfall through which, effluent is
    discharged  to waters  of the  United
    States:
      (A) Name  of receiving water:
      (B)  Name of watershed river stream
    system  and United  States  Soil  Con-
    servation Service  14-tligit  watershed
    code:
      (C) Name  of State Management River
    Basin  and  United  States Geological
    Survey  8-digit  hyclrologic cataloging
    unit code: and
      (D)  Critical  flow of receiving stream
    and total hardness of  receiving stream
    at. critical low flow (if applicable):
      (iii) Description of treatment. The fol-
    lowing   information  describing   the
    treatment provided for discharges from
    each  outfall to waters  of the United
    States:
      (A)  The  highest level  of  treatment.
    (e.g.. primary, equivalent to secondary.
    secondary,  advanced,  other)  that  is
    provided for the discharge  for each out-
    fall and:
      (1)  Design  biochemical oxygen  de-
    mand (BOD. or CBOD,> removal  (per-
    cent):
      (2) Design suspended solids  re-
    moval (percent): and. where applicable.
      (3)  Design  phosphorus  (P)  removal
    (percent):
      (4) Design nitrogen (N) removal (per-
    cent); and
      (5) Any other removals that an  ad-
    vanced treatment system is designed to
    achieve.
      (B)  A description of the type of dis-
    infection used, and whether the treat-
    ment plant dechlorinates (if  disinfec-
    tion    is    accomplished    through
    chlorinationc
      (i) Effluent monitoring  for specific pa-
    rameter*.
      (i> As provided in paragraphs (j)(4)(ii)
    through  (x) of this section, all  appli-
    cants must submit to the Director ef-
    fluent monitoring  information  for sam-
    ples taken  from  each outfall  through
    which effluent  is discharged to waters
    of the United States, except for CSOs.
    The Director may  allow applicants to
    submit sampling data for only  one out-
    fall on a case-by-case basis, where the
    applicant has two or more outfalls with
    substantially  identical  effluent.  The
    Director may also allow applicants to
    composite  samples from one  or  more
    outfalls  that discharge  into the  same
    mixing zone:
      (in All applicants must sample and
    analyze for the pollutants listed in Ap-
    pendix J. Table 1A of this part:
      (iii) All applicants with a design flow
    greater than or equal to 0.1 rngd  must
    sample  and analyze for  the  pollutants
    listed in Appendix J. Table  1 of this
    part. Facilities that do  not use  chlo-
    rine for  disinfection, do  not use  chlo-
    rine elsewhere in  the  treatment,  proc-
    ess, and have no  reasonable  potential
    to discharge chlorine in  their effluent
    may delete chlorine from Table 1:
      (ivi The   following applicants  must
    sample  and analyze for  the  pollutants
    listed in Appendix J. Table  2 of this
    part, and for any other pollutants  for
    which  the  State  or EPA have  estab-
    lished water quality standards applica-
    ble to the receiving waters:
      (A) All POTWs with  a design flow
    rate equal  to or greater than  one mil-
    lion gallons per clay:
      (B)  All   POTWs   with   approved
    pretreatment  programs  or POTWs  re-
    quired to develop a pretreatment pro-
    gram;
      (C) Other POTWs. as required by the
    Director;
      (vi The Director should require sam-
    pling for additional pollutants, as ap-
    propriate, on a case-by-case basis:
      (vi) Applicants  must  provide  data
    from a  minimum  of  three  samples
    taken  within four and  one-half years
    prior to the date of the permit applica-
    tion. Samples  must be  representative
    of  the seasonal variation  in  the dis-
    charge from each outfall. Existing data
                                         152
    

    -------
    Environmental Protection Agency
                                  §122.21
    may  be  used,  if available,  in lieu  of
    sampling done  solely for the purpose of
    this application. The Director should
    require additional  samples, as appro-
    priate, on a case-by-case basis.
      (vii) All  existing' data for pollutants
    specified    in    paragraphs   (j)(4)(ii)
    through  (v) of  this section that is col-
    lected within four and one-half years of
    the application must be included in the
    pollutant data summary submitted by
    the applicant.  If. however,  the  appli-
    cant samples for a specific pollutant on
    a monthly or more frequent basis, it is
    only  necessary, for  such pollutant, to
    summarize  all  data  collected within
    one year of the application.
      (viiii  Applicants  must collect  sam-
    ples of effluent and  analyze such sam-
    ples for pollutants in accordance with
    analytical  methods  approved  under  40
    CFR  part  136 unless an alternative  is
    specified in the existing-  NPDES per-
    mit. Grab samples must be used for pH.
    temperature,  cyanide, total  phenols.
    residual  chlorine, oil and grease, and
    fecal  coliform.  For all other pollutants.
    24-hour  composite  samples  must be
    used. For a composite sample,  only one
    analysis  of the composite of aliquots is
    required.
      (ix)  The  effluent  monitoring-  data
    provided must  include at least the fol-
    lowing information for each parameter:
      (A) Maximum daily discharge, ex-
    pressed  as  concentration  or  mass.
    based upon actual sample values:
      (B)  Average  daily  discharge for all
    samples, expressed as concentration or
    mass, and  the  number of samples used
    to obtain this value:
      (C) The analytical method used:  and
      
    -------
    §122.21
              40 CFR Ch. I (7-1-04 Edition)
      (A) Results of a  minimum of four
    quarterly tests  for  a year,  from the
    year preceding the permit application:
    or
       of this
    section  must provide the  number of
    chronic  or  acute whole effluent tox-
    icity  tests  that have been  conducted
    since the last permit reissuance.
      (vii) Applicants must provide the re-
    sults  using  the  form  provided by the
    Director, or test summaries if  avail-
    able and comprehensive,  for each whole
    effluent toxicity test conducted pursu-
    ant to paragraph (j)(5)(ii) of this sec-
    tion for which  such  information has
    not been reported previously to the Di-
    rector.
      (vlii) Whole effluent toxicity testing-
    conducted   pursuant   to   paragraph
    (j)(5)(ii)  of  this  section  must be con-
    ducted using  methods approved  under
    40 CFR part 136.  West coast facilities in
    Washington. Oregon.  California. Alas-
    ka. Hawaii,  and  the  Pacific Territories
    are exempted from  40  CFR part 136
    chronic methods and must  use  alter-
    native guidance as directed by the per-
    mitting authority.
      (ix) For whole effluent toxicity data
    submitted to  the Director within  four
    and one-half years prior to the date of
    the application, applicants must  pro-
    vide the dates on  which the data were
    submitted and a summary of  the re-
    sults.
      (x) Each POTW  required to perform
    whole  effluent toxicity  testing- pursu-
    ant to paragraph  (])(5)(ii) of this  sec-
    tion must provide any information on
    the cause of  toxicity and written de-
    tails of any toxicity  reduction  evalua-
    tion conducted, if any  whole effluent
    toxicity test conducted within the  past
    four and one-half yea.rs  revealed  tox-
    icity.
      (6)  Industrial discharges.  Applicants
    must submit the following information
    about  industrial  discharges   to  the
    POTW:
      (i) Number  of significant  industrial
    users 
    -------
    Environmental Protection Agency
                                  §122.21
    in paragraphs  (j)(6)(i) and (ii)  of  this
    section.
      (A) An annual report submitted with-
    in one year of the application; or
      (B) A pretreatment program:
      (7) Discharges from  hazardous icaste
    generators and from waste cleanup or re-
    mediation sites.  POTWs  receiving  Re-
    source Conservation and Recovery Act
    (RCRA).    Comprehensive   Environ-
    mental  Response.  Compensation,  and
    Liability Act (CERCLA). or RCRA Cor-
    rective  Action wastes or wastes gen-
    erated at another type of cleanup or re-
    mediation  site  must provide  the  fol-
    lowing information:
      (i) If the POTW receives, or has been
    notified  that it will receive, by  truck.
    rail, or dedicated pipe any wastes that
    are  regulated  as  RCRA  hazardous
    wastes pursuant to 40 CFR part 261. the
    applicant must report, the following:
      (A) The, method by which the waste is
    received  (i.e.. whether by truck, rail, or
    dedicated pipe): and
      (B) The hazardous waste number and
    amount received annually of each haz-
    ardous waste:
      (ii) If the POTW receives, or has been
    notified    that   it    will    receive.
    wastewaters that originate from reme-
    dial  activities, including  those  under-
    taken pursuant to CERCLA  and  sec-
    tions 3004(u) or 3008
    -------
    §122,21
              40 CFR Ch. 1 (7-1-04 Edition)
      (4) The minimum rainfall that caused
    a CSO event, if available, in  the  last
    year:
      (C) Description of receiving waters.  The
    following information about receiving'
    waters:
      (1) Name of receiving water:
      (2) Name of watershed stream system
    and  the  United States Soil  Conserva-
    tion Service watershed (M-digit> code
    (if known): and
      (3) Name of State Management River
    Basin and the United States Geological
    Survey hydrologlc cataloging  unit <8-
    digit) code (if known!: and
      (D) CSO  operations, A description of
    any  known water  quality impacts on
    the receiving water caused by  the CSO
    (e.g., permanent or intermittent beach
    closing's,  permanent or  intermittent
    shellfish bed closings,  fish  kills,  fish
    advisories, other recreational  loss, or
    exceedance  of  any  applicable  State
    water quality standard):
      (9) Contractors. All applicants must
    provide  the name,  mailing  address.
    telephone number, and responsibilities
    of all  contractors  responsible  for  any
    operational or  maintenance  aspects of
    the facility: and
      (10) Signature. All applications must
    be signed  by a  certifying official in
    compliance with §122.22.
      (k) Application requirements  for  new
    sources and new discharges. New  manu-
    facturing, commercial,  mining and sil-
    vicultural   dischargers   applying  for
    NPDBS permits  (except  for  new  dis-
    charges of facilities subject  to the re-
    quirements of paragraph «h> of  this  sec-
    tion or new discharges of storm water
    associated   with  industrial   activity
    which  are subject to the  requirements
    of §122.26(c)(l) and this section (except
    as provided by  §122.26(c)(l)(ii)> shall
    provide the  following  information to
    the  Director,  using  the application
    forms provided by the Director:
      (1) Expected outfall location. The lati-
    tude and longitude to the nearest 15
    seconds and the name of the receiving
    water.
      (2) Discharge dates. The  expected date
    of commencement of discharge.
      (3)  Flows,  sources  of pollution,  and
    treatment    technologies—(i)    Expected
    treatment of wastewater. Description of
    the treatment that the wastewater  will
    receive, along with all  operations con-
    tributing  wastewater  to the effluent.
    average flow contributed by  each oper-
    ation, and the ultimate disposal of any
    solid or liquid wastes not discharged.
      iii>  Line drawing.  A line drawing of
    the water flow  through  the facility
    with a  water balance as  described in
    §122.21i.gu2>.
      i iii) Intermittent flows. If any of the
    expected discharges will be  intermit-
    tent or seasonal,  a  description of the
    frequency,   duration  and  maximum
    daily flow rate of each discharge occur-
    rence (except for stormwater  runoff,
    spillage, or leaks).
      i-l) Production.  If a  new source  per-
    formance  standard promulgated  under
    section  306 of CWA or  an effluent limi-
    tation  guideline  applies to  the  appli-
    cant and is  expressed  in terms of  pro-
    duction (or  other  measure  of  oper-
    ation), a reasonable measure of the ap-
    plicant's  expected actual  production
    reported in the units used  in the appli-
    cable  effluent guideline  or new source
    performance  standard as  required by
    §122.45(b>(2)  for each of the first three
    years. Alternative estimates  may  also
    be submitted if production is likely to
    vary.
      (5) Effluent characteristics. The  re-
    quirements in paragraphs  (h)(4)(i).  (ii>.
    and (iii) of this section  that an  appli-
    cant must provide estimates of certain
    pollutants  expected  to  be present do
    not apply to pollutants present in  a
    discharge  solely  as  a result of their
    presence in  intake water;  however, an
    applicant  must report such  pollutants
    as present. Net credits may be provided
    for the presence of pollutants in intake
    water if the  requirements of §122.45(g)
    are met.  All levels (except for  dis-
    charge  flow, temperature,   and  pH)
    must  be  estimated as  concentration
    and as total mass.
      (i) Each applicant must report esti-
    mated  daily  maximum,  daily average,
    and source of information for each  out-
    fall for  the following pollutants  or pa-
    rameters.  The Director may waive the
    reporting requirements for any of these
    pollutants and parameters if the appli-
    cant submits a request for such a waiv-
    er before or with his application  which
    demonstrates that  information   ade-
    quate to support issuance of the permit
    can be obtained through less stringent
    reporting requirements.
                                         156
    

    -------
    Environmental Protection Agency
                                  §122.21
      (A)  Biochemical   Oxygen   Demand
    (BOD).
      (B) Chemical Oxygen Demand (COD).
      (C) Total Organic Carbon (TOO.
      (D) Total Suspended Solids (TSS).
      (E) Flow.
      (F) Ammonia (as N).
      (G) Temperature  (winter  and  sum-
    mer).
      (H) pH.
      (ii) Each applicant must report esti-
    mated daily  maximum,  daily  average.
    and source of information for each out-
    fall for the following pollutants, if the
    applicant knows or has reason to be-
    lieve they will be present or if  they are
    limited by an effluent limitation guide-
    line  or new source performance stand-
    ard   either  directly   or   indirectly
    through  limitations on  an indicator
    pollutant: all pollutants in table  IV of
    appendix D of part 122 (certain conven-
    tional and  nonconventional   pollut-
    ants).
      (iii) Each applicant must report esti-
    mated daily  maximum, daily  average
    and  source of information for the fol-
    lowing pollutants if he knows or has
    reason to  believe  that they  will  be
    present in the discharges from  any out-
    fall:
      (A) The pollutants listed in  table  III
    of appendix D (the toxic metals, in the
    discharge from any  outfall: Total cya-
    nide, and total phenols):
      (B) The organic toxic pollutants in
    table  II  of  appendix  D  (except bis
    (chloromethyl)  ether,  dichlorofluoro-
    methane and trichlorofluoromethane).
    This requirement is waived for  appli-
    cants with expected gross sales of less
    than $100,000  per year for the next three
    years,  and for coal mines with expected
    average production of less than 100.000
    tons of coal per year.
      (iv) The applicant  is required  to re-
    port that 2.3,7,8 Tetrachlorodibenzo-P-
    Dioxin (TCDD)  may  be discharged if he
    uses or manufactures one  of  the fol-
    lowing compounds,  or if he knows or
    has reason to believe that TCDD will or
    may be present in an effluent:
      (A) 2,4,5-trichlorophenoxy acetic acid
    (2,4,5-T) (CAS #93-76-5);
      (B)  2-(2,4,5-trichlorophenoxy)   pro-
    panoic acid (Silvex, 2,4,5-TP) (CAS #93-
    72-1);
      (C)   2-(2.4.5-trichlorophenoxy)  ethyl
    2.2-dichloropropionate  (Krbon)  (CAS
    #136- -25-4):
      (D)        0.0-dimethyl       0-( 2.4.5-
    trichlorophenyl)      phosphorothioate
    (Ronnel) (CAS #299-84-3);
      (B)  2,4.5-trichlorophenol (TCP) (CAS
    #95 95 4): or
      (F)  Hexachlorophene (HCP) (CAS #70-
    30-4);
      (v)  Bach applicant must report  any
    pollutants  listed in table V of appendix
    D  (certain  hazardous substances) if he
    believes  they will be present in  any
    outfall (no quantitative estimates are
    required unless they are already avail-
    able).
      (vi) No later than two years after the
    commencement  of discharge  from the
    proposed facility,  the applicant  is  re-
    quired to complete and submit Items V
    and VI of NPDES  application Form 2c
    (see §122.21ig>). However,  the applicant
    need  not complete those portions of
    Item  V requiring tests which he has al-
    ready  performed  and reported under
    the discharge monitoring  requirements
    of his NPDES permit.
      (6) Engineering Report. Each applicant
    must  report  the existence of any tech-
    nical  evaluation concerning his waste-
    water treatment, along with the name
    and location of similar plants of which
    he has knowledge.
      (7) Other information. Any optional in-
    formation the permittee wishes to have
    considered.
      (8)  Certification.   Signature  of  certi-
    fying  official under §122.22.
      (1)  Special  provisions for applications
    from new sources.(I) The owner or oper-
    ator  of any  facility which may be a
    new source (as defined in §122.2 )  and
    which is located in a State without an
    approved NPDES  program must com-
    ply with the provisions  of this para-
    graph (1)(1).
      (2)(i)  Before  beginning  any on-site
    construction as defined in §122.29, the
    owner or operator  of any facility which
    may be a new source must submit  in-
    formation  to the  Regional  Adminis-
    trator so that he or she can determine
    if the facility is a new source. The Re-
    gional Administrator may request  any
    additional information needed to deter-
    mine  whether  the  facility  is  a  new
    source.
                                         157
    

    -------
    §122.21
              40 CFR Ch. I (7-1-04 Edition)
      (ii) The Regional Administrator shall
    make an initial determination whether
    the facility is a new source  within  30
    days of  receiving all  necessary infor-
    mation under paragraph (l)(2)(i) of this
    section.
      (3) The Regional Administrator shall
    issue  a  public notice  in  accordance
    with §124.10 of this chapter of the new
    source determination under paragraph
    (1)(2)  of this  section.  If the Regional
    Administrator has determined that the
    facility  is a  new source,  the notice
    shall state that  the  applicant  must
    comply with the environmental review
    requirements  of 40 CFR 6.600 through
    6.607.
      (4) Any  interested party  may  chal-
    lenge the Regional Administrator's ini-
    tial  new  source determination by re-
    questing  review of the  determination
    under  §124.19  of this chapter within  30
    days of the public notice of the initial
    determination. If  all interested parties
    agree,   the   Environmental  Appeals
    Board  may defer  review until  after a
    final permit decision is made, and con-
    solidate  review of the  determination
    with any review of the permit decision.
      (m) Variance requests  by non-POTWs.
    A  discharger  which is  not  a publicly
    owned treatment works (POTW)  may
    request a variance from  otherwise ap-
    plicable effluent limitations under any
    of the following statutory  or  regu-
    latory  provisions within  the  times
    specified in this paragraph:
      (1) Fundamentally different factors, (i)
    A  request for a variance based on the
    presence  of  "fundamentally different,
    factors" from  those on which the  efflu-
    ent  limitations  guideline  was  based
    shall be filed as follows:
      (A) For a   request from best  prac-
    ticable  control technology  currently
    available (BPT).  by the close of the
    public  comment period under §124.10.
      (B) For a request from best available
    technology  economically  achievable
    (BAT)  and/or  best conventional pollut-
    ant control technology (BCT). by no
    later than:
      (1) July 3. 1989. for a request based on
    an effluent limitation  guideline  pro-
    mulgated before  February 4. 1987. to
    the extent July 3. 1989 is not later than
    that provided under previously promul-
    gated regulations: or
      (2) 180 days after  the  date  on which
    an effluent limitation guideline is pub-
    lished  in  the  FKDKRAI, RKGISTKR for a
    request based on an  effluent limitation
    guideline  promulgated on or after Feb-
    ruary 4. 1987.
      (ii) The request shall explain how the
    requirements  of the  applicable regu-
    latory and or statutory criteria  have
    been met.
      (2) Non-conventional pollutants. A  re-
    quest for  a variance  from  the BAT  re-
    quirements for CWA section 301(b)(2)(F)
    pollutants (commonly called  "non-con-
    ventional" pollutants) pursuant to sec-
    tion 301(c) of  CWA because of the eco-
    nomic capability of  the  owner or oper-
    ator,  or pursuant to  section 301(g)  of
    the  CWA  (provided however  that  a
    §301(g) variance may only be  requested
    for ammonia:  chlorine;  color:  iron;
    total phenols (4AAP) (when determined
    by the Administrator to be a  pollutant
    covered by section 301(b)(2)(F)) and any
    other  pollutant  which  the  Adminis-
    trator lists under section  301(g)(4)  of
    the CWA) must be made as follows:
      (i) For those requests for a variance
    from an effluent  limitation based upon
    an effluent limitation guideline by:
      (A)  Submitting an initial request  to
    the Regional Administrator, as well  as
    to  the State  Director if applicable.
    stating the name of the discharger, the
    permit number, the  outfall number!s).
    the applicable effluent  guideline, and
    whether the discharger is requesting a
    section 301(c) or section 301(g) modi-
    fication  or  both. TMs request must
    have been filed not later than:
      (7) September 25. 1978.  for a  pollutant
    which  is controlled  by a BAT effluent
    limitation guideline promulgated be-
    fore December 27. 1977; or
      (2) 270 days  after promulgation of an
    applicable effluent limitation guideline
    for guidelines promulgated after  De-
    cember 27. 1977: and
      (B)  Submitting a  completed  request
    no  later than the close of the public
    comment  period  under  §124.10 dem-
    onstrating that  the  requirements   of
    §124.13 and the applicable requirements
    of part 125  have been  met.  Notwith-
    standing  this provision, the  complete
    application for a request under section
    301(g) shall be filed 180 days before EPA
                                         158
    

    -------
    Environmental Protection Agency
                                  §122.21
    must, make a decision (unless the Re-
    gional Division Director establishes a
    shorter or longer period).
      (ii) For those requests for a variance
    from effluent limitations not haseil on
    effluent  limitation guidelines,  the re-
    quest need only comply with paragraph
    (ni)(2)(i)iB> of this section and need not
    be preceded by an initial request under
    paragraph (m)(2)(i)(A) of this section.
      (3) (4)[Reserved]
      (5) Water Quality related effluent limita-
    tions.  A  modification  under  section
    302(b)(2l  of requirements under  section
    302ia>  for achieving1  water  quality re-
    lated effluent  limitations  may  be re-
    quested no later than the close of the
    public comment period under §124.10 on
    the  permit from  which the  modifica-
    tion is sought.
      (6)  Thermal  discharges.  A variance
    under CWA section 316 thermal variances.)
      (n) Variance requests by POTWs. A dis-
    charger  which  is a publicly   owned
    treatment  works (POTW) may request
    a variance  from otherwise  applicable
    effluent  limitations  under  any  of the
    following statutory provisions as speci-
    fied in this paragraph:
      (1) Discharges into marine waters. A re-
    quest for a  modification  under  CWA
    section 301(h) of requirements of CWA
    section 301(b)(lXB> for discharges  into
    marine waters must be filed in  accord-
    ance with the requirements of 40 CFR
    part 125.  subpart G.
      (2) [Reserved]
      (3) Water quality based effluent limita-
    tion. A modification under CWA  section
    302(b)i2) of the requirements under sec-
    tion 302(a)  for achieving water quality
    based effluent  limitations shall  be re-
    quested no later than the close  of the
    public comment period under § 124.10 on
    the permit  from  which the modifica-
    ! ion is sought.
      to)  Kipedited variance procedures and
    nine extensions. (1) Notwithstanding the
    time  requirements in  paragraphs (m»
    and (n)  of  this section, the  Director
    may notify  a permit applicant before a
    draft  permit is issued under §124.6 that
    the draft permit will likely  contain
    limitations   which  are  eligible  for
    variances.  In  the notice the  Director
    may require the applicant as  a  condi-
    tion of consideration  of any potential
    variance request,  to submit a request
    explaining   how  the   requirements of
    part 125 applicable to the variance have
    been met and may require its submis-
    sion within  a specified  reasonable time
    after  receipt of the notice.  The  notice
    may be sent before the permit applica-
    tion has been submitted. The  draft or
    final  permit may contain  the  alter-
    native limitations which may become
    effective upon  final  grant of the vari-
    ance.
      (2) A discharger who cannot  file a
    timely   complete  request    required
    under    paragraph       or
    un)(2)(ii) of this  section may request
    an  extension.  The extension  may be
    granted or  denied at the discretion of
    the Director.  Extensions shall  be  no
    more than 6 months in duration.
      (p) Recordkeeping. Except for informa-
    tion required by paragraph (d)<3>
    -------
    §122,21
              40 CFR Ch. I (7-1-04 Edition)
    substantially   identical  information.
    The  Director  may also waive any re-
    quirement of this paragraph that is not
    of material  concern for a specific per-
    mit, if  approved by the Regional  Ad-
    ministrator. The waiver request to the
    Regional Administrator must include
    the State's justification for the waiver.
    A    Regional    Administrator's    dis-
    approval of a State's  proposed  waiver
    does not constitute final  Agency ac-
    tion,  but does  provide notice  to  the
    State and permit applicant^) that EPA
    may object  to any State-issued  permit
    issued in  the absence of the required
    information-
      Ill Facility in formal Ion. All applicants
    must, submit the  following  informa-
    tion:
      (i) The name, mailing address, and lo-
    cation of the TWTDS for which the ap-
    plication is submitted:
      lii) Whether the  facilitv is  a Class I
    Sludge Management Facility:
      (iii) The design  flow rate tin million
    gallons per day):
      (iv> The total population  served: and
      (V) The TWTDS" s status  as Federal.
    State,  private, public, or other  entity:
      (2) Applicant  information. All  appli-
    cants must submit the following infor-
    mation:
      (i) The  name, mailing  address,  and
    telephone number of the .applicant: and
      (ii) Indication whether the applicant
    is the owner, operator, or both;
      (3) Permit  information. All applicants
    must submit the facility's NPDES per-
    mit number, if applicable, and a listing
    of all  other  Federal.  State, and local
    permits or construction approvals re-
    ceived or applied  for under any of the
    following" programs:
      (i)  Hazardous  Waste  Management
    program under the Resource Conserva-
    tion and Recovery Act (RCRAi:
      (ii) UIC   program   under the  Safe
    Drinking Water Act (SDWAs;
      (iii) NPDES program under the Clean
    Water Act rCWA»:
      (iv) Prevention  of Significant Dete-
    rioration  (PSD)  program  under  the
    Clean Air Act:
      (V)  Nonattainment  program  under
    the Clean Air Act:
      (vi) National Emission Standards for
    Hazardous  Air Pollutants (NESHAPS)
    preconstruction  approval  under  the
    Clean Air Act:
      iviii Dredge or fill permits under sec-
    tion 40-! of CWA:
      iviii)  Other relevant environmental
    permits, including  State  or local per-
    mits:
      (4)  Indian  country.   All  applicants
    must  identify  any  generation,  treat-
    ment, storage, land application, or dis-
    posal  of sewage sludge that occurs  in
    Indian country:
      in) Topographic map. All applicants
    must  submit a topographic  map  (or
    other map  if a topographic map is un-
    available'  extending one  mile  beyond
    property boundaries of the facility and
    showing the following information:
      (ii All sewage sludge management fa-
    cilities,  including  on-site  treatment.
    storage, and disposal sites: and
      (iii Wells, springs, and  oilier  surface
    water bodies that are within ' i  mile of
    the property boundaries  and  listed  in
    publk-  records  or otherwise known  to
    the appiirant:
      ((3) ,Vr?fcij7e' xludge  handling. All appli-
    cants must submit  a line  drawing and
    or a narrative  description that  identi-
    fies  all  sewag'e  sludge  management
    practices employed during the term of
    the permit, including all units used for
    collecting,   dewatering.   storing",   or
    treating sewage  sludge,  the  destina-
    tion! si of all liquids and solids  leaving
    each such  unit, and all processes used
    for pathogen reduction and vector at-
    traction reduction:
      (7) St'it'iigt'  sludge  quality. The appli-
    cant must  submit sewage sludge moni-
    toring data for the pollutants for which
    limits  in sewage  sludge have been es-
    tablished in 40 CFR part 503 for  the ap-
    plicant's use or disposal  practices  on
    the date of permit application.
      (ii The Director   may  require sam-
    pling  for additional pollutants, as ap-
    propriate, on a case-tay-case basis:
      (iii  Applicants  must  provide data
    from  a  minimum   of three  samples
    taken  within four  and one-half years
    prior to the date of the permit applica-
    tion.  Samples  must be representative
    of the  sewage sludge and should  be
    taken at least one month apart. Exist-
    ing data may be used in lieu of sam-
    pling done  solely for the purpose of this
    application;
      (iii) Applicants  must collect and ana-
    lyze samples in accordance with ana-
    lytical methods approved  under SW-846
                                         160
    

    -------
    Environmental Protection Agency
                                  §122.21
    unless an alternative has been specified
    in an existing sewage sludge permit:
      (iv)  The  monitoring  data provided
    must include  at least the following in-
    formation for each parameter:
      (A) Average monthly concentration
    for all samples  (mg/kg dry  weight).
    based upon actual sample values:
      (B) The analytical method used: and
      (C) The method detection  level.
      (8) Preparation of sewage sludge. If the
    applicant is a "person  who  prepares"
    sewage sludge, as defined  at 40 CFR
    503.9 are met. and
    a  description of  any  treatment proc-
    esses used to  reduce vector attraction
    properties in sewage sludge; and
      (C) A description of any other blend-
    ing, treatment, or other activities that
    change the quality of sewage sludge:
      (iv) If sewage sludge from the appli-
    cant's  facility meets  the ceiling con-
    centrations in 40  CFR 503.13(b)(l). the
    pollutant      concentrations      in
    §503.13(b>(3). the  Class A pathogen  re-
    quirements in §503.32(a). and one of the
    vector  attraction  reduction  require-
    ments in  §503.33(b)(l)  through  (b)(8).
    and if the sewage sludge is applied to
    the land, the applicant must provide
    the total dry metric tons  per 365-day
    period of sewage sludge subject to this
    paragraph that is applied to the land:
      (v) If sewage  sludge from the  appli-
    cant's facility is sold or given away in
    a bag or  other container for application
    to the land,  and the sewage sludge  is
    not subject,  to  paragraph  (q)(8)(iv) of
    this  section, the  applicant must  pro-
    vide the  following information:
      (A) The total dry metric tons per 365-
    day period of sewage sludge subject to
    this  paragraph  that is  sold or given
    away  in  a bag  or other container for
    application to the land: and
      (B)  A  copy of all  labels  or notices
    that  accompany  the  sewage  sludge
    being sold or given away:
      (vi) If  sewage  sludge  from the  appli-
    cant's facility  is  provided  to another
    "person who  prepares." as defined at 40
    CFR 503.9(r). and the sewage sludge  is
    not subject  to  paragraph  (q)(8)(iv) of
    this  section, the  applicant must  pro-
    vide the  following information for each
    facility receiving the sewage sludge:
      (A) The name  and mailing address of
    the receiving facility:
      (Bi The total dry metric tons per 365-
    day period of sewage sludge subject to
    this paragraph that the applicant  pro-
    vides to the receiving facility:
      (C)  A  description of any treatment,
    processes occurring at the receiving fa-
    cility, including  blending activities
    and treatment to reduce pathogens or
    vector attraction characteristic:
      (D)  A  copy of  the  notice and  nec-
    essary information that the applicant
    is required to provide the receiving fa-
    cility under 40 CFR 503.12
    -------
    §122.21
              40CFRCH. I (7-1-04 Edition)
      (i) The total dry metric tons per 365-
    day period of sewage sludg'e subject to
    this  paragraph that  is applied to the
    land:
      (ii)  If any  land application Kites are
    located in States other than the State
    where the sewage sludge is prepared, a
    description  of how the  applicant  will
    notify the permitting' authority for the
    States s)  where  the  land  application
    sites are located:
      (iii)  The  following'  information for
    each  land application  site  that  has
    been  identified at the time of permit
    application:
      (A)  The name (if any), and  location
    for the land application site:
      (B)  The site's  latitude and longitude
    to the nearest second, and method of
    determination:
      (C) A topographic map (or other map
    if  a  topographic map is  unavailable)
    that shows the site's location:
      (D)  The name, mailing address,  and
    telephone number of  the site owner,  if
    different from the applicant:
      (E)  The name, mailing address,  and
    telephone number  of the  person  who
    applies sewage sludge to  the; site, if dif-
    ferent from the applicant:
      (F)  Whether the  site is  agricultural
    land,  forest,  a public  contact  site, or a
    reclamation  site, as such site types are
    defined under 40 CFR  503.11:
      (G)  The type of vegetation grown on
    the site,  if known, and the nitrogen re-
    quirement for this vegetation:
      (H)  Whether either of  the vector at-
    traction  reduction options of 40 CFR
    503.33(b)(9) or 
    -------
    Environmental Protection Agency
                                 §122.21
    number for the surface disposal site:
    and
      (B)  The total dry metric tons from
    the applicant's facility per 365-day pe-
    riod placed on the surface disposal site:
      (iii)  The  following  information for
    each active  sewage sludge  unit at each
    surface disposal site that the applicant
    owns or operates:
      (A)  The name or number and the lo-
    cation of the active sewage sludge unit:
      (B) The unit's latitude and longitude
    to the nearest second, and method of
    determination;
      (C)  If not already provided, a  topo-
    graphic map (or other map if a topo-
    graphic map is unavailable) that shows
    the unit's location:
      (D)  The total dry metric tons placed
    on the active sewage  sludge  unit per
    365-day period:
      (E)  The total dry metric tons placed
    on the active  sewage sludge unit over
    the life of the unit;
      (F) A description of any  liner for the
    active sewage  sludge  unit, including
    whether  it  has  a  maximum  perme-
    ability of 1 x 10 7 cm,sec:
      (G) A description of any leachate col-
    lection  system  for the  active  sewage
    sludge unit, including the method used
    for leachate disposal, and any Federal.
    State, and local  permit, number* s> for
    leachate disposal:
      (H) If the active  sewage sludge unit is
    less than 150 meters from the property
    line of the surface disposal site, the ac-
    tual  distance  from the  unit boundary
    to the site property line:
      (I) The remaining capacity (dry met-
    ric tons) for the active  sewage sludge
    unit:
      (J) The date on which the active sew-
    age sludge unit is expected to  close, if
    such a date has been identified:
      (K)  The  following  information for
    any other facility that sends  sewage
    sludge to  the  active  sewage  sludge
    unit:
      (1)  The name,  contact  person, and
    mailing address of the facility: and
      (2)  Available  information regarding
    the quality  of the sewage sludge re-
    ceived from  the facility, including any
    treatment  at  the facility to  reduce
    pathogens or vector attraction charac-
    teristics;
      (L) Whether  any of the vector attrac-
    tion   reduction   options  of  40  CFR
    503.33(b)(9) through (b)(ll) is met at the
    active sewage  sludge,  unit, and  a de-
    scription  of any procedures employed
    at the time of disposal to reduce vector
    attraction properties in sewage sludge:
      (M) The following information, as ap-
    plicable  to any  ground-water moni-
    toring occurring at the  active sewage
    sludge unit:
      (1) A description of any ground-water
    monitoring occurring  at  the active
    sewage sludge unit:
      (2) Any  available ground-water moni-
    toring data, with a description of the
    well locations  and approximate  depth
    to ground water;
      (3) A copy of any ground-water moni-
    toring plan that has been prepared for
    the active sewage sludge  unit:
      (4) A  copy  of any certification that
    lias  been  obtained  from  a  Qualified
    ground-water scientist that the aquifer
    has not been contaminated: and
      (N) If site-specific pollutant limits
    are being sought for the  sewage sludge
    placed  on this active sewage sludge
    unit, information to support such a re-
    quest:
      (11)  Incineration.  If sewage sludge
    from the applicant's facility is fired in
    a sewage  sludge incinerator, the appli-
    cant must provide the following  infor-
    mation:
      (i) The  total  dry metric tons of sew-
    age sludge from the applicant's facility
    that is  fired  in  sewage sludge inciner-
    a.tors per 365-day period:
      (ii) The following  information for
    each  sewage  sludge incinerator  firing
    the applicant's sewage sludge that the
    applicant does not own or operate:
      (A) The name and or number, contact
    person,  mailing address,  and telephone
    number of the sewage sludge inciner-
    ator: and
      (B) The  total dry metric tons  from
    the applicant's facility per  365-day pe-
    riod fired in the sewage sludge inciner-
    ator:
      (iii) The following  information for
    each  sewage  sludge  incinerator  that
    the applicant owns or operates:
      (A) The name and/or number and the
    location of the  sewage sludge inciner-
    ator:
      (B) The incinerator's   latitude and
    longitude to  the  nearest second, and
    method of determination:
                                         163
    

    -------
    §122.21
              40CFRCH. I (7-1-04 Edition)
      (C) The total dry metric tons per 365-
    day period fired in the  sewaye sludge.
    incinerator:
      (D) Information,  test data, and docu-
    mentation of ongoing- operating param-
    eters  indicating- that  compliance with
    the National Emission Standard for Be-
    ryllium  in 40  CFR part  61  will  be
    achieved:
      (E) Information,  test data, and docu-
    mentation of ongoing operating- param-
    eters  indicating- that  compliance with
    the National  Emission   Standard for
    Mercury  in 40  CFR  part  61  will  be
    achieved:
      (F) The dispersion factor for the sew-
    age sludge incinerator, as well as mod-
    eling   results  and supporting  docu-
    mentation;
       The control efficiency for param-
    eters regulated in 40 CFR 503.43. as well
    as performance test results and sup-
    porting documentation:
      (H) Information used to calculate the
    risk specific  concentration  (RSC) for
    chromium, including the results of in-
    cinerator stack  tests for  hexavalent
    and total chromium concentrations,  if
    the applicant  is requesting- a chromium
    limit   based   on a site-specific  RSC
    value;
      (I) Whether the  applicant monitors
    total  hydrocarbons (THC) or  Carbon
    Monoxide (CO) in the exit g-as  for the
    sewage sludge incinerator:
      < J) The type of sewage  sludge inciner-
    ator:
      (K)  The  maximum performance test
    combustion temperature, as obtained
    during the performance test of the sew-
    age sludge incinerator   to  determine
    pollutant control efficiencies:
      (L) The following information on the
    sewage sludge feed  rate used during the
    performance test:
      (1) Sewage  sludge feed rate  in dry
    metric tons per day;
      (2) Identification of whether the feed
    rate submitted is  average use or  max-
    imum design;  and
      (3) A description  of how the feed rate
    was calculated;
      (M)  The incinerator stack height in
    meters for each stack, including identi-
    fication of whether actual or creditable
    stack height was used:
      (N) The operating parameters for the
    sewage sludge incinerator air pollution
    control  device(s),   as  obtained  during
    ihe  performance  test  of the  sewage
    sludye incinerator to determine pollut-
    ant control efficiencies:
      (O) Identification  of  the  monitoring
    equipment in place,  including (but not
    limited to)  equipment  to monitor the
    following:
      fl)  Total hydrocarbons  or   Carbon
    Monoxide:
      (2) Percent oxygen:
      i.'l) Percent moisture: and
      14) Combustion temperature: and
      'P» A list of all air pollution  control
    equipment  used  with  this   sewage
    sludge incinerator:
      (12) Disposal in a municipal solid waste
    hind fill. If sewage  sludge from  the ap-
    plicant's facility is sent to a municipal
    solid waste landfill  (MSWLF).  the ap-
    plicant must provide the following in-
    formation  for each  MSWLF to which
    sewage sludge is sent:
      ii) The name, contact person, mailing
    address,  location, and  all  applicable
    permit numbers of the MSWLF:
      (ii) The total dry metric tons  per 365-
    day  period  sent from this facility to
    the MSWLF:
      (iii)  A determination of whether the
    sewage sludge  meets   applicable  re-
    quirements  for  disposal  of   sewage
    sludge in a MSWLF. including  the re-
    sults of the paint filter liquids test and
    any additional requirements that apply
    on a site-specific basis: and
      (iv> Information, if known, indicating
    whether the MSWLF complies with cri-
    teria set forth in 40 CFR part 258:
      (13) Contractors.  All applicants must
    provide  the name,   mailing address.
    telephone number, and responsibilities
    of all  contractors responsible  for  any
    operational or maintenance aspects of
    the  facility related  to  sewage  sludge
    generation, treatment, use.  or disposal;
      (14) Other information.  At  the  request
    of the permitting authority, the appli-
    cant must provide any other informa-
    tion necessary to determine the appro-
    priate standards for permitting under
    40 CFR part 503, and must provide any
    other information necessary to assess
    the  sewage sludge  use  and disposal
    practices, determine  whether to issue a
    permit, or identify appropriate  permit
    requirements; and
      (15) Signature.  Al!  applications must
    be signed  by  a certifying official  in
    compliance with §122.22.
                                         164
    

    -------
    Environmental Protection Agency
                                    §122.21
      [Note 1: At 46 FR 2046. Jan. 8. 1981. the En-
    vironmental Protection  Agency  suspended
    until  further  notice  §122.21(g)(7)(v)(A) and
    the corresponding-  portions of Item V-C  of
    the NPDES application  Form  2C as  they
    apply to coal  mines. This suspension con-
    tinues in effect.!
      [Note 2;  At 46 FR 22585. Apr. 20. 1981. the
    Environmental Protection Agency suspended
    until  further  notice  §122.21(gl)(7)(v)(Ai and
    the corresponding  portions of Item V-C  of
    the NPDES application  Form  2C as  they
    apply to:
      a. Testing and reporting' for all four or-
    ganic fractions  in  the Greige  Mills  Sub-
    category of the Textile Mills industry (sub-
    part C—-Low water use processing of 40 GFR
    part 410). and  testing and reporting for the
    pesticide fraction in  all other subcategories
    of this industrial category.
      b. Testing and reporting1  for the volatile.
    base/neutral and pesticide  fractions  in the
    Base and Precious Metals Subcategory of the
    Ore Mining and Dressing industry (subpart B
    of 40 CFR part  440). and testing and reporting
    for  all four fractions  in all other subcat-
    egories of this  industrial category.
      c. Testing and reporting for all  four GC.-MS
    fractions in the Porcelain Enameling indus-
    try.
    This revision continues that suspension.] '•
      [Note 3: At 46 FR 35090. July 1. 1981, the En-
    vironmental Protection  Agency  suspended
    until  further  notice  §122.21(gK7)(v)tA) and
    the corresponding  portions of Item V-C  of
    the NPDES application  Form  2C as  they
    apply to:
      a. Testing and reporting for the pesticide
    fraction in the Tall  Oil Rosin Subcategory
    (subpart  D) and  Rosin-Based   Derivatives
    Subcategory (subpart. F) of the Gum and
    Wood Chemicals industry (40 CFR part. 454).
    and testing and reporting for the pesticide
    and base-neutral fractions in all other sub-
    categories of this industrial category.
      b. Testing and reporting for the pesticide
    fraction in the Leather  Tanning and Fin-
    ishing.  Paint and Ink Formulation, and Pho-
    tographic Supplies industrial categories.
      c. Testing and reporting for the acid, base/
    neutral and pesticide fractions in the Petro-
    leum Refining  industrial category.
      d. Testing and reporting for the pesticide
    fraction in the Papergrade  Sulfite subcat-
    egories (subparts J and U)  of the Pulp and
    Paper industry (40 CFR part 430):  testing and
    reporting for the base/neutral and pesticide
    fractions  in   the  following  subcategories:
    Deink (subpart Q). Dissolving Kraft (subpart
    F),  and Paperboard from Waste Paper (sub-
    part E): testing and  reporting for the vola-
    tile, base neutral and pesticide fractions  in
    the following  subcategories: BCT  Bleached
    Kraft (subpart H),  Semi-Chemical (subparts
    B  and  C).  and Nonintegrated-Fine  Papers
    (subpart R); and testing and reporting for the
    acid, base/neutral, and pesticide fractions in
    the following subcategories: Fine Bleached
    Kraft (subpart  I).  Dissolving  Sulfite Pulp
    (subpart K). Groundwood-Fine Papers (sub-
    part 0). Market Bleached Kraft (subpart G).
    Tissue  from  Wastepaper (subpart T). and
    \onintegrated-Tissue Papers (subpart  S).
      e. Testing and reporting for  the base neu-
    tral  fraction in  the  Once-Through Cooling
    Water.  Fly Ash and  Bottom Ash  Transport
    Water  process wastestreams  of the  Steam
    Electric Power Plant  industrial category.
    This revision continues that suspension.]  '•
      (D Applications for facilities with cool-
    ing water  intake structures—(1) New  fa-
    cilities with new or modified cooling water
    intake  structures.   New  facilities  with
    cooling water intake  structures as de-
    fined  in  part  125.  subpart T.  of this
    chapter must  report the  information
    required  under paragraphs (r)(2). (3).
    and (4) of this section  and §125.86  of
    this chapter.  Requests  for alternative
    requirements   under  § 125.85  of  this
    chapter must be submitted with  your
    permit application.
      (2) Source wafer  physical  data.  These
    include:
      (i) A narrative description and scaled
    drawings showing the physical configu-
    ration of  all source water  bodies used
    by your facility, including area] dimen-
    sions,  depths,  salinity and temperature
    regimes, and other documentation that
    supports   your  determination of  the
    water  body type  where  each cooling
    water intake structure is located:
      (ii) Identification  and  characteriza-
    tion   of   the   source   waterbody's
    hydrological and geomorphological fea-
    tures,  as  well as  the methods you used
    to conduct any physical studies to de-
    termine your intake's area  of influence
    writhin the vvaterbody  and the results of
    such studies; and
      (iii) Locational maps.
      (3) Cooling water  intake structure data.
    These include:
      (i) A narrative description of the con-
    figuration  of  each  of  your  cooling
    water intake structures and where it is
    located in the water body and  in the
    water column;
      (ii) Latitude  and longitude in de-
    grees,  minutes, and seconds for each of
    your cooling water intake structures;
      1 EDITORIAL  NOTE: The  words "This revi-
    sion" refer to the document  published at 48
    FR 14153. Apr. 1. 1983.
                                            165
    

    -------
    §122.22
              40 CFR Ch, I (7-1-04 Edition)
      (iii)  A narrative  description  of the
    operation of each of your cooling' water
    intake structures, including design in-
    take  flows, daily hours of operation.
    number of days of the year in operation
    and seasonal changes, if applicable;
      (iv)  A flow  distribution  and  water
    balance  diagram  that includes  all
    sources of water to the facility, recir-
    culating flows, and discharges: and
      (v) Engineering drawings of the cool-
    ing water intake structure.
      (4)  Source  water   baseline  biological
    characterization data. This information
    is required to characterize the  biologi-
    cal  community in the  vicinity of the
    cooling water  intake structure  and to
    characterize the operation of the cool-
    ing water intake structures. The Direc-
    tor may also  use this  information in
    subsequent permit renewal proceedings
    to determine  if your Design and Con-
    struction Technology Plan as required
    in §125.86(b)(4)  of this chapter should be
    revised.  This  supporting information
    must include existing data (if they are
    available). However, you may  supple-
    ment the data using newljr conducted
    field studies if you choose to do so. The
    information you submit must include:
      (i) A list of the data in paragraphs
    (r)(4)(ii)  through (vi)  of this  section
    that are not available and efforts made
    to identify sources of the data:
      (ii) A list of species (or relevant taxa)
    for  all life stages  and  their relative
    abundance in the vicinity of the cool-
    ing water intake structure:
      (iii)  Identification  of the species and
    life stages that would be most suscep-
    tible to impingement and entrainment..
    Species  evaluated  should include  the
    forage base as well as  those most im-
    portant  in  terms  of  significance  to
    commercial and recreational fisheries:
      (iv) Identification  and evaluation of
    the  primary  period of reproduction.
    larval  recruitment,  and period  of peak
    abundance for relevant  taxa:
      (v)  Data  representative  of  the sea-
    sonal and daily activities (e.g.. feeding
    and  water column  migration)  of bio-
    logical organisms in  the vicinity of the
    cooling water intake structure:
      (vi) Identification  of  all threatened.
    endangered,  and other  protected spe-
    cies  that might be  susceptible  to im-
    pingement  and  entrainment  at  your
    cooling water intake structures:
      (vii) Documentation  of  anj7  public
    participation or consultation with Fed-
    eral or State  agencies  undertaken in
    development of the plan; and
      (viii) If 5rou supplement the informa-
    tion requested in paragraph  (r)(4)(i) of
    this section  with data collected using
    field  studies,  supporting  documenta-
    tion for the Source Water Baseline Bio-
    logical  Characterization must include
    a description of all methods  and qual-
    ity assurance procedures for  sampling,
    and  data  analysis including  a descrip-
    tion of the study area: taxonomic iden-
    tification of  sampled and evaluated bi-
    ological assemblages (including  all life
    stages of fish and  shellfish);  and sam-
    pling and data analysis methods. The
    sampling  and/or data analysis methods
    you  use  must be  appropriate  for  a
    quantitative  survey and based on con-
    sideration of methods used in other bi-
    ological  studies  performed within  the
    same source  water  body.  The  study
    area should include, at a minimum, the
    area of influence of the cooling water
    intake structure.
    
    148 FR 11153. Apr. 1. 1983. as amended at 49
    FR 31842. Aug. 8, 1984: 49 FR 38046. Sept. 26.
    1984;  50 FR 6940. 6941, Feb. 19. 1985: 50 FR
    35203. AUK. 29. 1985:  51 FR 26991. July 28. 1986:
    53 FR 4158. Feb. 12.  1988: 53 FR  33007, Sept. 6,
    1988: 54 FR 254. Jan. 4, 1989: 54 FR 18782. May
    2. 1989: 55 FR 30128,  July 24. 1990: 55 FR 48062.
    Nov. 16. 1990: 58 FR 9413.  Feb. 19,  1993: 60 FR
    17956. Apr.  7, 1995; 60 FR 33931.  June  29. 1995:
    60 FR 40235. Aug'. 7, 1995: 64 FR 42462. Aug-. 4.
    1999:  64 FR 68838, Dec. 8. 1999: 65 FR 30905.
    May 15. 2000; 66 FR  65337. Dec. 18. 2001: 68 FR
    7265. Feb. 12. 2003]
    
    $ 122.22   Signatories to permit applica-
        tions  and  reports  (applicable  to
        State programs, see § 123.25).
      (a)  Applications. All permit applica-
    tions shall be signed as follows:
      (1) For a corporation. By a responsible
    corporate officer. For the purpose of
    this section, a responsible corporate of-
    ficer means:  (i) A president,  secretary,
    treasurer, or vice-president of the cor-
    poration in charge of a  principal busi-
    ness function, or any other person who
    perfoms  similar   policy- or   decision-
    making functions for the corporation,
    or (ii) the manager of one or more man-
    ufacturing, production, or operating fa-
    cilities, provided, the manager is  au-
    thorized to  make management deci-
    sions which govern the operation of the
                                          166
    

    -------
    Environmental Protection Agency
                                   §122.23
    regulated facility including having the
    explicit or  implicit duty of  making-
    major capital investment recommenda-
    tions,  and  initiating   and  directing'
    other comprehensive measures to as-
    sure  long term environmental  compli-
    ance  with environmental laws and reg-
    ulations; the manager can ensure that
    the necessary systems  are established
    or actions  taken to gather  complete
    and  accurate  information for permit
    application  requirements:  and where
    authority to sign documents has  been
    assigned or  delegated to the manager
    in accordance  with corporate proce-
    dures.
      NOTE: EPA does not require specific assign-
    ments or delegations of authority to respon-
    sible   corporate   officers   identified  in
    §122.22(a)(l)(i). The Agency will presume that.
    these  responsible corporate officers have the
    requisite authority to sign permit applica-
    tions unless the corporation has notified the
    Director  to the contrary.  Corporate  proce-
    dures  governing authority to sign permit ap-
    plications may  provide for assignment  or
    delegation to  applicable corporate positions
    under §122.22(a)(l)(ii> rather than to specific
    individuals.
      (2) For a partnership or note proprietor-
    ship.  'By a general partner or the pro-
    prietor,  respectively: or
      (3)  For a municipality. State,  Federal,
    or other  public agency. By either a prin-
    cipal  executive officer or ranking elect-
    ed official. For purposes of this  section.
    a principal executive officer  of a  Fed-
    eral agency includes: .  Re-
    source Conservation  and Recovery  Act (42
    U.S.C. 6901 t-l, «'(/.n
    (48 FR 14158. Apr. 1.  1983. as amended at 48
    FR 39619. Sept. I. 1983: 49 FR 38047. Sept. 29.
    1984: 50 FR  6941.  Feb. 19. 1985: 55 FR 48063.
    Nov. 16. 1990: 65 FR 30907. May 15. 20001
    
    § 122.23  Concentrated animal feeding
       operations  (applicable   to  State
       NPDES programs, see § 123.25),
      (a) Permit re.Quimnent for CAFOs. Con-
    centrated animal feeding operations, as
    defined in  paragraph  of this section.
    are point sources that require NPDES
    permits for discharges or  potential dis-
    charges. Once  an operation is  defined
    as a  CAFO.  the NPDES  requirements
    for CAFOs apply  with respect  to  all
                                          167
    

    -------
    §122.23
              40 CFR Ch. I (7-1-04 Edition)
    animals  in  confinement  at the  oper-
    ation and all  manure, litter and  proc-
    ess wastewater generated by those ani-
    mals  or  the production  of those  ani-
    mals, regardless of the type of animal.
      (b) Definitions applicable to this sec-
    tion:
      (1)  Animal feeding  operation  ("AFO")
    means a lot or facility (other  than an
    aquatic  animal   production   facility)
    where the  following  conditions  are
    met:
      (i) Animals  (other  than aquatic ani-
    mals) have been. are. or will be stabled
    or confined  and fed or maintained for a
    total  of 45 days  or  more in  any 12-
    month period, and
      (ii)  Crops, vegetation, forage growth.
    or post-harvest residues  are not  sus-
    tained in the normal  growing season
    over any portion of the lot or  facility.
      (2)  Concentrated animal feeding  oper-
    ation  ("CAFO") means an  AFO  that  is
    defined as a Large CAFO or as a Me-
    dium CAFO by the terms of this  para-
    graph, or that is designated as a CAFO
    in accordance with  paragraph  (o of
    this section. Two  or  more AFOs under
    common ownership are considered to
    be a single AFO for the purposes of de-
    termining the number of animals at an
    operation, if they adjoin  each  other or
    if they use  a common area or system
    for the disposal of wastes.
      (3)  The  term  land application  area
    means land under the  control of an
    AFO  owner or operator,  whether  it  is
    owned, rented, or  leased,  to which ma-
    nure, litter  or process wastewater from
    the production area  is or  may be ap-
    plied.
      (4)  Large  concentrated animal feeding
    operation  ("Large  CAFO").  An  AFO  is
    defined as a Large CAFO if it stables or
    confines as  many as  or more than the
    numbers of animals specified in any  of
    the following categories:
      (i)  700 mature  dairy cows,  whether
    milked or dry;
      (ii) 1.000 veal calves;
      (iii) 1,000 cattle other  than  mature
    dairy cows  or veal  calves. Cattle in-
    cludes but  is not limited to  heifers.
    steers, bulls and cow/calf pairs;
      (iv)  2,500  swine each   weighing  55
    pounds or more:
      (v)  10,000 swine each  weighing less
    than  55 pounds;
      (vi) 500 horses;
      (vii) 10.000 sheep or lambs:
      (viii) 55.000 turkeys:
      (ix) 30.000 laying hens or broilers, if
    the AFO uses a liquid manure handling
    system:
      (x) 125.000 chickens (other than  lay-
    ing hens), if the AFO uses other than a
    liquid manure handling system;
      Cxi) 82.000  laying  hens,  if  the  AFO
    uses other than a liquid manure han-
    dling system;
      (xii)  30.000 ducks  (if  the  AFO  uses
    other than  a liquid  manure handling-
    system): or
      (xiii)  5.000  ducks (if the AFO uses a
    liquid manure handling system).
      (5) The term manure is defined to in-
    clude manure,  bedding,  compost  and
    raw materials or other materials com-
    mingled with manure or set aside for
    disposal.
      (6) Medium  concentrated animal feeding
    operation ("Medium CAFO"). The term
    Medium CAFO includes any AFO with
    the type and number of animals  that
    fall within any of the ranges listed in
    paragraph  (b)(6)(i) of this section  and
    which has been defined or designated as
    a CAFO. An AFO is defined as a  Me-
    dium CAFO if:
      (i) The type  and number of animals
    that it  stables or confines falls within
    any of the following ranges:
      (A) 200 to  699  mature  dairy cows,
    whether milked or dry:
      (B) 300 to 999 veal calves:
      (C) 300 to 999 cattle  other than  ma-
    ture dairy cows or veal calves. Cattle
    includes but is  not  limited  to heifers.
    steers, bulls and cow/calf pairs;
      (D) 750 to 2,499 swine each weighing 55
    pounds  or more;
      (E) 3.000 to 9.999 swine each weighing
    less than 55 pounds:
      (F) 150 to 499 horses:
      (G) 3.000 to 9,999 sheep or lambs;
      (H) 16.500 to 54,999 turkeys:
      (I) 9.000 to 29,999 laying hens or broil-
    ers,  if the AFO  uses a liquid manure
    handling system;
      (J)  37,500 to 124,999 chickens (other
    than  laying hens),  if the  AFO  uses
    other than a liquid  manure handling
    system;
      (K) 25,000 to 81,999 laying hens, if the
    AFO uses other than a liquid manure
    handling system;
                                         168
    

    -------
    Environmental Protection Agency
                                  §122.23
      (L> 10.000 to 29.999 ducks (if  the AFC)
    uses other  than  a liquid manure han-
    dling system); or
      (Mi 1.500  to 4.999 ducks (if the AFO
    uses a liquid manure  handling'  system);
    and
      (ii> Either one of the following condi-
    tions are met:
      (A) Pollutants  are discharged into
    waters of the United  States through a
    man-made  ditch, flushing  system, or
    other similar man-made device: or
      (B)  Pollutants are discharged  di-
    rectly into  waters of  the United States
    which originate  outside of and pass
    over, across, or through the facility or
    otherwise  come   into direct   contact
    with the animals confined in the oper-
    ation.
      (7> Process wasteirater means water di-
    rectly or indirectly used in the oper-
    ation of the APO for  any or all of the
    following':  spillage or  overflow  from
    animal  or  poultry watering systems:
    washing,  cleaning',  or  flushing' pens.
    barns, manure pits, or  other  AFO  fa-
    cilities:   direct   contact   swimming.
    washing, or spray cooling of animals:
    or  dust  control.  Process wastewater
    also includes  any water which comes
    into contact with any raw  materials.
    products, or byproducts including ma-
    nure, litter, feed.  milk, eggs   or bed-
    ding.
      (8) Production area means that part of
    an  AFO that includes the animal con-
    finement  area,  the   manure   storage
    area, the raw materials storage area.
    and the waste containment areas. The
    animal  confinement area includes but
    is not limited to open  lots, housed lots.
    feediots.  confinement  houses,  stall
    barns,  free  stall  barns,  milkrooms,
    milking centers,  cowyards. barnyards.
    medication   pens,   walkers,   animal
    walkways,   and  stables.  The  manure
    storage area includes  but is not limited
    to lagoons, runoff ponds, storage sheds.
    stockpiles, under house or pit storages.
    liquid impoundments,  static piles, and
    composting piles. The raw  materials
    storage area includes but is not limited
    to feed  silos, silage bunkers, and bed-
    ding materials. The waste containment
    area includes but is not limited to set-
    tling basins, and areas within  berms
    and    diversions    which    separate
    uncontaminated storm water.  Also in-
    cluded in the  definition of production
    area is any  egg  washing' or eg'g  proc-
    essing facility,  and any area used in
    the  storage,  handling,  treatment, or
    disposal of mortalities.
      (91 Small eancentratad  animal feeding
    operation ("Small CAFO"). An AFO that
    is designated a*  A CAFO and  is not a
    Medium CAFO.
      ic) Hon  inuy an AFC) be deuiiinuted as
    (i  CAFO'.'  The  appropriate authority
    (/.('.. State Director or Regional Admin-
    istrator, or both, as specified  in  para-
    graph  (cHli  of this section) may des-
    ignate any AFO as a CAFO  upon deter-
    mining that  it is a significant contrib-
    utor  of  pollutants  to  waters of the
    United States
      (1) Wli.!> mat/ designate''
      (i) Appro ced Staffs. In States that are
    approved  or  authorized  by  EPA under
    Part  123.  CAFO  designations  may be
    made  by  the State Director,  The Re-
    gional Administrator may also  des-
    ignate CAFOs in approved  States, but
    only where the Regional Administrator
    has determined  that  one or more pol-
    lutants in the APO's discharge contrib-
    utes to an impairment in a downstream
    or adjacent  State or Indian  country
    water  that is impaired for that pollut-
    ant.
      (ii)  States  if i tli  no approved  program.
    The  Regional Administrator may des-
    ignate CAFOs in States that  do not
    have an  approved program and in In-
    dian country where no  entity has ex-
    pressly demonstrated  authority  and
    has been expressly authorized  by EPA
    to implement the NPDES program.
      (2) In making  this  designation, the
    State Director or the Regional Admin-
    istrator shall consider  the following
    factors:
      (i)  The   size of  the  APO  and the
    amount of wastes  reaching waters of
    the United States;
      (ii) The  location of the APO  relative
    to waters of the United States:
      (iii) The means of conveyance of ani-
    mal  wastes and  process waste waters
    into waters of the United States;
      (iv)  The  slope,  vegetation,  rainfall.
    and other factors affecting the likeli-
    hood or frequency of discharge of ani-
    mal wastes manure and process waste
    waters  into   waters  of the   United
    States; and
      (v) Other relevant factors.
                                         169
    

    -------
    §122.23
              40 CFR Ch. I (7-1-04 Edition)
      (3) No AFO shall be designated under
    this paragraph unless the  State Direc-
    tor or the Regional  Administrator has
    conducted an  on-site inspection of the
    operation and determined  that the op-
    eration should and could  be regulated
    under the permit program. In addition.
    no AFO with numbers of animals below
    those established in  paragraph (b)(6) of
    this section may be designated  as  a
    CAPO unless:
      (i) Pollutants are discharged into wa-
    ters of the United  States through  a
    manmade  ditch, flushing  system,  or
    other similar manmade  device: or
      (ii)  Pollutants  are  discharged di-
    rectly into waters of the United States
    which originate outside of the facility
    and pass  over, across,  or  through the
    facility or otherwise come into direct
    contact with  the  animals  confined in
    the operation.
      (d)  Who  must  seek coverage under an
    NPDES permit?
      (1) All CAFO owners or operators must
    apply for a permit. All CAFO owners or
    operators must seek coverage under an
    NPDES permit, except as  provided in
    paragraph (d)(2) of this section. Specifi-
    cally,  the  CAFO owner  or operator
    must  either  apply  for an  individual
    NPDES permit  or submit  a  notice of
    intent for coverage under an NPDES
    general permit.  If the Director has not
    made a general permit available to the
    CAFO. the CAFO  owner  or operator
    must submit an application for an indi-
    vidual permit  to the Director.
      (2) Exception. An owner or operator of
    a Large  CAFO  does not  need to seek
    coverage under  an NPDES permit oth-
    erwise required by  this  section  once
    the  owner or  operator  has  received
    from the Director notification of a de-
    termination under paragraph (f) of this
    section that the CAFO has "no poten-
    tial to discharge"  manure,  litter or
    process wastewater,
      (3)  Information to  submit with  permit
    application. A  permit application for an
    individual permit must include the in-
    formation specified in §122.21. A notice
    of intent for a general permit must in-
    clude  the  information   specified  in
    §§122.21 and 122.28.
      (e) Land application discharges from a
    CAFO are subject to NPDES requirements.
    The  discharge  of manure,  litter  or
    process wastewater to  waters of the
    United States from a CAFO as a result
    of the application of that manure, lit-
    ter or process wastewater by the CAFO
    to land areas under its control is a dis-
    charge  from  that  CAFO  subject  to
    NPDES   permit requirements,  except
    where it  is an agricultural storm water
    discharge  as  provided  in   33  U.S.C.
    1362(14).  For  purposes  of  this para-
    graph,  where  the  manure,  litter  or
    process wastewater has been applied in
    accordance with site specific nutrient
    management practices that ensure ap-
    propriate  agricultural  utilization  of
    the nutrients in the  manure, litter or
    process   wastewater,   as specified  in
    §122.42ie)(l)(vi)-(ix), a precipitation-re-
    lated discharge of  manure,  litter  or
    process   wastewater  from  land areas
    under the control of a CAFO is an  agri-
    cultural  stormwater discharge.
      (f)  ".Vo  potential  to  discharge" deter-
    minations for  Large CAFOs—(1) Deter-
    mination  by the Director. The Director.
    upon request,  may make a case-specific
    determination that a Large CAFO has
    "no potential  to discharge"  pollutants
    to waters of the United States. In mak-
    ing-  this  determination,  the Director
    must consider the  potential  for  dis-
    charges from  both the production area
    and any land application areas. The Di-
    rector must also consider any record of
    prior discharges by the CAFO. In  no
    case  may the CAFO  be  determined to
    have "no potential to discharge"  if it
    has had a discharge within  the  5 years
    prior to  the date of the request sub-
    mitted under paragraph (f)(2)  of this
    section.  For purposes of this section,
    the  term "no potential to  discharge"
    means that there  is no potential for
    any  CAFO  manure,  litter  or  process
    wastewater to be added to waters of
    the  United   States  under  any   cir-
    cumstance or climatic condition. A de-
    termination that there is "no potential
    to discharge" for purposes of this sec-
    tion  only relates to discharges of ma-
    nure, litter   and  process  wastewater
    covered by this section.
      (2) Information to support a "no poten-
    tial to discharge" request. In requesting a
    determination of "no potential to dis-
    charge."  the CAFO owner or operator
    must submit  any  information  that
    would  support such  a determination,
    within the time frame provided by the
                                         170
    

    -------
    Environmental Protection Agency
                                  §122.23
    Director and in accordance with para-
    graphs (g) and (h) of this section, Such
    information must include all of the in-
    formation  specified in  §122.21(1') and
    . The Director has
    discretion to  require additional  infor-
    mation to supplement the request, and
    may also gather additional information
    through  on-site   inspection  of the
    CAFO.
      (3) Process for making u "no potential to
    dificharffe" determination. Before making
    a final decision to grant a "no potential
    to discharge'' determination, the Direc-
    tor must issue a notice to the  public
    stating  that,  a "no  potential  tu dis-
    charge" request has been received. This
    notice must be accompanied by  a fact
    sheet which includes, when applicable:
    a brief description of the  type of facil-
    ity or activity which is the subject  of
    the "no potential  to discharge"  deter-
    ruination:  a brief summary of the fac-
    tual basis,  upon which the request  is
    based, for granting the "'no potential  to
    discharge"  determination: and  a de-
    scription of the procedures for reaching
    a final decision on the  "no potential  to
    discharge" determination. The Director
    must base the decision to grant  A "no
    potential  to discharge" determination
    011 the administrative record, which in-
    cludes  all  information  submitted  in
    support of a "no potential  to discharge"
    determination  and  any  other  sup-
    porting' data gathered  by  the permit-
    ting' authority. The Director must no-
    tify any CAPO seeking- a "no potent-la]
    to discharge" determination of its final
    determination  within 90 days of receiv-
    ing the request.
      (4) What is the deadline for requesting a
    "no potential to discharge" determination?
    The owner or operator must request a
    "no potential  to  discharge" determina-
    tion by the applicable  permit applica-
    tion date specified in paragraph  igi  of
    this section. If the Director's  final de-
    cision is to deny the "no potential  to
    discharge" determination, the owner or
    operator must seek  coverage under a
    permit within 30 days after the denial.
      (5i The "no puti'.ntial to discharge" de-
    termination  tloey  not relieve the  CAFO
    front (he consequence* of an actual dis-
    charge.  Any unpermitted  CAFO that
    discharges pollutants into the waters
    of the United States is in  violation  of
    the Clean Wafer  Act even  if it has re-
    ceived a "no potential to discharge" de-
    Germination  from  the Director.  Any
    CAFO that has received  a determina-
    tion of "no potential to discharge." but
    who   anticipates   changes   in   cir-
    cumstances that could create the po-
    tential for a discharge, should contact
    the Director, and apply for and obtain
    permit  authorization  prior  to  the
    change of circumstances.
      16) The Director retain* authority to re.-
    diiire  a pertnil.  Where the Director has
    issued a  determination of "no potential
    to discharge," the Director retains the
    authority   to   subsequently  require
    NPDES   permit   coverage   if   cir-
    cumstances at the  facility  change, if
    new information becomes available, or
    if there i.s another reason for the Direc-
    1 or to determine that the CAFO has a
    potential *o discharge.
      fg>  IVV.'i '. in ids!  a  CAFO we.!,  ran'rauc
    under (ii; \TDES permit'.'
      i'1'i Opi ..«i'lf»btain  coverage  under  an
    XFDE8 permit as of April 14. 2003. and
    comply with all  applicable NPDES re-
    quirements,  including  the  duty to
    maintain permit  coverage in accord-
    ance with paragraph (h) of this section.
      t'2'< Ope>:i!ions defined f/-v  CAFOs at, <>t
    April  14. 'Jin/3, who u'ere not defined «.%
    CAFOx p>: :f tu that date. For all CAFOs,
    the owner or  operator of the  CAFO
    must  seek to obtain coverage under an
    NPDK.S permit by  a date  specified by
    the Direi tor. but  no later  than  Feb-
    ruary 13. i!00fi.
      (3i Opfr
    -------
    §122.24
              40CFRCh. I (7-1-04 Edition)
    later  than 90 days after  becoming  de-
    fined as a CAFO: except that
      (iii)  If  an operational change that
    makes the operation a CAFO would not
    have made it a CAFO prior to April 14.
    2003. the  operation has until April 13.
    2006. or 90 days after becoming  defined
    as a CAFO. whichever is later.
      (4) New  sources.  New  sources  must
    seek to obtain coverage under a permit
    at least 180 days prior to  the time that
    the CAFO commences operation.
      (5) Operations that are  designated as
    CAFOs. For operations designated as a
    CAFO in accordance with paragraph (c)
    of this  section,  the owner  or operator
    must  seek to obtain coverage under a
    permit  no later than 90 days after re-
    ceiving notice of the designation.
      (6) No potential to discharge. Notwith-
    standing  any other provision  of this
    section, a CAFO that has received a "no
    potential to discharge"  determination
    in accordance with paragraph 
    -------
    Environmental Protection Agency
                                  §122.26
    into that designated area for the main-
    tenance  or production  of  harvestable
    freshwater, estuarine. or marine plants
    or animals.
      (2> Dt'xiffnuled project ttrea means the
    portions of the  waters of the United
    States within  which the permittee or
    permit applicant plans  to  confine the
    cultivated species,  using a method or
    plan or  operation {including1, but  not
    limited   to.   physical   confinement)
    which,  on  the  basis of reliable  sci-
    entific evidence. IK  expected lo ensure
    that specific individual organisms com-
    prising an aquacitlture crop will enjoy
    increased  growth attributable io  the
    discharge  of  pollutant*, and be  har
    vested  within  a  defined   yeogsaphic
    are  Prior !o Oc-
    tober 1  1994.  discharges composed en-
    tirely of storm water .shall not be re-
    quired to  obtain A  NPDKK permn ex-
    cept .
      iii A dlsci.arg'e with respect to which
    a permit has been issued prior to  Feb-
    ruary -L 1987:
      (-J>r.
      (iii> A  discharge from a large munic-
    ipal .separate st.orm  sewer system.
      (iv! A  discharge from a medium mu-
    nicipal separate storm sewer system:
      (v; A discharge which the, Director.
    or in States with approved  NPDEH pro-
    grams, either the Director  or the  EPA
    Regional Administrator, determines to
    contribute  to  a violation  of a water
    quality  standard or  is  a  significant
    contributor of pollutants to waters of
    the  United States. This  designation
    may include a  discharge from any con-
    veyance  or system of conveyances used
    for collecting  and  conveying1  storm
    water runoff or a system of discharges
    from municipal separate storm sewers.
    except for those discharges from  con-
    veyances which do not require a permit
    under paragraph  The I.Mrector may not.  require  a
    permit  tor discharges of  storm  wates
    runoff friiin  mining  operations  or oil
    and gas  exploration, product.ion. proc-
    essing   o!   treatment   opera) ions  or
    transmission  facilities,  eomp-.tsed  en-
    tirely oi' :"!'.!',v;-- which are from convey-
    ances 0!  -A'-tcnis of conveyances  tin-
    '.•ludhiL' b;;; not  limited to pipes  con-
    duit-,, dii.hes. and  channels!  used for
    collect ill'-'  aid lonveviim  precipitaliojj
    runoff a::;i wnu 11 are not contaminated
    by i ontdi-1, with  01  that lias  not come
    into coiii.tt t  with, any oyer'nmlen. raw
    material,  inte! mediate  products,  fin-
    ished  product.   bvpi'fKiUcf  or   waste
    products ;••;. j,u:d  on  liic site of such op-
    erations.
      (3) Lu):.;i  JllJ nuJiittll iiiiitliclpul Si.'i>a
    iati  *<(•«••)'  -i.(/..   > i :•  Permits
    must  be  obtained  for  all  dischiirtves
    from lar-:i- and medium  rminscspal sep-
    arate stor:;i >ewei system^
      (ii i Tiu- Director may either issue i'ne.
    system-wide  permit  covering all dis
    i.-harges from municipal separate storm
    sewers within a  large or  medium mu-
    nicipal  si i.n'rn  sewer system  or issue
    distinct  tm-rmits for appropriate cat-
    egories  of discharges within a large or
    medium   municipal   separate  storm
    sewer system including, but, not  lim-
    ited to:  all discharges  owned  or oper-
    ated by the same municipality: located
    within the same jurisdiction: all dis-
    charges within a  system that discharge
    to  the  same watershed: discharges
    within a system that are simila,; in na-
    ture; or  for individual discharges from
    municipal separate storm  sewers with-
    in the system.
      (iii) The operator of a discharge from
    a  municipal  separate  storm   sewer
    which is part of a large or medium mu-
    nicipal  separate  storm  sewer  system
    must eithei:
                                         173
    

    -------
    §122.26
              40 CFR Ch. I (7-1-04 Edition)
      (A) Participate in a permit  applica-
    tion (to be a  permittee or a  co-per-
    mittee) with one or more other opera-
    tors of discharges from the large or me-
    dium municipal  storm  sewer system
    which  covers  all,  or a portion of all,
    discharges from the municipal separate
    storm sewer system:
      (B) Submit a distinct permit applica-
    tion which only covers discharges from
    the  municipal separate  storm sewers
    for which the  operator  is responsible;
    or
      (C) A regional authority  may be re-
    sponsible  for submitting a permit ap-
    plication  under the following guide-
    lines:
      (7) The  regional  authority together
    with co-applicants shall have authority
    over a  storm  water management  pro-
    gram that is in existence, or shall be in
    existence  at the time part 1 of the ap-
    plication is due:
      12! The permit, applicant or co-appli-
    cants shall  establish  their ability to
    make a timely submission of part 1 and
    part 2 of the municipal application;
      (J) Bach of the operators of municipal
    separate storm sewers within  the  sys-
    tems described in paragraphs (b)<4) (i).
    lii), and (iii) or (b)(7> (i).  Co-permittees need only comply
    with permit conditions relating to dis-
    charges from  the  municipal separate
    storm sewers for which they are opera-
    tors.
      (4) Discharges  through large and me-
    dium municipal separate atorm sewer sys-
    tems.  In  addition  to meeting the re-
    quirements of paragraph (c) of this sec-
    tion, an operator of a storm water dis-
    charge associated  with industrial ac-
    tivity which discharges through a large
    or medium  municipal  separate storm
    sewer system shall  submit, to the oper-
    ator of the  municipal  separate storm
    sewer system receiving the discharge
    no later than  May  15,  1991.  or 180  days
    prior t-o  commencing  such  discharge:
    the name of the facility: a contact  per-
    son and phone number: the  location of
    the discharge: a description, including
    Standard   Industrial    Classification.
    which best reflects the principal prod-
    ucts or services  provided by each facil-
    ity;  and  any  existing  NPDES permit
    number.
      (01 Other municipal separate storm sew-
    ers. The Director may issue  permits for
    municipal separate  storm sewers  that
    are   designated   under    paragraph
    (a if lii V) of this section on  a  system-
    wide basis, jurisdiction-wide basis, wa-
    tershed  basis  or   other  appropriate
    basis, or may issue permits for  indi-
    vidual discharges.
      (6) Non-municipal separate  storm  sew-
    ers. For storm water discharges associ-
    ated  with  industrial  activity  from
    point- sources  which discharge  through
    a non-municipal or non-publicly owned
    separate  storm  sewer  system, the Di-
    rector, in his discretion, may issue:  a
    single  NPDES permit, with each  dis-
    charger a  co-permittee  to a permit
    issued to the operator  of the portion of
    the system that discharges into waters
    of the United States: or. individual  per-
    mits to each discharger of storm water
    associated   with  industrial  activity
    through the non-municipal conveyance
    system.
      (is All storm water discharges associ-
    ated with industrial activity that dis-
    charge  through  a  storm  water   dis-
    charge system that is  not a municipal
    separate  storm sewer must be covered
    by an  individual permit, or a permit
    issued to the operator  of the portion of
    the system that discharges to waters of
                                         174
    

    -------
    Environmental Protection Agency
                                  §122.26
    the  United  States,  with  each  dis-
    charger to the  non-municipal convey-
    ance a co-permittee to that permit.
      (ii) Where there is more than one op-
    erator of a single system of such con-
    veyances, all operators of storm water
    discharges associated with  industrial
    activity must submit applications,
      (iii! Any permit  covering1 more than
    one operator shall identify the effluent
    limitations,  or  other  permit  condi-
    tions, if any, that  apply to each oper-
    ator.
      (7) Combined  sewer systems.  Convey
    ances that discharge storm water run-
    off combined with municipal sewage
    are point sources  that must  obtain
    NPDBS permits in accordance with the
    procedures of §122.21 and  are not sub-
    ject to the provisions of this section.
      (8) Whether a discharge from  a mu-
    nicipal  separate storm  sewer  is or  is
    not subject  to  regulation under this
    section shall have no bearing on wheth-
    er the owner or operator of  the  dis-
    charge  is eligible  for  funding  under
    title II. title III or title VI of the Clean
    Water Act. See 40 CFR part 35. subpart
    I. appendix A(b)H.2.j.
      (9) The discharge is a  storm  water
    discharge associated with small con-
    struction  activity  pursuant  to  para-
    graph (b)(15) of this section;
      (C) The Director, or in States with
    approved  NPDES programs either the
    Director or the EPA Regional Adminis-
    trator, determines  that storm  water
    controls  are  needed for the discharge
    based on wasteload allocations that are
    part of "total  maximum  daily  loads"
    (TMDLs)  that address the pollutant(s)
    of concern; or
      (D) The Director, or in States with
    approved  NPDES programs either the
    Director or the EPA Regional Adminis-
    trator, determines  that  the discharge.
    or category of discharges within  a geo-
    graphic area, contributes to a violation
    of a water quality standard or  is a sig-
    nificant contributor of pollutants to
    waters of the United States.
      (ii) Operators  of small  MS4s  des-
    ignated   pursuant   to   paragraphs
    
    -------
    §122.26
              40 CFR Ch, I (7-1-04 Edition)
    municipal separate storm sewer system
    due  to  the interrelationship  between
    the discharges of the designated storm
    sewer and  the discharges from munic-
    ipal  separate storm sewers described
    under paragraph (b)<4) (i) or (ii) of this
    section. In making- this determination
    the  Director may  consider   the  fol-
    lowing factors:
      (A) Physical  interconnections  be-
    tween  the municipal separate storm
    sewers;
      (B! The location of discharges  from
    the  designated   municipal   separate
    storm  sewer relative  to  discharges
    from municipal  separate storm sewers
    described in  paragraph ib)(4)(i) of this
    section;
      (C) The quantity and  nature of pol-
    lutants discharged  to waters of the
    United States:
      (D) The nature  of the receiving wa-
    ters: and
      (B) Other relevant factors: or
      (iv) The Director may, upon petition.
    designate as a large municipal  separate
    storm  sewer system,  municipal  sepa-
    rate storm sewers located  within the
    boundaries of a region defined  by  a
    storm water  management regional au-
    thority based on  a jurisdictional. wa-
    tershed, or other appropriate basis that
    includes one  or more of the  systems de-
    scribed  in paragraph (b)(4) (i).  (ii). (iii)
    of this section.
      (5)  Major  municipal  separate   storm
    sewer outfall  (or "major outfall") means
    a municipal separate storm sewer out-
    fall  that discharges from a single pipe
    with an inside diameter of 36 inches or
    more or its equivalent (discharge  from
    a single conveyance other than circular
    pipe which is associated with  a drain-
    age area of more than 50 acres); or for
    municipal  separate storm sewers that
    receive  storm water from lands zoned
    for industrial activity (based  on  com-
    prehensive zoning plans or  the equiva-
    lent), an outfall that discharges from a
    single pipe with an inside diameter of
    12 inches or  more or from  its equiva-
    lent (discharge from other  than a cir-
    cular pipe associated with  a  drainage
    area of 2 acres or more).
      (6) Major outfall means a major mu-
    nicipal separate storm sewer outfall.
      (7) Medium municipal  separate  storm
    sewer system  means all municipal  sepa-
    rate storm sewers  that are either:
      (i> Located in an incorporated place
    with a population of 100.000 or more but
    less than 250.000. as determined by the
    1990 Decennial Census by the Bureau of
    the Census (Appendix G of this parti; or
      (iis Located in the counties listed in
    appendix I. except municipal separate
    storm sewers that are located in the in-
    corporated places, townships or towns
    within such counties; or
      (iii) Owned or operated by a  munici-
    pality  other than  those described in
    paragraph  
    -------
    Environmental Protection Agency
                                  §122,26
    body (created by  or pursuant to  .State
    law)  having jurisdiction over disposal
    of  sewage,  industrial  wastes,  storm
    water, or other wastes, including spe-
    cial districts under State law such as a
    sewer district, flood control district or
    drainage district, or similar  entity, or
    an Indian tribe or an authorized Indian
    tribal organization, or a designated  and
    approved  management  agency under
    section 208 of the CWA that discharges
    to waters of the United States:
       Designed or used for collecting or
    conveying' storm water:
      (iii) Which is not  a combined sewer:
    and
      iivi Which is  not  part of a Publicly
    Owned Treatment Works (POTW) as de-
    fined at 40 GFR 122.2.
      (9) Outfall means a p/rinl source as de-
    fined by 40 CFR 122.2 at the point where
    a municipal  separate storm sewer  dis-
    charges to waters of the United States
    and does not include open conveyances
    connecting   two  municipal   separate
    storm sewers, or pipes, tunnels or  other
    conveyances which  connect  segments
    of the same stream  or other  waters of
    the United States and are used to con-
    vey waters of the United States.
      (10) Overburden  means any material
    of any  nature, consolidated or tmcon-
    solidated, that  overlies a  mineral  de-
    posit, excluding topsoil  or similar nat-
    urally-occurring surface materials that
    are  not disturbed  by  mining  oper-
    ations.
      (11) Runoff coefficient  means the frac-
    tion of total rainfall that will appear
    at a conveyance as runoff.
      (12) Significant materials includes,  but
    is not limited to: raw materials: fuels;
    materials such as solvents, detergents,
    and  plastic pellets:  finished  materials
    such  as metallic  products: raw mate-
    rials used in food processing or produc-
    tion:  hazardous substances designated
    under section 101(14) of CERCLA: any
    chemical the facility is  required to  re-
    port pursuant to section 313 of title III
    of  SARA:  fertilizers:  pesticides:  and
    waste products such as ashes, slag and
    sludge that have the potential to be re-
    leased with storm water discharges.
      (13) Storm water means storm water
    runoff,  snow melt runoff, and  surface
    runoff and drainage.
      (14) Storm  water discharge  associated
    with industrial  activity  means the dis-
    charge  fiom  any conveyance  that- is
    used  for  collecting   and  conveying
    storm water  and that is directly re-
    lated to manufacturing',  processing' or
    raw materials storage areas at an in-
    dustrial  plant, The  term  does  not in-
    clude discharges from facilities or ac-
    tivities excluded from the NPDES pro-
    gram uiidr-r this part  122.  For the cat-
    egories 01  industries identified in this
    section.  Use  term includes,  but is  not
    limited  in.  storm  water  discharges
    from industrial plant yards:  immediate
    access roads and  rail lines used  or trav-
    eled by carriers of raw materials, man-
    ufactured products,  waste material, or
    iiy-producis used or created by the fa-
    cility; material  handling  sites: refuse
    sites: site?- used  for the application or
    disposal  ol process waste waters (as de-
    fined at  part 401 of this chapter): sites
    used  for the storage and  maintenance
    of material handling  equipment; sites
    used for  residual treatment,  storage, or
    disposal: shipping and receiving areas:
    manufacturing buildings; storage areas
    i including  tank  farms) for  raw mate-
    rials. and intermediate and  final prod-
    ucts; and areas where industrial activ-
    ity has taken place in the  past and sig-
    nificant  materials remain and  are ex-
    posed to storm water.  For the purposes
    of  this  paragraph,  material handling
    activities include storage, loading and
    unloading,  transportation, or  convey-
    ance of any raw material, intermediate
    product, final  product, by-product  or
    waste product. The term excludes areas
    located on plant lands separate from
    the plant's industrial  activities, such
    as  office buildings and accompanying
    parking  lots as  long  as  the drainage
    from  the excluded areas  is  not mixed
    with  storm  water  drained   from  the
    above described areas. Industrial facili-
    ties (including industrial facilities that
    are  federally.  State,   or  municipally
    owned or operated that meet  the  de-
    scription of the facilities listed in para-
    graphs (b)il4Xi)  through  
    -------
    §122.26
              40 CFR Ch. I (7-1-04 Edition)
    source performance standards, or toxic
    pollutant effluent  standards under  40
    CPR  subchapter N  (except  facilities
    with toxic pollutant effluent standards
    which are exempted under category (xi)
    in paragraph (b)(14) of this section);
      (ii)  Facilities classified as  Standard
    Industrial  Classifications  24  (except
    2434),  26 (except 265 and 267). 28 (except
    283). 29, 311. 32 (except 323), 33. 3441. 373:
      (iii) Facilities classified as Standard
    Industrial Classifications 10 through 14
    (mineral industry)  including  active  or
    inactive  mining operations (except for
    areas  of  coal mining  operations  no
    longer meeting the definition of a rec-
    lamation  area under  40  CFR 434.IK 1)
    because the performance bond issued to
    the facility by the appropriate SMCRA
    authority has been released,  or except
    for areas of non-coal mining operations
    which have been released from applica-
    ble State  or Federal reclamation  re-
    quirements  after December  17,  1990)
    and oil and gas exploration, produc-
    tion,  processing,  or  treatment  oper-
    ations, or transmission  facilities that
    discharge  storm water  contaminated
    by contact with or that has come into
    contact  with,  any  overburden,  raw
    material.     intermediate    products,
    finished products, byproducts or waste
    products  located on the site of such
    operations: (inactive mining operations
    are mining sites that are not being ac-
    tively mined, but which have an identi-
    fiable owner/operator; inactive mining
    sites do not include sites where mining
    claims are being maintained  prior  to
    disturbances associated  with the  ex-
    traction, beneficiation, or processing of
    mined materials, nor sites where min-
    imal activities are undertaken for the
    sole  purpose of maintaining  a mining
    claim);
      !iv) Hazardous waste treatment, stor-
    age,   or  disposal  facilities,  including
    those that are operating  under interim
    status or a permit under subtitle C of
    RCRA;
      (v)  Landfills,  land application  sites.
    and open dumps that receive or have
    received any industrial  wastes (waste
    that is received from any of the facili-
    ties  described under  this  subsection)
    including those that are subject to reg-
    ulation under subtitle D of RCRA:
      (vi) Facilities involved in  the  recy-
    cling   of  materials,   including  metal
    scrapyards, battery reclaimers, salvage
    yards,  and automobile junkyards,  in-
    cluding but limited  to  those  classified
    as Standard Industrial Classification
    5015 and 5093;
      svii)  Steam electric power generating
    facilities, including coal handling sites;
      (viii) Transportation facilities classi-
    fied as Standard Industrial Classifica-
    tions 40. 41, 42 (except 4221-25).  43. 44,
    45, and 5171 which have vehicle mainte-
    nance shops, equipment cleaning oper-
    ations, or airport deicing  operations.
    Only those portions of the facility that
    are either involved in vehicle mainte-
    nance (including vehicle rehabilitation.
    mechanical  repairs, painting, fueling.
    and  lubrication),  equipment cleaning
    operations, airport deicing  operations.
    or which are otherwise identified under
    paragraphs (b)(14) (i)-(vii) or (ix)-(xi) of
    this section are associated with  indus-
    trial activity:
      (ix)  Treatment  works  treating   do-
    mestic sewage  or  any other sewage
    sludge  or wastewater treatment  device
    or system, used  in  the storage  treat-
    ment,  recycling, and  reclamation  of
    municipal or domestic  sewage, includ-
    ing land  dedicated to  the  disposal  of
    sewage sludge that are located within
    the confines of the facility, with a de-
    sign  flow of 1.0  mgd  or  more,  or re-
    quired     to    have    an    approved
    pretreatment  program under 40 CFR
    part  403. Not included  are farm  lands,
    domestic  gardens  or  lands  used  for
    sludge  management  where  sludge  is
    beneficially reused and which are not
    physically located  in the confines  of
    the facility, or areas that are in com-
    pliance with section 405 of the CWA:
      (x) Construction activity  including
    clearing,  grading  and  excavation,  ex-
    cept  operations that result in the dis-
    turbance of less than five acres of total
    land area. Construction  activity  also
    includes  the disturbance of  less than
    five acres of total land area  that  is a
    part  of a larger common plan of devel-
    opment or sale if the  larger common
    plan will  ultimately disturb five acres
    or more:
      cxi) Facilities under Standard  Indus-
    trial Classifications 20. 21, 22, 23, 2434.
    25. 265. 267. 27,  283.  285. 30.  31 (except
    311),  323. 34 (except 3441),  35. 36, 37 (ex-
    cept 373), 38. 39, and 4221-25:
                                         178
    

    -------
    Environmental Protection Agency
                                                        §122.26
      (15)  Storm water discharge associated
    with  small  construction activity means
    the discharge of storm water from:
      (i) Construction activities including'
    clearing1,  grading, and excavating that
    result in  land disturbance of equal to
    or greater than one acre and less than
    five acres. Small  construction  activity
    also includes  the disturbance  of  less
    than one  acre of total  land area that is
    part of a  larger common plan of devel-
    opment or  sale if the larger common
    plan will  ultimately disturb equal to or
    greater than one and less  than  five
    acres.  Small construction activity does
    not  include  routine  maintenance that
    is performed to  maintain the  original
    line and  grade, hydraulic capacity, or
    original purpose of the facility. The Di-
    rector may waive the  otherwise appli-
    cable requirements in a general permit
    for a storm  water discharge from con-
    struction, activities  that disturb  less
    than five  acres where:
      (A) The value of the rainfall erosivity
    factor c'R"  in  the  Revised  Universal
    Soil Loss Equation i  is less than  five
    during the period of construction activ-
    ity.  The rainfall erosiviiy factor is de-
    termined  in  accordance with Chapter 2
    of  Agriculture  Handbook  dumber  703.
    Predicting Soil Krosi:>» by Water: A Guide
    to Conservation  Manning  With  the Re-
    I'iscd  1,'nii'ersal   Soil   Loss   Equation
    (RUSLE).  pages  21 64.  dated January
    1997. The  Director of She  Federal Reg-
    ister approves  this  incorporation  by
    reference  in accordance with  5 U.S.C
    552(a) and 1 CFR part 51. Copies may be
    obtained  from  KPA's  Water Resource
    Center. Mail Code  RC4100.  401 M St.
    SW. Washington.  DC 20460. A  copy is
    also available for inspection at the U.S.
    EPA Water Docket  . 401 M Street SW.
    Washington. DC 20460. or at the  Na-
    tional  Archives and  Records Adminis-
    tration (NARA).  For  information  on
    the  availability  of  this  material  at
                         NARA. call 202 741-6030. or go to: http:
                         w u: tc.arch i >:es.go r. federal  register
                         code  of  federal  regulations-'
                         tbr  locations.html.  An  operator must
                         certify  to the Director  that the con-
                         struction activity  will take  place dur-
                         ing a period when the value of the rain-
                         fall erosivity factor is less than five: or
                           (B)  Storm  water  controls  are  not-
                         needed  based  on  a  "total  maximum
                         daily load" (TMDL) approved or  estab-
                         lished by KPA that  addresses  the pol-
                         lutanUsi  of concern or.  for  non-im-
                         paired  waters  that  do   not  require
                         TMDLs. mi equivalent analysis that de-
                         termines  allocations  for small  con-
                         struction sites  for  the  pollutant(s) of
                         • •oncern  or that  determines  that such
                         allocation.-- air not  needed to protect
                         wafer quality based on consideration of
                         existing  iiv-stream concent-rations, ex-
                         pected growth  in  pollutant contribu-
                         tions from all sources, and a margin of
                         safety. For the  purpose  of this para-
                         graph, the  poliutant(s) of concern in-
                         clude sediment or a parameter that ad-
                         dresses  sediment isuch  as total sus-
                         pended  sii!ids. turbidity  or  siltation)
                         and any  ol her pollutant  that has been
                         identified as A cause of impairment of
                         any water body that will  receive a dis-
                         charge from the  construction activity.
                         The operator must  certify to  the Direc-
                         tor that  the construction activity will
                         take place and storm water discharges
                         will occur, within the drainage area ad-
                         dressed 1>\  the  TMDL  or equivalent
                         analysis.
                           iiii  Any  other construction  activity
                         designated  by   the   Director,  or  in
                         States with approved NPDES programs
                         either the  Director or  the  EPA  Re-
                         gional Administrator, based on the po-
                         tential for contribution to a violation
                         of a water quality standard or for sig-
                         nificant  contribution of pollutants  to
                         waters of the United States.
        EXHIBIT 1 TO §122.26(B)(15)—SUMMARY OF COVERAGE of "STOHM WATER DISCHARGES
     ASSOCIATED WITH SMALL CONSTRUCTION ACTIVITY" UNDER THE NPDES STORM WATER PROGRAM
    Automatic  Designation:
      Nationwide Coverage.
    Required  • Construction, activities that result in a land disturbance of equal to or
              greater than one acre and less than five acres.
            • Construction activities disturbing less than one acre if part of a larger
              common plan of development ot sale with a planned disturbance of
              equal  to or greater than one acre and less than five acres, (see
              §122.26(b)(15)(i>.)
                                          179
    

    -------
    §122.26
                           40 CFR Ch. I (7-1-04 Edition)
    EXHIBIT 1  TO §122.26(s)(15)	SUMMARY OF COVERAGE OF "STORM WATER DISCHARGES ASSOCI-
      ATED WITH SMALL CONSTRUCTION ACTIVITY"  UNDER THE NPDES STORM WATER  PROGRAM—
      Continued
    Potential Designation: Optional Eval-
      uation  and  Designation  by  the
      NPDES  Permitting Authority or
      EPA Regional Administrator.
    Potential  Waiver:  Waiver from  Re-
      quirements as Determined by the
      NPDES Permitting Authority..
    » Construction activities that result in a land disturbance of less than
      one acre based on the potential for contribution to a violation of a
      water  quality standard or for significant contribution of pollutants.
      (see§122.26(b)(15)(il).)
    Any automatically designated construction activity where the operator
      certifies: (1) A rainfall erosivity factor of less than five, or (2) That the
      activity will occur within an  area  where controls are not needed
      based on a TMDL or, for non-impaired waters that do not require a
      TMDL, an equivalent analysis for  the pollutart(s) of concern, (see
      §122.26(b)(15){i).)
      {16)  Small  municipal separate  storm
    sewer system means all separate storm
    sewers that are:
      (i) Owned or operated by the United
    States, a  State,  city.  town, borough.
    county, parish, district, association, or
    other public body (created by or pursu-
    ant  to  State law) having jurisdiction
    over  disposal  of  sewage,  industrial
    wastes, storm water, or other  wastes,
    including special districts under  State
    law such as a sewer district, flood con-
    trol  district  or drainage district,  or
    similar entity, or an Indian tribe or an
    authorized Indian tribal  organization.
    or a designated and approved manage-
    ment agency under  section  208 of the
    CWA that discharges to waters of the
    United States.
      (ii) Not  defined as  "large" or  "me-
    dium" municipal separate  storm  sewer
    systems pursuant  to paragraphs  MS4 means a municipal separate
                 storm sewer system.
                   (20»   Uncontrolled  sanitary   landfill
                 means a landill or open dump, whether
                 in operation  or closed,  that does not
                 meet the  requirements for runon  or
                 runoff controls established pursuant to
                 subtitle D of the Solid Waste Disposal
                 Act.
                   to  Application requirements for  storm
                 water discharges associated  with indus-
                 trial activity and storm water discharges
                 associated with  small construction  activ-
                 ity—(1)   Individual  application.   Dis-
                 chargers of  storm water  associated
                 with industrial activity and with  small
                 construction  activity  are required  to
                 apply for an individual permit  or seek
                 coverage under a  promulgated storm
                 water general  permit.  Facilities that
                 are  required  to obtain an  individual
                 permit  or any dischage of storm  water
                 which the  Director is evaluating  for
                 designation (see §124.52tc) of this  chap-
                 ter)  under  paragraph  (a)(l)(v)  of this
                 section  and is  not a municipal storm
                 sewer, shall submit an NPDES applica-
                 tion  in  accordance with  the  require-
                 ments of §122.21 as modified and sup-
                 plemented  by  the provisions  of this
                 paragraph.
                   (i) Except as provided in §122.26(0(1)
                 fii) 
    -------
    Environmental Protection Agency
                                  §122.26
    building's within the  drainage area of
    each storm water outfall, each past, or
    present area  used  for outdoor storage
    or  disposal  of significant  materials.
    each existing' structural  control meas-
    ure to  reduce  pollutants in storm water
    runoff, materials  loading and  access
    areas,  areas  where  pesticides,  herbi-
    cides,  soil conditioners and fertilizers
    are applied, each of its hazardous waste
    treatment,  storage or disposal  facili-
    ties (including each  area not.  required
    to have a RCRA permit  which is  used
    for  accumulating   hazardous  waste
    under  40 CFR 262.3-11; each well -.\here
    fluids  from the facility are injected un
    dersTound: springs, and  other surface
    water  bodies which receive storm water
    discharges from the lacility.
      iB' An "sinuate of  the  area of iiiipt-r-
    vious  surfaces (including paved  areas
    and building  roofs' and the total  area
    drained by each out-full (within  a  mile
    radius of the facility! and .-i nanv.live
    descript-ion of the  following:  *i~nifi-
    (.•ant. materials that in the ; hree y-.-ars
    prior t.f;  the  suhmittal of this app'.iea-
    fion have  been treated  stored or  dis-
    posed in a manner to allow exposure to
    storm  water:  method  of  treatment.
    storage or disposal of such materials:
    materials  management  practice-   em-
    ployed, in  the three years prior to the
    submittal of this application,  to mini-
    mize contact  by these materials  with
    storm  water  runoff:  materials loading1
    and access areas: ;.he  location, manner
    and frequency in which pesticides  her-
    bicides, soil conditioners  and fertilizers
    are applied: the location  and a descrip-
    tion of existing1 structural and  non-
    structural  control  measures to  r<'- A certification  that all outfalls
    that should  contain  storm  water  dis-
    charges associated with  industrial ac-
    tivity  have been tested or evaluated for
    the presence  of  non-storm  water  dis-
    charges which are  not  covered  by  a
    NPDES permit;  tests for  such  non-
    storm  water  discharges   may  include
    smoke tests,   fluorometric  dye tests.
    analysis  of  accurate  schematics,  as
    well as other appropriate  tests,  The
    certification shall include a description
    of the method  used,  the date of any
    testing, and the on-site drainage points
    that, were directly  observed during  a
    test:
      (D)  Existing  information  regarding
    significant leaks  or spills of toxic  or
    hazardous pollutants at  the  facility
    that have taken place within the three
    years prior to the submittal ol  this ap-
    plication:
      (K) Quantitative data based on sam-
    ples collected during storm  events and
    • ollected  in accordance  with §122.21 of
    this part  from all outfalls eonia.ining a
    storm water discharge associated with
    industrial .u-ti-, ity for she follow, in.g pa
    rameters:
      <:./' An.\  pollutant  limited in ;tu efflu
    -•nt guideline to  which  ; h r facility is
    - llbject:
      (_'i Any  pollutant  listed in the facili-
    :v's NPDKS  pel-mil  for  It-s  process
    wastewat.er  (if the facility is operating
    under an existing  NPDES permit;;
      ij) Oil  and  Crease.  pH. BO1):'.  COD.
    TrtS.  totai  phosphorus,  ratal  Kleklah!
    nitrogen,  and .titrate plus nitrite nil ro-
    :i e n:
      \-h Any  informal, ion on tin- stincliarue
    required  uudt-s
    . vil):
      i.-ii Flow  measurements  or  t-st imates
    >:f ! he  fUHA i-atc. and the total  amount
    of  disc-has ;;c  ror the  storm eventis)
    sampled, and the met.hod of flow meas-
    urement or estimation: and
      (Hi The date  and duration (in hours)
    of the  storm evenus* sampled,  rainfall
    measurements   or  estimat.es  of  the
    storm  event  -.in  inches i   which  gen-
    erated  the sampled  runoff and  the du-
    ration  between the  storm event sam-
    pled and i he end of  the  previous meas-
    urable  (greater than O.i inch rainfall)
    storm event tin hours);
      (F) Operators of a  discharge which is
    composed entirely of storm  water are
    r-xempt  from   the   requirements  oi
    §122.21   it;-1(2).    (gx3).   igX-lK   (g)(5i.
    ig)(7)(iii).   >y.   tgnTnvi.   and
    :g)(7)( viii i: and
      (G( Operators of new sources or new-
    discharges tas  defined in §122.2 of this
    parti which are composed in part or en-
    tirely of storm  water must include es-
    timates  for the  pollutants or  param-
    eters listed in  paragraph  (c)(l)d)(Es) of
    this section instead  of actual sampling
                                         181
    

    -------
    §122.26
              40CFRCh. I (7-1-04 Edition)
    data, along1 with the source of each es-
    timate. Operators  of  new sources or
    new  discharges composed in part or en-
    tirely  of storm water  must provide
    quantitative data  for the  parameters
    listed  in paragraph (cKlKiuEi of  this
    section within  two years  after com-
    mencement of discharge, unless such
    data has already been reported under
    the  monitoring  requirements  of   the
    NPDES permit for  the discharge. Oper-
    ators of a new source or new  discharge
    which is composed entirely  of  storm
    water  are   exempt from the require-
    ments of  §122.21   (k)(3)(ii).   (k)(3)(iii).
    and (k)(5).
      (ii) An operator of an existing or  new
    storm water discharge that  is associ-
    ated  with   industrial  activity  solely
    under  paragraph (b)(14)(x) of this  sec-
    tion  or is  associated  with small con-
    struction activity  solely  under para-
    graph  (b)(15) of  this section, is exempt
    from the requirements of §122.21(g) and
    paragraph (c)(l)(i) of this section. Such
    operator shall provide a narrative  de-
    scription of:
      (A) The  location (including a map)
    and the nature of the  construction ac-
    tivity;
      (B) The total area of the site and  the
    area of the  site  that is expected  to  un-
    dergo excavation during the life of the
    permit;
      (C)  Proposed  measures,   including
    best  management practices,  to control
    pollutants  in storm  water discharges
    during construction,  including a brief
    description  of  applicable  State  and
    local erosion and sediment control re-
    quirements;
      (D) Proposed measures to control  pol-
    lutants in storm water discharges that
    will   occur after  construction  oper-
    ations have been completed,  including
    a brief description of  applicable State
    or local  erosion and sediment control
    requirements:
      (B) An estimate  of the runoff  coeffi-
    cient of the site and the increase in  im-
    pervious area  after  the construction
    addressed in the permit application is
    completed,  the  nature of fill material
    and existing data describing the soil or
    the quality of the discharge: and
      (F) The name  of  the receiving  water.
      (iii)  The   operator of an  existing or
    new  discharge  composed entirely  of
    storm water from  an oil or gas  explo-
    ration,   production.   processing.   or
    treatment  operation,  or transmission
    facility is not required to submit a per-
    mit  application  in  accordance  with
    paragraph  (c«l)(i> of this section, un-
    less the facility:
      (A)  Has  had a discharge of  storm
    water  resulting in the discharge of a
    importable  quantity for which notifica-
    tion  is or was required pursuant to 40
    CFR 117.21 or 40  CFR 302.6 at anytime
    since November 16. 1987: or
      (B i  Has  had a discharge of  storm
    water  resulting in the discharge of a
    importable  quantity for which notifica-
    tion  is or was required pursuant to 40
    CFR 110.6 at any time since November
    16. 1987: or
      (C) Contributes to  a violation of a
    water quality standard.
      (iv) The  operator  of an  existing or
    new  discharge composed  entirely  of
    storm water from a mining operation is
    not required to submit a permit appli-
    cation  unless the discharge has come
    into contact with, any overburden, raw
    material,  intermediate  products,  fin-
    ished  product,  byproduct  or  waste
    products located  on the site of such op-
    erations.
      (v)  Applicants  shall  provide  such
    other  information  the  Director may
    reasonably require under §122.21(g)(13)
    of this part to determine  whether to
    issue a permit and may require  any fa-
    cility subject to  paragraph (c)(l)(ii) of
    this section to comply  with paragraph
    (c x 1)(i) of this section.
      (2)  [.Reserved]
      (d) Application  requirements for large
    and  medium  municipal separata storm
    newer discharges. The operator of a dis-
    charge from a large or medium munic-
    ipal separate  storm sewer or a  munic-
    ipal separate  storm sewer that is des-
    ignated by the  Director  under para-
    graph (a)(l)(v) of  this section, may sub-
    mit a jurisdiction-wide or system-wide
    permit,  application. Where more than
    one public entity owns or operates a
    municipal separate storm sewer within
    a geographic  area (including adjacent
    or interconnected municipal separate
    storm  sewer systems),  such operators
    may  be a coapplicant  to the same ap-
    plication. Permit applications for dis-
    charges from large and  medium munic-
    ipal storm sewers or municipal storm
                                         182
    

    -------
    Environmental Protection Agency
                                 §122.26
    sewers  designated   under  paragraph
    (aXlHV) of this section shall include:
      (1) Purl 1.  Part 1  of the application
    shall consist of:
        of the  CWA that  is not ex-
    pected to meet water quality standards
    or water quality goals:
      (3) Listed in State Nonpoint  Source
    Assessments  required by section 319ca>
    of the CWA  that, without  additional
    action to control nonpoint  sources of
    pollution,  cannot  reasonably  be  ex-
    pected to  attain or maintain water
    quality standards due to storm sewers.
    construction,   highway   maintenance
    and runoff from municipal landfills  and
    municipal  sludge  adding  significant
    pollution (or  contributing to a viola-
    tion of water quality standards!;
                                         183
          203-159  D-7
    

    -------
    §122.26
              40 CFR Ch. I (7-1-04 Edition)
      (4) Identified and classified according
    to  eutrophic  condition  of   publicly
    owned lakes listed in State reports re-
    quired under section 314(a) of the CWA
    (include the following: A description of
    those publicly owned  lakes for which
    uses are known to be impaired: a de-
    scription  of  procedures, processes and
    methods  to  control  the discharge  of
    pollutants  from  municipal   separate
    storm sewers into such lakes: and a de-
    scription  of methods and procedures to
    restore the quality of such lakes):
      (5)  Areas  of  concern  of the Great
    Lakes identified by the International
    Joint Commission:
      (6)  Designated  estuaries under  the
    National  Estuary Program under  sec-
    tion 320 of the CWA:
      (7)  Recognized  by  the applicant  as
    highly valued or sensitive waters:
      (8) Defined by the State or  U.S.  Fish
    and  Wildlife Services's  National Wet-
    lands Inventory as wetlands: and
      (9) Found to have pollutants in  bot-
    tom sediments, fish tissue or biosurvey
    data.
      (D) Field screening. Results  of a  field
    screening analysis for  illicit  connec-
    tions and illegal dumping for  either se-
    lected field screening points  or major
    outfalls covered in the permit applica-
    tion. At  a minimum, a screening anal-
    ysis shall include a narrative descrip-
    tion, for either each  field  screening
    point or  major outfall, of visual obser-
    vations made during dry weather peri-
    ods. If any  flow  is observed,  two  grab
    samples  shall be collected during-  a 24
    hour period with a minimum period of
    four hours  between  samples.  For all
    such  samples,  a narrative  description
    of the color, odor, turbidity,  the pres-
    ence of an oil sheen or surface scum as
    well as any other relevant observations
    regarding  the  potential  presence  of
    non-storm water  discharges or illegal
    dumping shall be provided. In addition.
    a narrative description of the  results of
    a field analysis using suitable methods
    to estimate  pH. total chlorine,  total
    copper, total phenol, and detergents (or
    surfactants)  shall be provided along-
    with  a description of the flow rate.
    Where the field  analysis does  not in-
    volve  analytical  methods  approved
    under  40  CFR part 136. the  applicant
    shall provide a description of the meth-
    od used including the name of the man-
    ufacturer of  the test  method along
    with  the range  and accuracy of the
    test. Field screening- points shall be ei-
    ther  major outfalls  or other outfall
    points (or any  other point of access
    such  as  manholes)  randomly  located
    throughout the storm sewer system by
    placing a grid over a drainage system
    map and identifying  those  cells of the
    grid which  contain  a segment of the
    storm sewer system  or  major  outfall.
    The field screening points  shall be  es-
    tablished using  the  following' guide-
    lines and criteria:
      (/) A grid system consisting of per-
    pendicular north-south  and east-west
    lines  spaced  ' •,  mile apart shall  be
    overlayed on  a  map  of  the municipal
    storm sewer system, creating  a series
    of cells.
      (2) All cells that contain a segment of
    the storm sewer system shall be identi-
    fied; one field screening point  shall be
    select.ed  in  each  cell;  major  outfalls
    may be used as field screening points:
      (j'l Field screening points should be
    located downstream of any sources  of
    suspected illegal or illicit activity:
      (-/) Field screening points shall be lo-
    cated to the degree  practicable at the
    farthest  manhole or other accessible
    location  downstream in the  system.
    within each  cell; however, safety  of
    personnel and accessibility  of the  loca-
    tion should be  considered  in  making
    this determination:
      (5>  Hydrological  conditions:  total
    drainage  area of  the site: population
    density of the site: traffic  density: age
    of the structures or buildings in the
    area:  history  of the  area: and  land use
    types:
      (6')  For medium municipal  separate
    storm sewer systems, no more  than  250
    cells  need  to  have  identified  field
    screening points: in large municipal
    separate storm sewer systems,  no  more
    than  500 cells need  to  have identified
    field screening points: cells established
    by  the  grid  that contain no storm
    sewer segments will be eliminated from
    consideration: if fewer than 250 cells in
    medium  municipal sewers  are  created.
    and fewer than 500 in large  systems are
    created by the overlay  on  the munic-
    ipal sewer map. then  all  those  cells
    which contain a  segment of the sewer
                                         184
    

    -------
    Environmental Protection Agency
                                  §122.26
    system shall be subject to field screen-
    ing  (unless  access  to  the  separate
    storm sewer  system is impossible): and
      (7) Large or medium municipal  sepa-
    rate  storm sewer  systems which are
    unable to utilize  the  procedures de-
    scribed in paragraphs  (dXDuvxD) d)
    through (6) of this section, because a
    sufficiently detailed map of the  sepa-
    rate storm sewer systems is  unavail-
    able,  shall field screen  no more  than
    500 or 250 major outfalls respectively
    (or all major outfalls in the system, if
    less);  in such circumstances, the appli-
    cant shall establish a grid system con-
    sisting of north-south  and east-west
    lines spaced 1A mile apart as an overlay
    to  the boundaries  of  the  municipal
    storm sewer system, thereby creating a
    series of cells: the  applicant will then
    select major outfalls in as many cells
    as possible until at least 500 major out-
    falls (large municipalities) or 250 major
    outfalls (medium  municipalities) are
    selected;  a  field  screening   analysis
    shall  be  undertaken at these  major
    outfalls.
      f'E) Characterization plan, Information
    and a proposed program to meet the re-
    quirements of paragraph (d)(2)fiii) of
    this section.  Such description shall in-
    clude: the location of outfalls or field
    screening points appropriate  for  rep-
    resentative data collection under  para-
    graph (d)(2)(iii)(A) of this section,  a de-
    scription  of  why  the outfall  or  field
    screening point is  representative, the
    seasons during  which sampling is in-
    tended, a description of  the sampling
    eciaipment.  The proposed location of
    outfalls or  field screening points for
    such  sampling  should  reflect  water
    quality   concerns   (see   paragraph
    (dHlMiVXC) of  this section) to the ex-
    tent practicable.
      (v)  Management  programs.  (A)  A de-
    scription  of  the existing management
    programs to control pollutants  from
    the municipal  separate  storm  sewer
    system. The  description  shall provide
    information on  existing structural and
    source  controls, including  operation
    and maintenance  measures  for struc-
    tural  controls, that are currently being
    implemented. Sucli controls may in-
    clude,  but are  not  limited to: Proce-
    dures   to  control  pollution resulting
    from construction activities: floodplain
    management controls: wetland  protec-
    tion measures: best management prac-
    tices for  new subdivisions: and emer-
    gency spill response programs. The de-
    scription  may address  controls estab-
    lished under  State  law  as well as local
    requirements.
      (B) A  description of the existing pro-
    gram to identify illicit connections to
    the municipal storm sewer system. The
    description  should include inspection
    procedures and  methods for detecting
    and  preventing  illicit  discharges, and
    describe areas where this program has
    been implemented.
      (vi) Fiscal resources. (A) A description
    of the  financial  resources currently
    available  to  the municipality  to com-
    plete pail 2 of the permit application.
    A  description  of  the  municipality's
    budget  for existing storm  water pro-
    grams,  including  an overview of  the
    municipality's financial resources and
    budget,  including1 overall indebtedness
    and  assets, and sources  of funds for
    storm water programs.
      (2) Part 2.  Part 2 of  the  application
    shall consist of:
      (i) Adequalt', legal authority.  A dem-
    onstration that  the applicant can oper-
    ate pursuant to legal authority estab-
    lished by statute, ordinance or  series of
    contracts which authorizes or enables
    the applicant at a minimum to:
      (A) Control through  ordinance, per-
    mit, contract, order or similar means.
    the contribution of pollutants to  the
    municipal storm sewer  by storm water
    discharges associated  with  industrial
    activity and the quality of storm water
    discharged from sites of industrial ac-
    tivity;
      (B) Prohibit through ordinance, order
    or similar means, illicit discharges to
    the municipal separate storm sewer;
      (C) Control  through ordinance, order
    or similar means  the  discharge to  a
    municipal  separate  storm  sewer  of
    spills, dumping or disposal of materials
    other than storm water:
      (D) Control  through   interapency
    agreements  among  coapplicants  the
    contribution   of  pollutants  from one
    portion  of the municipal system to an-
    other portion of the municipal system:
      (E) Require compliance  with condi-
    tions in ordinances, permits, contracts
    or orders; and
                                         185
    

    -------
    §122.26
              40 CFR Ch. I (7-1-04 Edition)
      (F) Carry out all inspection, surveil-
    lance and  monitoring procedures  nec-
    essary to  determine  compliance  and
    noncomplianee with permit  conditions
    including" the prohibition on illicit dis-
    charges  to  the  municipal  separate
    storm sewer.
      fii) Source identification. The location
    of any major outfall that discharges to
    waters of the United  States that  was
    not    reported    under    paragraph
    (d)(lMiii)(B)U) of this section. Provide
    an inventory, organized by  watershed
    of the name and address, and a descrip-
    tion (such as SIC codes) which best re-
    flects the principal products  or services
    provided by  each facility which may
    discharge,  to the  municipal separate
    storm  sewer, storm  water  associated
    with industrial activity:
      (ill)   Characterization   data,   When
    "quantitative data" for a pollutant  are
    required       under        paragraph
    fd)(2)(iii)(A>(3) of this section, the  ap-
    plicant must collect a sample of efflu-
    ent  in   accordance   with   40  CFR
    122.21(g)(7) and analyze it for the  pol-
    lutant in  accordance with  analytical
    methods approved under  part  138 of
    this chapter. When no analytical meth-
    od is approved the applicant may  use
    any suitable method  but must provide
    a description of the method. The appli-
    cant must provide information charac-
    terizing-  the quality  and  quantity of
    discharges covered in the permit appli-
    cation, including:
      (A) Quantitative data from represent-
    ative outfalls designated by the  Direc-
    tor (based on information received in
    part 1 of the  application, the Director
    shall  designate between five and  ten
    outfalls  or field  screening  points as
    representative of the commercial, resi-
    dential and industrial land use activi-
    ties of the drainage area contributing
    to the system or. where there are less
    than five outfalls covered in the appli-
    cation, the Director shall designate all
    outfalls) developed as follows:
      (J) For each outfall or field screening
    point designated  under this subpara-
    graph. samples shall be  collected of
    storm  water  discharges  from  three
    storm  events  occurring  at  least  one
    month apart in accordance with the re-
    quirements at §122.21(g)(7)  (the  Direc-
    tor may  allow exemptions to sampling
    three storm events when climatic con-
    ditions  create good cause for such  ex-
    emptions):
      (2) A  narrative description shall be
    provided of the  date  and duration of
    the storm event(s) sampled, rainfall es-
    timates of the storm event which gen-
    erated the sampled discharge  and the
    duration between the storm event sam-
    pled and the end of the previous meas-
    urable (greater  than 0.1  inch rainfall)
    storm event:
      (3t  For  samples  collected and  de-
    scribed   under   paragraphs  (d)(2)(iii)
    
    -------
    Environmental Protection Agency
                                 §122,26
    and   concentrations,   including   any
    modelling, data analysis, and calcula-
    tion methods;
      (C> A proposed schedule to provide es-
    timates for each major outfall identi-
    fied  in  either paragraph  (d)(2)(ii) or
    (d)(l)(iii)(BW)  of  this  section  of the
    seasonal  pollutant  load and  of  the
    event mean concentration  of  a  rep-
    resentative  storm for any constituent
    detected in  any sample required under
    paragraph (d)(2)siii)(A)  of this section:
    and
      (D)  A proposed  monitoring program
    for representative data collection for
    the term  of the permit that describes
    the location of outfalls or field screen-
    ing: points to  be sampled (or the  loca-
    tion of instream stations), why the lo-
    cation is representative, the frequency
    of sampling, parameters to be sampled.
    and a description of sampling1 equip-
    ment,
      (iv)  Proposed management  program. A
    proposed  management program covers
    the duration of the permit.  It shall in-
    clude  a comprehensive planning proc-
    ess which involves public participation
    and   where  necessary  intergovern-
    mental coordination, to reduce the dis-
    charge of pollutants to  the  maximum
    extent practicable using management
    practices, control techniques and  sys-
    tem, design and engineering methods.
    and such other provisions which are ap-
    propriate. The program shall  also in-
    clude  a  description of staff and equip-
    ment  available to implement tint1 pro-
    gram. Separate proposed programs may
    be submitted by each coapplicant. Pro-
    posed programs may impose controls
    on  a  systemwide basis, a  watershed
    basis, a jurisdiction basis, or  on  indi-
    vidual outfalls. Proposed programs will
    be considered by the Director when de-
    veloping permit  conditions  to reduce
    pollutants in discharges to the max-
    imum  extent practicable.   Proposed
    management  programs  shall describe
    priorities for implementing  controls.
    Such programs shall  be based on:
      (A)  A description  of structural  and
    source control measures to reduce  pol-
    lutants  from  runoff from  commercial
    and  residential  areas   that  are  dis-
    charged  from the  municipal  storm
    sewer system that  are to  be  imple-
    mented  during the life of the permit.
    accompanied with an  estimate of the
    expected reduction of pollutant loads
    and  a  proposed  schedule  for  imple-
    menting such controls. At a minimum,
    the description shall include:
      (/) A description  of maintenance ac-
    tivities and a maintenance schedule for
    structural  controls to  reduce  pollut-
    ants  (including  floatables)  in  dis-
    charges from municipal separate storm
    sewers:
      (2) A  description of planning proce-
    dures including a comprehensive mas-
    ter plan to develop, implement and en-
    force controls to reduce the discharge
    of pollutants from  municipal separate
    storm sewers which receive discharges
    from areas of new development and sig-
    nificant   redevelopment.   Such plan
    shall address controls to reduce  pollut-
    ants in  discharges from municipal sep-
    arate storm sewers after  construction
    is  completed.  (Controls to reduce pol-
    lutants  in discharges  from municipal
    separate storm sewers containing con-
    struction site runoff  are  addressed  in
    paragraph (d)(2xiv)(D) of this section:
      (.?) A description  of practices  for op-
    erating  and maintaining public streets.
    roads and highways and procedures for
    reducing the impact  on receiving wa-
    ters  of discharges  from  municipal
    storm sewer systems, including  pollut-
    ants discharged as  a  result of deicing
    activities:
      (4) A description  of  procedures to as-
    sure that  flood management projects
    assess the impacts on the water quality
    of receiving water  bodies  and that ex-
    isting structural  flood control devices
    have  been evaluated to  determine if
    retrofitting the device to  provide addi-
    tional  pollutant,  removal from storm
    water is feasible:
      (5) A  description of  a program  to
    monitor pollutants  in runoff from oper-
    ating or closed municipal landfills  or
    other treatment, storage or disposal fa-
    cilities   for municipal  waste,  which
    shall identify priorities and procedures
    for inspections and  establishing and
    implementing  control  measures  for
    such discharges (this program  can  be
    coordinated with  the  program devel-
    oped  under paragraph  (d)(2)(iv)(C)  of
    this section): and
      (6) A description  of a program to re-
    duce  to the  maximum  extent prac-
    ticable, pollutants  in discharges from
                                         187
    

    -------
    §122,26
              40 CFR Ch. i (7-1-04 Edition)
    municipal separate storm  sewers asso-
    ciated with the  application  of  pes-
    ticides, herbicides and fertilizer which
    will  include, as  appropriate,  controls
    such as educational activities,  permits.
    certifications and other measures  for
    commercial  applicators and distribu-
    tors,  and controls for application in
    public right-of-ways and at municipal
    facilities.
      (B)  A description  of a program,  in-
    cluding a schedule,  to detect and  re-
    move (or require the discharger  to the
    municipal separate storm  sewer  to ob-
    tain a separate NPDBS permit for) il-
    licit discharges and improper  disposal
    into the  storm  sewer.  The proposed
    program shall include:
      (1) A description  of a  program,  in-
    cluding inspections,  to implement and
    enforce an ordinance, orders or similar
    means to prevent illicit discharges to
    the  municipal separate  storm  sewer
    system; this program description shall
    address all  types  of illicit discharges.
    however the following category of non-
    storm  water discharges  or flows shall
    be addressed where such discharges are
    identified   by  the   municipality  as
    sources of pollutants to waters  of the
    United  States: water line  flushing,
    landscape irrigation,  diverted  stream
    flows.     rising     ground    waters.
    uncontaminated ground water  infiltra-
    tion (as defined at 40 CFR 35.2005(20)) to
    separate        storm        sewers,
    uncontaminated pumped ground  water.
    discharges from potable water sources.
    foundation  drains,   air   conditioning
    condensation, irrigation water, springs,
    water from  crawl space pumps, footing
    drains, lawn watering, individual resi-
    dential   car   washing,    flows   from
    riparian    habitats    and   wetlands.
    dechlorinated  swimming    pool  dis-
    charges,  and street wash  water (pro-
    gram descriptions shall   address  dis-
    charges or flows from fire fighting only
    where  such discharges  or  flows are
    identified as significant sources  of pol-
    lutants to waters of the United States);
      (2) A description  of procedures to
    conduct on-going field screening  activi-
    ties during  the life  of the permit,  in-
    cluding areas or locations  that will be
    evaluated by such field screens;
      (3) A description of procedures to be
    followed to  investigate portions  of the
    separate  storm  sewer  system   that.
    based on the results of the field screen,
    or other appropriate information, indi-
    cate  a reasonable  potential  of con-
    taining  illicit  discharges  or  other
    sources  of  non-storm   water  (such
    procedures may include: sampling pro-
    cedures for constituents  such  as fecal
    coliform.      fecal      streptococcus,
    surfactants (MBAS). residual chlorine.
    fluorides and potassium: testing with
    fluorometrie  dyes;  or  conducting  in
    storm sewer inspections  where  safety
    and  other  considerations allow. Such
    description shall include the  location
    of storm sewers that have been identi-
    fied for such evaluation):
      (4} A description of procedures to pre-
    vent, contain, and  respond  to spills
    that may discharge into the municipal
    separate storm sewer:
      (5) A description of a program to pro-
    mote,  publicize,  and facilitate  public
    reporting of the presence of illicit dis-
    charges or  water quality  impacts asso-
    ciated with discharges from municipal
    separate storm sewers;
      
    -------
    Environmental Protection Agency
                                  §122,26
    term of the permit, including tie  sub-
    mission of quantitative data on the fol-
    lowing  constituents:  any  pollutants
    limited    in    effluent    guidelines
    sutacategories.  where  applicable;  any
    pollutant listed in an existing NPDES
    permit  for  a facility,"  oil and grease.
    COD. pH.  BOD,. TSS. total phosphorus.
    total Kjeldahl nitrogen, nitrate plus ni-
    trite nitrogen, and any information on
    discharges required under §122,21(g'X?)
    (vi) and (vii).
      (D) A description of a program to im-
    plement  and maintain structural  and
    non-structural best management prac-
    tices to  reduce pollutants  in  storm
    water runoff from construction sites to
    the  municipal  storm  sewer system.
    which shall  include:
      (1}  A description of procedures for
    site  planning which incorporate consid-
    eration of potential water quality im-
    pacts;
      (2) A description of requirements for
    nonstructural and structural best man-
    agement practices;
      (3)  A description of procedures for
    identifying  priorities  for  inspecting
    sites and enforcing control  measures
    which consider  the nature of the  con-
    struction activity,  topography, and the
    characteristics  of  soils and  receiving
    water quality; and
      (4) A description of appropriate  edu-
    cational and training measures for  con-
    struction site operators,
      (v) Assessment of controls.  Estimated
    reductions  in  loadings of  pollutants
    from discharges of municipal  storm
    sewer  constituents  from  municipal
    storm sewer systems  expected as the
    result of the municipal  storm water
    quality management program. The as-
    sessment  shall also identify known im-
    pacts  of storm   water   controls  on
    ground water.
      (vi) Fiscal analysis.  For each fiscal
    year to be covered  by the permit, a. fis-
    cal analysis of the necessary capital
    and  operation  and maintenance  ex-
    penditures necessary to accomplish the
    activities of the programs under para-
    graphs (d)(2) (iii) and  (iv) of this  sec-
    tion. Such analysis shall include a de-
    scription  of the source of funds  that
    are proposed to meet the necessary ex-
    penditures,  including legal restrictions
    on the use of such funds.
      (vii) Where more than one legal enti-
    ty submits an application, the applica-
    tion shall contain a description of the
    roles and responsibilities of each legal
    entity and procedures to ensure effec-
    tive coordination.
      (viii)  Where   requirements   under
    paragraph     (d)UXivxE).    id)(2)(ii).
    tdx2)(iii)(B> and  (d)(2)(iv) of this  sec-
    tion are not practicable or are  not ap-
    plicable, the Director may exclude any
    operator of a  discharge  from a munic-
    ipal separate storm sewer which is des-
    ignated   under  paragraph  (a)(l)(v>,
    
    -------
    §122.26
              40 CFR Ch. I (7-1-04 Edition)
      (i) Part 1. (A) Except as provided in
    paragraph 
    -------
    Environmental Protection Agency
                                  §122.26
    or  tlie  EPA  Regional Administrator.
    determines that the discharge contrib-
    utes to a violation of a water quality
    standard or is a significant contributor
    of pollutants  to  waters of the United
    States  (see  paragraphs  (aid);;*-  and
    lb)(15)(ii) of this section):
      (ii)  A storm water  discharge subject
    to paragraph (cKlxv)  of this section.
      <6>  Facilities with existing  KPDES
    permits for storm water discharges as-
    sociated with industrial activity shall
    maintain  existing permits. Facilities
    with  permits  for storm  water  dis-
    charges associated with industrial  ac-
    tivity which expire on or after May 18.
    1992 shall submit  a new application in
    accordance with the requirements of 40
    CFR 122.21 and 40 CFR. 122.26(c) (Form
    1.   Form   2F.  and   other  applicable
    Forms)  180 days  before the expiration
    of such permits.
      (7) The  Director shall issue or deny
    permits for  discharges  composed  en-
    tirely of storm water under this  sec-
    tion in  accordance with the  following
    schedule:
       of this sec-
    tion,  the Director shall issue or deny
    permits for storm water discharges  as-
    sociated with  industrial  activity  no
    later than May 17. 1994, or. for any such
    municipality  which  fails to  submit a
    complete Part II group permit applica-
    tion by  May 17. 1993. one year  after re-
    ceipt of a complete permit application;
      (ii) The Director shall issue or deny
    permits for large municipal separate
    storm sewer systems  no later than No-
    vember  16. 1993. or. for new sources or
    existing sources which fail to submit a
    complete  permit  application  by  No-
    vember  16. 1992, one year after receipt
    of a complete permit application;
      (Hi) The  Director shall issue or deny
    permits for medium municipal separate
    storm sewer systems no later than May
    17. 1994. or. for new sources or existing
    sources which fail to submit a com-
    plete permit  application  by  May  17.
    1993. one  year after receipt of a com-
    plete permit application.
      (8i For any storm water discharge  as-
    sociated with  small construction activ-
    ity identified  in paragraph (b)(15Ki) of
    this  section,  see  §122.21(0(1).  Dis-
    charges from  these sources, other than
    discharges associated  with small con-
    struction  activity at oil  and gas explo-
    ration,  production,  processing,  and
    treatment operations  or transmission
    facilities,  require permit authorization
    by March 10. 2003. unless designated  for
    coverage  before then. Discharges asso-
    ciated with small construction activity
    at such oil and gas sites  require permit
    authorization by March 10. 2005.
      (9.) For  any  discharge from a regu-
    lated small MS4,  the permit  applica-
    tion made under §122.33 must be sub-
    mitted to  the Director by:
      (i) March 10. 2003 if designated under
    §122.32(a)(l) unless  your MS4  serves a
    jurisdiction with  a population under
    10.000 and the NPDES  permitting  au
    thority   has  established   a  phasing
    schedule   under   §123.35(d)(3>   ssee
    §122.33(0(1)):  or
      (ii) Within  180 days of notice, unless
    the   NPDES   permitting   authority
    grants a later date, if designated under
    §122.32(a)<2) (see §122.33(0(2)).
      (f) Petitions.  (1) Any operator  of a mu-
    nicipal  separate  storm  sewer system
    may petition  the Director to require a
    separate NPDES permit (or a permit
    issued under an approved NPDES State
    program)  for  any  discharge  into  the
    municipal  separate  storm  sewer sys-
    tem.
      (2) Any  person  may petition the Di-
    rector to require a NPDES permit for a
    discharge  which is composed  entirely
    of storm water which contributes to a
    violation  of a water quality standard
    or is a  significant  contributor of pol-
    lutants  to waters of the  United States.
      (3s The owner or operator of a munic-
    ipal  separate storm sewer  system may
    petition  the   Director  to  reduce  the
    Census  estimates  of  the  population
    served by such separate system to ac-
    count for storm water  discharged  to
    combined  sewers as defined by 40 CFR
                                         191
    

    -------
    §122.26
              40CFRCh. I (7-1-04 Edition)
    35.2005(b)(ll)  that is treated in a  pub-
    licly  owned  treatment works.  In  mu-
    nicipalities in which combined sewers
    are operated, the Census  estimates of
    population  may  be reduced  propor-
    tional to the fraction, based  on  esti-
    mated lengths,  of the  length of com-
    bined sewers over the sum  of the length
    of combined  sewers and municipal sep-
    arate storm  sewers where  an applicant
    has submitted the NPDES  permit num-
    ber  associated   with   each discharge
    point  and   a  map  indicating' areas
    served by combined sewers and the lo-
    cation of any combined sewer overflow
    discharge point.
      (4) Any person may petition  the Di-
    rector for  the designation of a large.
    medium, or  small municipal separate
    storm sewer  system as defined by para-
    graph  of
    this section.
      (5) The Director shall make a  final
    determination on any petition received
    under this section within  90 days after
    receiving the petition  with the excep-
    tion of petitions  to designate a small
    MS4 in which case the Director shall
    make a final determination on the pe-
    tition within 180 days after its receipt.
      (»•) Conditional exclusion  for "no expo-
    sure" of industrial activities  and materials
    to storm water. Discharges composed en-
    tirely  of storm  water are  not storm
    water discharges associated with indus-
    trial activity if  there is "no exposure"
    of industrial materials and activities
    to rain.  snow, snowmelt and or runoff.
    and the  discharger satisfies the condi-
    tions in paragraphs (g)(l) through 
    of this  section.  "No exposure"  means
    that all industrial materials and ac-
    tivities are protected by a  storm resist-
    ant shelter to prevent exposure to  rain.
    snow, snowmelt.  and/or runoff.  Indus-
    trial  materials  or  activities  include.
    but are  not  limited to. material  han-
    dling equipment  or  activities,  indus-
    trial machinery, raw materials, inter-
    mediate products,  by-products,   final
    products, or waste products. Material
    handling activities include the storage.
    loading and  unloading, transportation.
    or conveyance of any raw  material, in-
    termediate product,  final product  or
    waste product.
      (1) Qualification. To  qualify for  this
    exclusion,  the operator of the discharge
    must:
      (i) Provide a storm  resistant shelter
    to protect industrial materials and ac-
    tivities from  exposure to  rain. snow.
    snow melt, and runoff:
      (ii) Complete and sign  (according to
    §122.32) a certification that there  are
    no discharges of storm water contami-
    nated by  exposure to  industrial mate-
    rials and  activities from  the entire fa-
    cility,  except  as provided in paragraph
    (g)(2) of this section:
      (iii)  Submit the  signed  certification
    to  the NPDES permitting authority
    once every five years:
      (ivi Allow the Director to inspect the
    facility to determine  compliance with
    the "no exposure" conditions:
       Allow  the Director  to make any
    "no exposure" inspection reports avail-
    able to the public upon request: and
      (vii  For  facilities  that discharge
    through an  MS4. upon request, submit
    a copy of the  certification  of "no expo-
    sure" to  the MS4 operator, as well as
    allow inspection and  public reporting
    by the  MS4 operator.
      <2> Industrial materials  and  activities
    no! requiring storm resistant shelter. To
    qualify for this exclusion, storm resist-
    ant shelter is not required for:
      (i) Drums, barrels, tanks, and similar
    containers that are tightly sealed, pro-
    vided those  containers are  not deterio-
    rated and do not leak ("Sealed" means
    banded or otherwise secured and with-
    out operational taps or valves):
      (ii) Adequately  maintained  vehicles
    used in material handling; and
      (iii) Final products,  other than prod-
    ucts that would be mobilized in storm
    water discharge (e.g.. rock salt).
      (3) Limitations,  (i) Storm water  dis-
    charges  from  construction activities
    identified in paragraphs  (b)(14)(x)  and
    (b)(15)  are not eligible for this condi-
    tional  exclusion.
      (ii) This conditional exclusion from
    the requirement for an NPDES permit
    is available on  a  facility-wide  basis
    only, not for individual outfalls. If a fa-
    cility  has some  discharges of storm
    water  that would otherwise be "no ex-
    posure" discharges, individual permit
    requirements  should  be  adjusted  ac-
    cordingly.
      (iii) If circumstances change and in-
    dustrial materials or activities become
    exposed to rain. snow, snow melt, and;
                                         192
    

    -------
    Environmental Protection Agency
                                  §122.26
    or runoff, the conditions for this exclu-
    sion no longer apply. In such cases, the
    discharge becomes subject to  enforce-
    ment for un-permitted discharge. Any
    conditionally exempt, discharger who
    anticipates  changes  in  circumstances
    should apply for and obtain permit au-
    thorization  prior to the change of cir-
    cumstances.
      (iv) Notwithstanding the provisions
    of this  paragraph, the NPDES permit-
    ting authority retains the authority to
    require permit authorization (and deny
    this exclusion) upon making a deter-
    mination that the  discharge causes.
    has a reasonable potential to cause, or
    contributes  to an instream  excursion
    above   an  applicable  water  quality
    standard, including designated uses.
      (4) Certification. The no exposure cer-
    tification must require the submission
    of the following information, at a min-
    imum,  to aid the  NPDES  permitting
    authority in determining if the facility
    qualifies for the no exposure exclusion:
       The legal name, address and phone
    number   of   the   discharger   (see
    §122.21 of  this section. I un-
    derstand that I am obligated to submit
    a no  exposure certification  form once
    every five years to the NPDES permit-
    ting authority and. if requested, to the
    operator of the local MS4  into  which
    this facility discharges (where applica-
    ble). I understand that I must allow the
    NPDES permitting authority, or M84
    operator  where  the discharge is into
    the local  MS4. to perform inspections
    to confirm the condition of no exposure
    and  to  make such  inspection reports
    publicly available upon  request. I un-
    derstand that I must obtain coverage
    under an NPDES permit prior to any
    point source discharge of storm  water
    from the  facility. I  certify under pen-
    alty  of law that this document and all
    attachments were prepared  under my
    direction  or supervision  in  accordance
    with a system designed  to assure that
    qualified  personnel  properly gathered
    and  evaluated  the  information  sub-
    mitted. Based upon  my  inquiry of the
    person or persons who manage the sys-
    tem, or those persons directly involved
    in gathering the information, the infor-
    mation  submitted is to  the best of my
                                         193
    

    -------
    §122.27
              40 CFR Ch. I  (7-1-04 Edition)
    knowledge  and  belief  true,  accurate
    and complete. I am aware there are sig-
    nificant penalties for submitting  false
    information, including  the possibility
    of fine  and imprisonment for knowing
    violations."
    [55 FR 48063, Nov. 16. 1990.  as amended at 56
    FR 12100, Mar. 21,  1991: 56  FR 56554. Nov. 5,
    1991;  57  FR 11412, Apr. 2. 1992: 57 FR  60447.
    Dec.  18.  1992: 60 FR 17956, Apr. 7. 1995: 60 FR
    19464, Apr. 18. 1995: 60  FR 40235. Aug. 1. 1995:
    64 FR 68838. Dec. 8. 1999: 65  FR 30907. May 15.
    2000;  68 FR 11329. Mar. 10.  2003: 69 FR  18803.
    Apr. 9. 2004]
    
    S 122.27  Silvicultural  activities  (appli-
       cable to State NPDES programs, see
       8 123.25).
      (a)  Permit requirement.  Silvicultural
    point sources,  as defined  in  this  sec-
    tion, as point sources  subject  to the
    NPDES permit program.
      (b)  Definitions. (1) Silvicultural point
    source means any discernible, confined
    and   discrete  conveyance   related  to
    rock  crushing,  gravel   washing,  log
    sorting, or log storage facilities which
    are  operated in connection with Sil-
    vicultural activities  and  from which
    pollutants are discharged  into  waters
    of the  United  States. The term  does
    not  include non-point source Silvicul-
    tural activities such  as nursery oper-
    ations,  site preparation, reforestation
    and   subsequent  cultural   treatment.
    thinning, prescribed burning, pest and
    fire control, harvesting operations, sur-
    face  drainage, or road construction and
    maintenance from which there  is nat-
    ural  runoff. However,  some of these ac-
    tivities  (such  as stream  crossing for
    roads)  may  involve point source  dis-
    charges of  dredged  or fill  material
    which may require  a CWA section 404
    permit  (See 33  CPR  209.120 and  part
    233).
      (2)  Rock crushing  and  gravel  was fling
    facilities means facilities which process
    crushed and broken stone, gravel, and
    riprap (See 40 CPR part 436. subpart B.
    including   the   effluent   limitations
    guidelines).
      (3) Log sorting and log  storage facilities
    means  facilities whose  discharges re-
    sult  from the  holding  of  unprocessed
    wood, for  example,  logs or roundwood
    with bark or after removal of bark held
    in self-contained bodies of water  (mill
    ponds or log ponds) or  stored on  land
    where water is applied intentionally on
    the logs  (wet decking). (See 40  CFR
    part 429. subpart I. including the efflu-
    ent limitations guidelines).
    
    $ 122.28  General permits (applicable to
        State    NPDES    programs,    see
        S 123.25).
      (a) Coverage. The Director may issue
    a general  permit in  accordance  with
    the following:
      (1) Area. The general permit shall be
    written to cover one or more categories
    or subcategories of discharges or sludge
    use or  disposal practices or facilities
    described  in  the permit under  para-
    graph  ta)(2)(ii) of this section,  except
    those  covered by  individual  permits.
    within  a  geographic  area. The  area
    should  correspond  to   existing  geo-
    graphic or political boundaries such as:
      (i) Designated  planning areas under
    sections 208 and 303 of  CWA:
      (ii) Sewer districts or sewer authori-
    ties:
      (iii)  City, county, or  State  political
    boundaries:
      (ivi State highway systems:
      (v) Standard metropolitan statistical
    areas as defined  by  the Office of Man-
    agement and Budget:
      (vi) Urbanized areas as designated by
    the Bureau of the Census according- to
    criteria in 30  FR 15202 (May 1. 1974): or
      (vii)  Any other appropriate division
    or combination of boundaries.
      (2) Sources.  The general permit  may
    be written to  regulate one or more cat-
    egories or subcategories of discharges
    or sludge use or disposal practices or
    facilities, within the area described in
    paragraph (a)(l) of this section, where
    the  sources  within  a  covered  sub-
    category of discharges are either:
      (i) Storm water point sources: or (ii)
    One or  more categories  or  subcat-
    egories of  point sources  other  than
    storm  water  point sources, or one or
    more  categories or  subcategories of
    "treatment works   treating  domestic
    sewage", if the sources  or "treatment
    works  treating domestic sewage" with-
    in each category or subcategory all:
      (A) Involve the same or substantially
    similar types of operations:
      (B)   Discharge  the   same  types  of
    wastes or engage in the  same types of
    sludge use or disposal practices:
                                          194
    

    -------
    Environmental Protection Agency
                                  §122.28
      (C) Require the same effluent limita-
    tions,  operating conditions, or stand-
    ards for sewage sludge use or disposal:
      (D) Require the same or similar mon-
    itoring: and (E) In the opinion of the
    Director,  are  more appropriately con-
    trolled  under  a general  permit  than
    under individual permits.
      (3) Water  quality-based  limits. Where
    sources within  a  specific  category or
    subcategory of dischargers  are  subject
    to water  quality-based limits  imposed
    pursuant to §122.44. the sources in that
    specific category or sutacategory shall
    be subject to  the  same water  quality-
    based effluent limitations.
      (4) Other requirements, (i) The general
    permit must clearly identify the appli-
    cable  conditions for each  category or
    subcategory  of dischargers or  treat-
    ment  works treating  domestic  sewage
    covered by the permit.
      (ii) The general permit may exclude
    specified  sources  or   areas from  cov-
    erage.
      (b) Administration. <1) In general. Gen-
    eral permits may be  issued, modified.
    revoked and reissued,  or terminated in
    accordance  with  applicable   require-
    ments of part 124 of this chapter or cor-
    responding State  regulations.  Special
    procedures for  issuance are found at
    §123.44 of this chapter for States.
      (2) Authorization to  discharge, or au-
    thorization to engage in sludge  use  and
    disposal practices, (i) Except as provided
    in paragraphs (b)(2)(v) and (b)(2)(vi) of
    this section, dischargers (or treatment
    works treating domestic sewage) seek-
    ing coverage  under a general  permit
    shall submit to the Director a written
    notice  of intent to be covered by the
    general permit. A  discharger (or treat-
    ment 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 per-
    mit,  to engage in a sludge  use or  dis-
    posal practice),  under  the terms of the
    general permit unless  the general per-
    mit,  in   accordance   with  paragraph
    (b)(2)(v) of this section, contains a pro-
    vision that a notice of intent is not re-
    quired  or the Director notifies a  dis-
    charger (or treatment works treating
    domestic  sewage) that it is covered by
    a  general permit in  accordance  with
    paragraph (b)(2)(vi) of this section. A
    complete  and timely,  notice  of intent
    (NOT), to be covered in accordance with
    general permit requirements,  fulfills
    the requirements  for  permit  applica-
    tions for purposes of §§122.6. 122.21 and
    122.26.
      (ii) The contents of the notice of in-
    tent shall be specified in the general
    permit  and shall  require  the submis-
    sion of information necessary for ade-
    quate program implementation, includ-
    ing at  a minimum, the legal name and
    address of the owner  or operator, the
    facility name and address, type of fa-
    cility or discharges, and the  receiving
    stream(s).  General permits  for storm
    water discharges associated with indus-
    trial activity from inactive mining, in-
    active  oil and  gas operations, or inac-
    tive landfills  occurring  on  Federal
    lands  where  an  operator  cannot  be
    identified may contain alternative no-
    tice of intent requirements. All notices
    of intent shall be signed in accordance
    with §122.22. Notices of intent for cov-
    erage under a  general permit for con-
    centrated  animal  feeding  operations
    must include the information specified
    in §122.21(iHI), including a topographic
    map.
      (iii) General permits shall specify the
    deadlines  for .-submitting notices of in-
    tent to be covered and the date(s) when
    a discharger is authorized to discharge
    under the permit:
      (iv)  General  permits shall  specify
    whether a  discharger (or treatment
    works  treating  domestic  sewage) that
    has submitted a complete and timely
    notice  of intent to be covered in ac-
    cordance  with  the  general permit  and
    that is  eligible for coverage under the
    permit, is authorized to discharge,  (or
    in the case of a sludge disposal permit.
    to engage in  a sludge  use  or disposal
    practice), in accordance with  the per-
    mit either upon receipt of the notice of
    intent  by the Director, after a waiting
    period  specified in the  general permit.
    on a date specified in  the  general per-
    mit, or upon receipt of notification of
    inclusion  by  the  Director.  Coverage
    may be terminated or revoked in ac-
    cordance  with  paragraph (b)(3) of this
    section.
      (v) Discharges other than discharges
    from publicly owned treatment works.
    combined sewer overflows,  municipal
    separate storm sewer systems, primary
                                         195
    

    -------
    §122.28
              40CFRCh. I (7-1-04 Edition)
    industrial facilities, and storm  water
    discharges associated  with  industrial
    activity, may. at the discretion of the
    Director,  be authorized  to  discharge
    under  a general permit  without sub-
    mitting a notice of intent where  the
    Director finds that a notice of intent
    requirement would be inappropriate. In
    making such  a finding,  the Director
    shall  consider: the type  of  discharge:
    the expected nature of the  discharge:
    the potential for  toxic  and  conven-
    tional pollutants in the discharges: the
    expected  volume  of  the discharges:
    other means of identifying discharges
    covered by  the  permit;  and the  esti-
    mated number of discharges  to be cov-
    ered by the  permit. The  Director shall
    provide in the public notice of the gen-
    eral permit  the  reasons for not requir-
    ing a notice  of intent.
      (vi) The Director may  notify a  dis-
    charger (or  treatment works treating
    domestic sewage) that it  is covered by
    a general permit, even if the discharger
    (or treatment works treating domestic
    sewage) has not submitted a notice of
    intent to  be covered. A discharger (or
    treatment  works   treating  domestic
    sewage) so notified may  request an in-
    dividual  permit   under   paragraph
    (b)(3Xiii) of this  section.
      (3) Requiring an  individual  permit, (i)
    The Director may  require  any  dis-
    charger authorized by a general permit
    to apply for and obtain an  individual
    NPDES permit.  Any interested person
    may petition the Director to take ac-
    tion under this paragraph. Cases where
    an  individual  NPDES  permit  may be
    required include the following:
      (A)  The  discharger  or "treatment
    works treating domestic  sewage" is not
    in compliance with the conditions of
    the general NPDES permit;
      (B)  A  change has  occurred in  the
    availability   of  demonstrated  tech-
    nology or practices for the control or
    abatement of  pollutants  applicable to
    the point source or treatment works
    treating domestic sewage;
      (C) Effluent limitation guidelines are
    promulgated for point sources  covered
    by the general NPDES permit:
      (D)  A Water  Quality  Management
    plan containing requirements applica-
    ble to such point sources is approved;
      (E)   Circumstances  have   changed
    since the time of the request  to be cov-
    ered so that the discharger is no longer
    appropriately controlled under the gen-
    eral permit, or either a temporary or
    permanent reduction  or elimination of
    the authorized discharge is necessary:
      (Fi Standards for sewage sludge use
    or disposal have been promulgated for
    the  sludge use  and  disposal practice
    covered by the  general NPDES permit;
    or
      (G) The discharge*s) is  a significant
    contributor of  pollutants. In  making
    this determination, the Director  may
    consider the following factors:
      (1) The location of the discharge  with
    respect to waters of the United States;
      (2) The size of the discharge:
      (3) The  quantity and nature  of the
    pollutants  discharged to waters of the
    United States: and
      (4) Other relevant factors:
      (ii) For  EPA  issued general permits
    only,  the Regional Administrator  may
    require  any owner or operator author-
    ized by a general permit to apply for an
    individual  NPDES permit as provided
    in paragraph (b)(3Mi) of  this section.
    only if the owner or operator has  been
    notified in writing that a  permit appli-
    cation is required. This notice shall in-
    clude a  brief statement of the reasons
    for this decision, an application form, a
    statement setting a time for the owner
    or operator to file the application, and
    a statement that on the effective  date
    of the individual  NPDES permit the
    general permit as it applies to the  indi-
    vidual permittee  shall  automatically
    terminate. The Director may grant ad-
    ditional time upon request of the appli-
    cant.
      (iii) Any owner  or  operator  author-
    ized by  a general  permit  may request
    to be excluded from the coverage of the
    general permit by applying for an  indi-
    vidual permit.  The owner or operator
    shall  submit   an  application  under
    §122.21. with reasons supporting the re-
    quest, to the Director no  later than 90
    days  after the  publication by  EPA of
    the  general  permit  in  the FEDERAL
    REGISTER or the publication by a State
    in  accordance  with  applicable State
    law.  The  request shall   be  processed
    under part 124 or applicable State pro-
    cedures. The request  shall be granted
    by issuing of any  individual permit if
                                        196
    

    -------
    Environmental Protection Agency
                                  §122.29
    the reasons cited by the owner or oper-
    ator are  adequate to support  the re-
    quest.
      (iv) When an individual NPDES per-
    mit  is issued to  an owner or operator'
    otherwise subject to a general  NPDES
    permit, the applicability of the  general
    permit  to the individual NPDES per-
    mittee is automatically terminated on
    the effective date of the individual per-
    mit.
      (v) A  source excluded  from a  general
    permit solely because it already has an
    individual permit may request that the
    individual permit be revoked, and that
    it be covered by the general  permit.
    Upon revocation of  the  individual per-
    mit, the general  permit shall apply to
    the source.
      (c) Offshore oil and gas facilities (Not-
    applicable to State  programs).  (1) The
    Regional  Administrator shall,  except
    as provided  below,  issue general per-
    mits covering discharges from offshore
    oil and  gas  exploration and  production
    facilities  within  the Region's jurisdic-
    tion. Where  the offshore area includes
    areas, such as areas of  biological con-
    cern, for which separate permit condi-
    tions are required,  the  Regional Ad-
    ministrator may  issue separate  general
    permits, individual  permits, or both.
    The  reason  for separate  general per-
    mits or individual permits shall be set
    forth in the  appropriate  fact sheets or
    statements  of basis.  Any statement  of
    basis or fact sheet  for  a draft  permit
    shall include the Regional Administra-
    tor's  tentative   determination  as to
    whether the  permit  applies to "new
    sources." "new dischargers."  or existing
    sources and the reasons for  this deter-
    mination, and the  Regional Adminis-
    trator's proposals as  to areas  of bio-
    logical  concern subject  either to sepa-
    rate individual or general permits. For
    Federally leased lands, the general per-
    mit area should generally be no less ex-
    tensive  than the lease sale area defined
    by the Department of the Interior.
      (2) Any interested person, including
    any  prospective  permittee,  may peti-
    tion the  Regional  Administrator to
    issue a  general permit.  Unless  the Re-
    gional Administrator determines under
    paragraph (c)(l) of this section  that no
    general permit is appropriate, he shall
    promptly provide a  project  decision
    schedule covering the issuance of the
    general permit or permits for any lease
    sale area for which the  Department of
    the Interior has published a draft envi-
    ronmental  impact  statement.   The
    project decision schedule  shall  meet
    the requirements of §124.3(g). and shall
    include a  schedule providing  for  the
    issuance of the final general permit or
    permits not later than the  date of the
    final notice of sale  projected by the De-
    partment of the Interior or six months
    after the date of the request, whichever
    is  later.  The Regional  Administrator
    may. at  his discretion,  issue a project
    decision  schedule for offshore  oil  and
    gas facilities in the territorial seas.
      (3) Nothing in this paragraph (c) shall
    affect  the authority  of the Regional
    Administrator to require an individual
    permit    under    §122.28(b)(3)U>    (A)
    through (G).
    
    (Clean Water Act (33 U.S.C. 1251 ft tsey.). Sale
    Drinking  Water Act.  (42 U.S.C.  300f i't  net].).
    Clean Air  Act  (42  U.S.C. 7401 ct seq.\. Re-
    source  Conservation  and Recovery Act  (42
    U.S.C. 6901 ft setj.n
    [48 FR  14153. Apr. 1.  1983. as amended  at 48
    FR 39619.  Sept.  1. 1983; 49 FR 38048. Sept, 26.
    1984: 50 FR 6940. Feb. 19,  1985: 54 FR 18782.
    May 2. 1989: 55 FR 48072. Nov. 16. 1990: 57 PR
    11412 and 11413. Apr. 2. 1992: 64 FR 68841. Dec.
    8. 1999: 65 FR 30908. May 15. 2000: 68 FR 7268.
    Feb. 12. 2003]
    
    § 122.29  New  sources   and  new  dis-
        chargers.
      (a) Definitions, fl) New source and new
    discharger  are  defined in  §122.2.  [See
    Note 2.]
      (2) Source, means  any building, struc-
    ture,   facility,  or  installation  from
    which there is or may be a discharge of
    pollutants.
      (3) Existing source means  any source
    which is not a new source or a new dis-
    charger.
      (4) Site is defined  in §122.2:
      (5) Facilities  or equipment means build-
    ings, structures,  process or production
    equipment or machinery which form a
    permanent part of the new source and
    which  will be used  in its operation, if
    these  facilities  or equipment are  of
    such value as to represent  a substan-
    tial  commitment to construct. It ex-
    cludes facilities  or equipment  used in
    connection with feasibility,  engineer-
    ing,  and  design  studies  regarding  the
    source or water pollution treatment for
    the source.
                                         197
    

    -------
    §122.29
              40 CFR Ch. I (7-1-04 Edition)
      (b) Criteria for  new source,  determina-
    tion. (T)  Except as otherwise provided
    in an  applicable new source perform-
    ance  standard,  a  source is  a  "new
    source" if  it  meets  the  definition of
    "new source" in § 122.2, and
      (i) It is constructed at a site at which
    no other source is located; or
      (ii) It totally replaces the  process or
    production equipment that causes the
    discharge of pollutants at an existing
    source; or
      (iii)  Its  processes  are  substantially
    independent  of an existing  source at
    the same site. In determining whether
    these processes are substantially inde-
    pendent, the  Director shall consider
    such factors as the extent to which the
    new facility is integrated with  the ex-
    isting  plant; and the extent to which
    the new facility is engaged in the same
    general type of activity as the existing
    source.
      (2) A  source meeting  the require-
    ments  of paragraphs (b)(l) (i),  (ii), or
    (iii) of this section is a new source only
    if a new source performance standard is
    independently applicable to it. If there
    is  no  such  independently  applicable
    standard,  the source is  a  new  dis-
    charger. See §122.2.
      (3) Construction on a site at which an
    existing  source is located results in a
    modification subject to  §122.62 rather
    than a new source (or a new discharger)
    if  the  construction  does  not create a
    new building,  structure, facility, or in-
    stallation meeting the criteria of para-
    graph  (ta)(l) (ii) or (iii) of this  section
    but otherwise alters, replaces, or adds
    to existing process or production equip-
    ment.
      (4) Construction of a new  source as
    defined under §122.2 has commenced if
    the owner or operator has:
      (i) Begun, or caused to begin  as part
    of a continuous on-site  construction
    program:
      (A) Any  placement, assembly, or in-
    stallation of facilities or equipment: or
      (B) Significant site preparation work
    including clearing,  excavation  or re-
    moval  of existing buildings, structures.
    or facilities which is necessary  for the
    placement, assembly, or installation of
    new source facilities or equipment; or
      (ii) Entered  into a binding contrac-
    tual obligation for the purchase of fa-
    cilities or  equipment  which  are in-
    tended to be used in its operation with
    a reasonable time. Options to purchase
    or contracts  which can be terminated
    or modified without substantial  loss,
    and contracts for  feasibility engineer-
    ing,  and  design  studies  do not  con-
    stitute a contractual obligation  under
    the paragraph.
      (c) Requirement for an environmental
    impact statement. (1) The issuance of an
    NPDES permit to new source:
      (i)  By EPA may be a major Federal
    action  significantly affecting the qual-
    ity of the human  environment within
    the meaning  of the  National  Environ-
    mental Policy Act of 1969 (NEPA), 33
    U.S.C. 4321 et seq. and is subject to the
    environmental  review  provisions  of
    NEPA as set out in 40 CFR part 6. sub-
    part  F. EPA will determine whether an
    Environmental    Impact    Statement
    (EIS) is required under §122.21(1)  (spe-
    cial  provisions for  applications   from
    new sources) and 40 CFR part 6, subpart
    F:
      (ii) By an NPDES approved State is
    not a Federal action and therefore does
    not require EPA to conduct an environ-
    mental review.
      (2)  An EIS prepared under this para-
    graph shall include a recommendation
    either to issue or deny the permit.
      (i)  If the recommendation is to  deny
    the permit, the final EIS shall contain
    the reasons  for the recommendation
    and list those measures, if any, which
    the applicant could  take  to  cause the
    recommendation to be changed;
      (ii) If the recommendation is to issue
    the permit, the  final EIS shall rec-
    ommend  the actions, if any. which the
    permittee should  take to prevent  or
    minimize  any adverse  environmental
    impacts;
      (3)  The Regional  Administrator,  to
    the extent allowed by law. shall  issue,
    condition (other than imposing effluent
    limitations),  or  deny  the  new source
    NPDES permit  following  a complete
    evaluation of any significant beneficial
    and adverse impacts of the proposed ac-
    tion  and a review  of the recommenda-
    tions contained in  the EIS or finding of
    no significant impact.
      (d) Effect  of  compliance  with  new
    source performance standards. (The pro-
    visions of this paragraph do  not  apply
    to existing sources which modify their
    pollution control facilities or construct
                                         198
    

    -------
    Environmental Protection Agency
                                  §122.30
    new  pollution  control  facilities  and
    achieve  performance  standards,  but
    which are  neither new sources or new
    dischargers or otherwise do  not meet
    the requirements of this paragraph.)
      (1)  Except as provided in paragraph
    (d)(2)  of  this  section,  any  new  dis-
    charger,  the  construction   of  which
    commenced  after October  18, 1972. or
    new source which meets the applicable
    promulgated new source  performance
    standards before the commencement of
    discharge,  may not be subject to any
    more stringent new source performance
    standards  or to any more  stringent
    technology-based standards under sec-
    tion  301(b)(2) of CWA for the soonest
    ending of the following periods:
      (i) Ten years from the date  that con-
    struction is completed:
      (ii) Ten  years  from  the  date  the
    source begins to discharge process or
    other  nonconstruction related  waste-
    water; or
      (iii) The  period  of depreciation or
    amortization of the facility for the pur-
    poses of section 167 or 169 (or both) of
    the Internal Revenue Code of 1954.
      (2)  The protection  from more strin-
    gent standards of performance afforded
    by paragraph (d)(l) of this section does
    not apply to:
      (i) Additional or more stringent  per-
    mit  conditions which are  not tech-
    nology based: for example, conditions
    based  on water quality standards, or
    toxic effluent standards or prohibitions
    under section 307(a) of CWA: or
      (ii) Additional permit conditions in
    accordance   with  §125.3   controlling
    toxic  pollutants  or  hazardous sub-
    stances which are not  controlled  by
    new  source  performance  standards.
    This  includes  permit conditions con-
    trolling  pollutants  other than  those
    identified as toxic pollutants or haz-
    ardous  substances  when  control  of
    these pollutants has been  specifically
    identified as the method to control the
    toxic  pollutants  or  hazardous sub-
    stances.
      (3) When an NPDES permit issued to
    a source  with  a "protection period"
    under paragraph (d)(l) of this section
    will expire on or after the expiration of
    the protection period, that permit shall
    require the owner  or operator of the
    source to  comply  with  the  require-
    ments of section 301 and any other then
    applicable requirements of CWA imme-
    diately upon the expiration of the pro-
    tection period. No additional period for
    achieving compliance  with these  re-
    quirements   may  be   allowed  except
    when necessary to achieve  compliance
    with  requirements  promulgated  less
    than  3  years before the expiration  of
    the protection period.
      (4) The owner or operator  of a new
    source,  a new discharger which  com-
    menced discharge after August 13, 1979.
    or a recommencing discharger shall in-
    stall and have in operating condition,
    and  shall "start-up" all pollution con-
    trol  equipment required to meet the
    conditions of its permits before begin-
    ning to discharge. Within the shortest
    feasible  time (not to  exceed 90 days).
    the owner or operator must meet  all
    permit conditions. The requirements of
    this  paragraph do  not  apply  if the
    owner or operator is  issued  a  permit
    containing   a  compliance  schedule
    under §122.47
    -------
    §122,31
             40 CFR Ch, 1 (7-1-04 Edition)
    Elimination  System  (NPDES)  Pro-
    gram, you should also refer to §122.1
    which addresses the broader purpose of
    the NPDES program.)
      (c) Storm water runoff continues  to
    harm the  nation's waters. Runoff from
    lands modified by human activities can
    harm surface  water resources  in  sev-
    eral ways including by changing  nat-
    ural hydrologic patterns and  by  ele-
    vating  pollutant  concentrations  and
    loadings. Storm water runoff may  con-
    tain or mobilize high levels of contami-
    nants, such as sediment, suspended sol-
    ids,  nutrients, heavy metals,  patho-
    gens, toxins,  oxygen-demanding  sub-
    stances, and floatables.
      (d) EPA strongly encourages partner-
    ships and the  watershed approach  as
    the  management  framework  for  effi-
    ciently, effectively,  and consistently
    protecting and restoring  aquatic  eco-
    systems and protecting public health.
    [64 PR 68842. Dec. 8. 1999J
    
    § 122.31  As  a Tribe,  what is my  role
        under the NPDES storm water pro-
        gram?
      As a Tribe you may:
      (a)  Be  authorized  to  operate   the
    NPDES program including the storm
    water program, after  EPA determines
    that you  are eligible for  treatment in
    the  same manner as a  State under
    §§123.31 through 123.34 of this chapter.
    (If  you  do not  have an  authorized
    NPDES program, EPA implements the
    program  for discharges on  your  res-
    ervation as  well as other Indian coun-
    try, generally.);
      (b) Be classified as an owner of a reg-
    ulated small MS4, as defined in §122.32.
    (Designation of your Tribe as an owner
    of a small MS4 for purposes of this part
    is an approach that is consistent with
    EPA's 1984 Indian Policy of operating
    on  a government-to-government basis
    with EPA looking to Tribes as the lead
    governmental  authorities to  address
    environmental  issues on their reserva-
    tions as appropriate. If you operate a
    separate  storm  sewer   system  that
    meets the  definition of  a  regulated
    small MS4,  you are subject to the re-
    quirements   under   §§122.33  through
    122.35. If  you  are  not designated  as a
    regulated small MS4,  you may ask  EPA
    to designate you as such  for the  pur-
    poses of this part.); or
      (c) Be a discharger of storm water as-
    sociated with  industrial  activity or
    small   construction  activity  under
    §§122.26, in which  case
    you must meet the applicable require-
    ments.  Within  Indian  country,   the
    NPDES permitting  authority  is  gen-
    erally  EPA. unless you are authorized
    to administer the NPDES program.
    [64 FR 68842. Dec. 8. 1999J
    
    § 122.32 As an operator of a small MS4,
        am  I regulated under  the NPDES
        storm water program?
      (a) Unless you  qualify for a waiver
    under paragraph (c) of this  section, you
    are  regulated if  you operate a small
    MS4. including but not  limited to sys-
    tems operated by  federal. State, Tribal,
    and local governments, including State
    departments of transportation: and:
      (1) Your small  MS4 is located in an
    urbanized area as  determined by  the
    latest- Decennial Census by the Bureau
    of the Census. (If your small MS4 is not
    located entirely  within an  urbanized
    area,  only the  portion  that is within
    the urbanized area is regulated); or
      (2) You are designated by the NPDES
    permitting authority, including where
    the   designation   is    pursuant   to
    §§123.35
    -------
    Environmental Protection Agency
                                  §122.33
    of  a physically  interconnected  MS4
    that, is regulated by the NPDES storm
    water program (see §123.35(b)(4> of this
    chapter); and
      (2) If you discharge any pollutant is i
    that have been identified as a cause of
    impairment of any water body to which
    you discharge,  storm  water controls
    are not needed based on wasteload allo-
    cations  that  are  part  of an EPA ap-
    proved or established "total maximum
    daily load" (TMDL) that addresses the
    pollutant!s) of concern.
      (e) The  NPDES permitting authority
    may waive permit coverage if your MS4
    serves a  population  under  10.000 and
    you meet  the following criteria:
      (1)  The  permitting  authority  has
    evaluated all  waters of the U.S.. in-
    cluding   small  streams,  tributaries.
    lakes, and ponds, that receive a. dis-
    charge from your MS4:
      (2) For  all such waters, the permit-
    ting  authority  has  determined  that
    storm water  controls are not  needed
    based on wasteload allocations that are
    part of an EPA approved or established
    TMDL that addresses the pollutant(s)
    of concern or. if a TMDL has not  been
    developed or  approved, an  equivalent
    analysis  that  determines sources and
    allocations for the pollutant*s.)  of con-
    cern:
      (3) For the purpose  of this paragraph
    (e). the pollutant!s) of concern include
    biochemical   oxygen   demand  (BOD).
    sediment or a  parameter that addresses
    sediment  (such as total suspended sol-
    ids, turbidity  or  siltation). pathogens.
    oil  and grease, and any pollutant that
    has been  identified as  a  cause  of im-
    pairment  of any  water body that will
    receive a discharge from your MS4: and
      (4) The permitting authority has de-
    termined  that future  discharges  from
    your MS4 do not  have the potential to
    result in exceedances of water quality
    standards,  including  impairment  of
    designated uses,  or other  significant
    water quality  impacts,  including habi-
    tat and biological impacts.
    [64 FR 68842. Dec. 8. 1999]
    
    $ 122.33  If I am an operator of a regu-
        lated small MS4, how do I apply for
        an NPDES permit and when  do I
        have to apply?
      (a) If you operate  a regulated small
    MS4 under §122.32. you  must seek cov-
    erage under a NPDES permit issued by
    your  NPDES  permitting authority.  If
    you are located in an NPDES author-
    ized  State.  Tribe,  or Territory,  then
    that State.  Tribe, or Territory is your
    NPDES permitting authority.  Other-
    wise,  your NPDES permitting author-
    ity us the EPA Regional Office.
      (!»  You must seek authorization to
    discharge under a general or individual
    NPDES permit, as follows:
      (1) If your NPDES permitting author-
    ity has issued a general permit applica-
    ble to your discharge and you are seek-
    ing coverage under the  general permit.
    you  must  submit  a  Notice of  Intent
    (NOD that  includes the information on
    your  best  management practices  and
    measurable goals required by §122.34(d).
    You may file your own NOI. or you and
    other municipalities or governmental
    entities may jointly submit an NOI.  If
    you want to share responsibilities for
    meeting the minimum measures  with
    other municipalities or governmental
    entities, you must submit an NOI that
    describes  which minimum measures
    you will implement  and identify  the
    entities that will implement the other
    minimum  measures  within the  area
    served by your  MS4. The general per-
    mit will explain any other  steps nec-
    essary to obtain permit authorization.
      (2)(i) If you are seeking authorization
    to discharge under an  individual per-
    mit and wish  to implement a program
    under §122.34.  you must submit  an ap-
    plication  to your  NPDES  permitting
    authority that  includes  the informa-
    tion   required   under  §§122.21(f)   and
    122.34(d). an estimate of square mileage
    served by your small MS4, and any ad-
    ditional information that your NPDES
    permitting authority requests. A storm
    sewer map  that satisfies the require-
    ment  of §122.34(b)(3)(i) will  satisfy the
    map requirement in §122.21(f)(7).
      (ii)  If you are seeking authorization
    to discharge under an  individual per-
    mit and wish to implement a program
    that  is  different  from the  program
    under §122.34,  you will need to comply
    with  the  permit application require-
    ments of §122.26(d). You must submit
    both Parts of the application require-
    ments in §§122.26(d)(l) and (2) by March
    10. 2003. You do not need to  submit the
    information        required       by
    §§122.26  and  (d)(2)  regarding
                                        201
    

    -------
    §122.34
              40 CFR Ch. I (7-1-04 Edition)
    your legal authority, unless you intend
    for the permit writer to take such in-
    formation  into account  when  devel-
    oping your other permit conditions.
      (iii) If allowed by your NPDBS  per-
    mitting  authority,  you  and  another
    regulated  entity  may  jointly  apply
    under  either  paragraph  (b)(2)(i)  or
    (b)(2)(ii) of this section to be co-permit-
    tees under an individual permit.
      (3) If your small MS4 is in the same
    urbanized area  as a medium or large
    MS4 with an NPDES storm water  per-
    mit and that other MS4 is willing to
    have you participate in its storm water
    program, you and the other MS4 may
    jointly seek a modification of the other
    MS4 permit to include you as a limited
    co-permittee.   As  a  limited   co-per-
    mittee,  you  will  be responsible   for
    compliance  with the permit's condi-
    tions applicable to your jurisdiction. If
    you choose this option you will need to
    comply  with the permit application re-
    quirements  of §122.26, rather than the
    requirements  of §122.34.  You do  not
    need to  comply  with the specific appli-
    cation requirements of §122.26(d)(l)(iii)
    and (iv) and (d)(2)(iii) (discharge char-
    acterization).  You may satisfy  the re-
    quirements   in  §122.26  (dXlKv)  and
    (d)(2)(iv) (identification  of  a manage-
    ment  program)  by  referring  to  the
    other MS4's storm  water management
    program.
      (4) Guidance: In referencing an MS4's
    storm  water  management  program,
    you should briefly describe how the ex-
    isting plan will address discharges from
    your small  MS4 or would need to be
    supplemented in order to  adequately
    address  your discharges.  You  should
    also explain your role in coordinating
    storm water pollutant control activi-
    ties in  your  MS4,   and detail the re-
    sources  available to you to accomplish
    the plan.
      (c) If  you operate a regulated small
    MS4:
      (1) Designated under §122.32(a)(l). you
    must  apply  for  coverage  under  an
    NPDBS  permit,  or apply for a modifica-
    tion  of  an existing NPDES  permit
    under paragraph (b)(3) of this  section
    by  March   10,  2003,  unless your  MS4
    serves a jurisdiction with a population
    under 10,000 and the NPDES permitting
    authority  has  established  a  phasing
    schedule  under  §123.35(d)(3)  of  this
    chapter.
      (2) Designated under §122.32(a)(2). you
    must apply  for  coverage  under  an
    NPDES permit, or apply for a modifica-
    tion  of an  existing  NPDES  permit
    under paragraph (b)(3)  of this section.
    within  180 days  of notice, unless the
    NPDES permitting authority grants a
    later date.
    [64 FR 68843. Dec. 8. 1999]
    
    § 122.34  As an operator of a regulated
        small  MS4,  what will my NPDES
        MS4 storm water permit require?
      (a) Your NPDES MS4 permit will re-
    quire at a minimum that you develop.
    implement, and enforce a  storm water
    management program  designed to re-
    duce the  discharge of pollutants  from
    your MS4  to the maximum extent prac-
    ticable  (MBP). to protect water qual-
    ity,  and  to  satisfy  the  appropriate
    water   quality  requirements  of  the
    Clean Water  Act.  Your  storm  water
    management program must include the
    minimum control measures described
    in paragraph (b) of this section unless
    you apply for a permit under §122.26(d).
    For purposes of this section, narrative
    effluent limitations  requiring  imple-
    mentation of best management prac-
    tices (BMPs) are generally the most ap-
    propriate  form  of effluent  limitations
    when designed to satisfy technology re-
    quirements   (including reductions  of
    pollutants to  the  maximum  extent
    practicable) and to protect water qual-
    ity.  Implementation of best manage-
    ment practices consistent with the pro-
    visions  of the  storm  water manage-
    ment program  required  pursuant  to
    this section  and the provisions of the
    permit  required pursuant  to  §122.33
    constitutes compliance with the stand-
    ard of reducing pollutants to the "max-
    imum   extent   practicable."   Your
    NPDES   permitting  authority  will
    specify  a  time period  of up  to 5 years
    from  the  date of permit  issuance for
    you  to  develop  and implement  your
    program.
      (b) Minimum control measures—(1) Pub-
    lic education and outreach on storm water
    impacts, (i) You must implement a pub-
    lic  education  program to  distribute
    educational  materials  to  the  commu-
    nity  or conduct  equivalent outreach
    activities  about  the impacts of  storm
                                         202
    

    -------
    Environmental Protection Agency
                                  §122.34
    water  discharges on  water bodies and
    the steps that the public can take to
    reduce pollutants in  storm water run-
    off.
      (ii)  Guidance:  You  may use  storm
    water  educational  materials provided
    by  your State, Tribe. EPA. environ-
    mental, public interest or trade organi-
    zations, or other MS4s. The public edu-
    cation program should inform individ-
    uals and households  about the steps
    they can take to reduce storm  water
    pollution, such as ensuring proper sep-
    tic  system maintenance, ensuring the
    proper use  and disposal  of landscape
    and  garden  chemicals  including  fer-
    tilizers and pesticides, protecting and
    restoring  riparian   vegetation,   and
    properly disposing of used motor oil or
    household hazardous  wastes. EPA rec-
    ommends that the  program inform  in-
    dividuals and groups how to become in-
    volved in local  stream and beach  res-
    toration activities as well as activities
    that are coordinated by youth service
    and conservation corps or other citizen
    groups. EPA recommends that the pub-
    lic  education  program  be  tailored.
    using  a. mix  of  locally  appropriate
    strategies,  to  target specific audiences
    and communities. Examples of  strate-
    gies include distributing brochures or
    fact sheets,  sponsoring  speaking en-
    gagements before community groups.
    providing  public   service  announce-
    ments, implementing  educational pro-
    grams  targeted  at school age children.
    and    conducting    community-based
    projects such as storm drain stenciling,
    and watershed and beach cleanups. In
    addition. EPA recommends that some
    of the  materials or outreach programs
    be directed  toward targeted groups of
    commercial,   industrial,  and  institu-
    tional  entities likely to have signifi-
    cant storm  water impacts. For  exam-
    ple,  providing  information  to res-
    taurants on the impact of grease clog-
    ging storm  drains  and to  garages  on
    the impact  of oil discharges. You are
    encouraged  to  tailor your  outreach
    program to address the viewpoints and
    concerns of all  communities, particu-
    larly minority and disadvantaged com-
    munities, as well  as any special con-
    cerns relating to children.
      (2) Public involvement participation. U.)
    You must, at a minimum, comply with
    State.  Tribal  and local  public  notice
    requirements  when  implementing  a
    public involvement  participation pro-
    gram.
      (ii)  Guidance:  EPA recommends that
    the public be included  in  developing.
    implementing,   and  reviewing   your
    storm water management program and
    that  the  public  participation process
    should make efforts  to  reach out and
    engage all economic and ethnic groups.
    Opportunities for members  of the pub-
    lic  to participate in  program develop-
    ment and implementation include serv-
    ing as citizen representatives on a local
    storm water  management  panel, at-
    tending  public  hearings,  working  as
    citizen volunteers to educate other in-
    dividuals  about  the  program, assisting
    in  program  coordination   with  other
    pre-existing programs, or participating
    in volunteer  monitoring efforts. (Citi-
    zens should obtain approval where nec-
    essary for lawful access to  monitoring
    sites.)
      (3) Illicit discharge detection and elimi-
    nation,  (ii You  must develop, imple-
    ment and enforce a  program  to detect
    and eliminate illicit  discharges (as de-
    fined  at §122.26ib)(2)) into  your small
    MS4.
      (ii) You must:
      (A)  Develop,  if  not  already  com-
    pleted,  a storm  sewer system  map.
    showing the location  of all outfalls and
    the names and location of all  waters of
    the  United  States  that receive  dis-
    charges from those outfalls:
      (B)  To  the  extent allowable  under
    State. Tribal  or local law. effectively
    prohibit,  through ordinance,  or other
    regulatory   mechanism.   non-storm
    water discharges into your storm sewer
    system and implement appropriate en-
    forcement procedures and actions:
      (C) Develop and implement  a plan to
    detect and  address  non-storm  water
    discharges, including illegal  dumping.
    to your system: and
      (D)  Inform  public  employees,  busi-
    nesses, and  the  general  public of haz-
    ards associated  with  illegal discharges
    and improper disposal of waste.
      Ciii) You need address the  following-
    categories of  non-storm   water dis-
    charges or flows (i.e.. illicit  discharges)
    only if you identify them as significant
    contributors   of  pollutants  to  your
    small MS4:  water line  flushing, land-
    scape irrigation, diverted stream flows.
                                         203
    

    -------
    §122.34
              40 CFR Ch. I (7-1-04 Edition)
    rising ground waters, uncontaminated
    ground water infiltration (as defined at
    40  CFR  35,2005(20)),  uncontaminated
    pumped ground water, discharges from
    potable   water   sources,  foundation
    drains,  air conditioning  condensation.
    irrigation water,  springs, water  from
    crawl  space  pumps,  footing  drains.
    lawn  watering,  individual residential
    car washing, flows from riparian  habi-
    tats and wetlands, dechlorinated swim-
    ming  pool discharges, and street  wash
    water  (discharges  or flows from fire
    fighting activities are  excluded  from
    the effective prohibition against non-
    storm  water  and  need  only  be  ad-
    dressed where  they  are identified as
    significant sources of pollutants to wa-
    ters of the United States).
      (iv)  Guidance: EPA recommends that
    the plan  to detect and  address illicit
    discharges include the  following four
    components:  procedures for  locating
    priority areas likely to have illicit dis-
    charges:  procedures  for  tracing the
    source  of an  illicit  discharge: proce-
    dures  for removing the  source of the
    discharge; and procedures for  program
    evaluation and  assessment. EPA rec-
    ommends visually screening  outfalls
    during  dry weather  and  conducting
    field tests of selected pollutants as part
    of the procedures  for locating priority
    areas.  Illicit  discharge  education  ac-
    tions  may include storm drain  sten-
    ciling,  a program  to  promote,  pub-
    licize, and facilitate public reporting of
    illicit  connections or discharges, and
    distribution of outreach materials.
      (4) Construction site  storm water runoff
    control,  (i) You must develop, imple-
    ment, and enforce a program to reduce
    pollutants in any storm water runoff to
    your small MS4 from construction  ac-
    tivities that result in a land  disturb-
    ance of greater than or equal to one
    acre.  Reduction  of storm water dis-
    charges from construction activity dis-
    turbing less than one acre must be in-
    cluded  in your program if that con-
    struction activity  is part of  a larger
    common plan of development  or sale
    that would disturb one acre or more. If
    the   NPDES   permitting   authority
    waives  requirements for storm water
    discharges associated with small con-
    struction activity  in accordance with
    §122.26(b)(15)(i), you are not required to
    develop, implement,  and/or enforce a
    program to reduce pollutant discharges
    from such sites.
      (ii)  Your program must include the
    development and implementation of. at
    a minimum:
      (A)  An ordinance or  other regulatory
    mechanism to require  erosion and sedi-
    ment  controls, as well as sanctions to
    ensure compliance, to the extent allow-
    able under State. Tribal, or local law:
      (B)  Requirements  for construction
    site  operators  to implement  appro-
    priate erosion  and sediment  control
    best management practices:
      (C)  Requirements  for construction
    site operators to control waste  such as
    discarded building materials, concrete
    truck washout, chemicals,  litter,  and
    sanitary waste at the construction site
    that  may cause  adverse  impacts to
    water quality;
      (D)  Procedures  for site  plan review
    which incorporate consideration of po-
    tential water quality impacts:
      (E) Procedures for receipt and consid-
    eration of information submitted by
    the public, and
      (F) Procedures for site inspection and
    enforcement of control measures.
      (iii) Guidance: Examples of sanctions
    to ensure compliance include non-mon-
    etary  penalties, fines,  bonding require-
    ments and/or permit  denials for non-
    compliance.  EPA recommends  that
    procedures for  site plan review  include
    the review of individual pre-construc-
    tion site  plans to ensure consistency
    with  local sediment  and erosion con-
    trol requirements. Procedures for site
    inspections and enforcement of control
    measures could include steps  to iden-
    tify priority sites for inspection  and
    enforcement based on the nature of the
    construction activity,  topography, and
    the characteristics of  soils  and receiv-
    ing water quality. You are  encouraged
    to provide appropriate educational and
    training measures for construction site
    operators. You may wish to require a
    storm water pollution prevention plan
    for construction sites within your ju-
    risdiction that discharge into  your sys-
    tem. See §122.44(s) (NPDES permitting
    authorities'  option   to  incorporate
    qualifying State. Tribal and local  ero-
    sion  and sediment control programs
    into NPDES permits  for storm water
    discharges from  construction sites).
                                         204
    

    -------
    Environmental Protection Agency
                                  §122.34
    Also see §122.35(b) (The NPDES permit-
    ting' authority may recognize that an-
    other government entity, including the
    permitting authority, may be respon-
    sible for implementing' one or more  of
    the  minimum measures on  your be-
    half. *
      (5) Post-construction storm tfuti'r man-
    agement in ncic development and raleicl-
    opincnt.
      ii) You must develop, implement, and
    enforce a  program to  address  storm
    water  runoff from new development
    and  redevelopment  projects  that  dis-
    turb greater  than or equal to one acre.
    including projects less  than  one acre
    that, are part of a larger common plan
    of development or sa.le.  that discharge
    into your small  MS4.  Your program
    must ensure  that controls are in place
    that would prevent or minimize water
    quality impacts.
      (ii) You must:
      (A) Develop and implement  M.rate-
    gies which  include ,-. combination  of
    structural and or  non-structural best
    management  practices  iBMPs)  appro-
    priate  for your community:
      iBi Use an  ordinance  or other tegu
    iatory mechanism to address post-con-
    struction  runoff from new development
    and  redevelopment projects  to the ex-
    tent allowable under  State. Tribal  or
    local law: and
      uch as  minimization of percent imper-
    vious area after development and mini-
    mization of directly connected imper-
    vious areas. Structural  BMPs  include:
    storage  practices such  as  wet.  ponds
    and  extended-detention outlet  struc-
    tures:   filtration  practices  such  as
    Brassed  swales, sand filters and filter
    strips:  and infiltration  practices such
    as infiltration basins and  infiltration
    trenches.  HP A recommends that  you
    '•nsure the appropriate implementation
    of the structural BMPs  by  considering
    some  or all of the  following:  pre-con-
    struction  review of BMP designs: in-
    spections during construction to verify
    BMPs are built, as  designed: post-con-
    struction  inspection and maintenance
    of BMPs; and penalty provisions for the
    noncompliance with design, construc-
    tion or  operation   and maintenance,
    Storm   water  technologies are  con-
    stantly  being  improved, and EPA rec-
    ommends  that your requirements  be
                                         205
    

    -------
    §122.34
              40CFRCh. I (7-1-04 Edition)
    responsive  to these changes, develop-
    ments  or  improvements  in  control
    technologies.
      (6)  Pollution  prevention/good  house-
    keeping for  municipal operations, (i) You
    must develop and implement an oper-
    ation and  maintenance  program  that
    includes a training component and has
    the ultimate goal of preventing or re-
    ducing pollutant runoff from  municipal
    operations.  Using  training  materials
    that  are  available from  EPA. your
    State, Tribe, or other  organizations,
    your  program must include  employee
    training to prevent and reduce storm
    water pollution  from activities such as
    park and open space maintenance, fleet
    and  building maintenance,  new  con-
    struction  and land disturbances,  and
    storm water system maintenance.
      (ii> Guidance:  EPA recommends that.
    at a  minimum,  you consider the  fol-
    lowing  in  developing your  program:
    maintenance  activities,  maintenance
    schedules,  and  long-term  inspection
    procedures  for  structural   and  non-
    structural storm water controls to re-
    duce  floatables  and other  pollutants
    discharged  from your separate storm
    sewers;  controls for reducing or elimi-
    nating the discharge of pollutants from
    streets, roads,  highways,   municipal
    parking- lots, maintenance and storage
    yards, fleet or maintenance shops  with
    outdoor storage areas, salt/sand stor-
    age locations and snow  disposal areas
    operated by  you,  and waste transfer
    stations; procedures for properly  dis-
    posing of waste removed  from the sepa-
    rate  storm  sewers and areas listed
    above (such  as  dredge spoil, accumu-
    lated sediments, floatables.  and other
    debris); and  ways to ensure  that new
    flood management  projects  assess  the
    impacts on water quality and examine
    existing projects for incorporating ad-
    ditional water  quality protection de-
    vices or practices. Operation  and main-
    tenance should  be  an  integral compo-
    nent  of all storm  water management
    programs. This measure  is intended to
    improve the efficiency  of these  pro-
    grams and require new programs where
    necessary.  Properly developed and im-
    plemented  operation and maintenance
    programs reduce the risk of water qual-
    ity problems.
      (c) If an existing qualifying local pro-
    gram requires you to implement one or
    more  of the minimum control meas-
    ures of paragraph (b) of  this  section.
    the NPDES permitting authority  may
    include conditions in your NPDES per-
    mit  that direct you to follow  that
    qualifying   program's   requirements
    rather than the requirements of para-
    graph (b) of this section.  A qualifying
    local program is a local, State  or Trib-
    al municipal storm water management
    program that imposes, at a minimum.
    the relevant requirements of paragraph
    (b) of this section.
      (d)(l)  In your permit application (ei-
    ther a  notice  of intent  for coverage
    under a general permit or  an individual
    permit application),  you must  identify
    and submit to your NPDES  permitting
    authority the following information:
      (i) The best management practices
    (BMPs) that you  or another entity will
    implement  for each of the storm water
    minimum control measures at para-
    graphs (bul) through (b)(6) of this sec-
    tion:
      (ii) The measurable goals  for each of
    the BMPs  including, as  appropriate.
    the months and years in which you will
    undertake  required  actions, including
    interim milestones and the frequency
    of the action: and
      (iii)  The  person or persons  respon-
    sible for implementing or coordinating
    your  storm  water  management  pro-
    gram.
      (2) If you  obtain  coverage  under  a
    general permit, you are not required to
    meet any measurable goal(s) identified
    in your  notice  of intent in  order  to
    demonstrate compliance with  the min-
    imum  control measures in paragraphs
    (b)(3) through (b)(6) of this section un-
    less, prior  to  submitting  your NOI,
    EPA or  your  State  or Tribe  has pro-
    vided or issued a menu of BMPs  that
    addresses each such minimum measure.
    Even if no  regulatory authority issues
    the menu of BMPs.  however, you still
    must  comply with other  requirements
    of the  general permit, including good
    faith   implementation  of  BMPs  de-
    signed to comply with the minimum
    measures.
      (3) Guidance:   Either EPA  or your
    State  or Tribal  permitting authority
    will provide a menu of BMPs. You may
    choose BMPs from the menu or select
    others that satisfy the minimum  con-
    trol measures.
                                        206
    

    -------
    Environmental Protection Agency
                                  §122.35
      (e)(l) You  must  comply with  any
    more stringent effluent limitations  in
    your permit, including permit require-
    ments that modify, or are in  addition
    to,   the  minimum  control measures
    based  on  an approved total maximum
    daily load (TMDL) or equivalent anal-
    ysis. The permitting authority may in-
    clude such more stringent limitations
    based  on  a TMDL  or  equivalent anal-
    ysis that determines such limitations
    are needed to protect water quality.
      (2)   Guidance:  EPA  strongly  rec-
    ommends that until the  evaluation  of
    the storm water program in §122.37. no
    additional  requirements  beyond  the
    minimum control measures be  imposed
    on  regulated  small  MS4s without the
    agreement of the operator of the af-
    fected small MS4. except where  an ap-
    proved TMDL or equivalent  analysis
    provides  adequate  information  to de-
    velop  more specific measures  to  pro-
    tect water quality.
      (f) You  must comply with other ap-
    plicable NPDES permit requirements,
    standards and conditions established  in
    the individual or general permit, devel-
    oped consistent with the provisions  of
    §§122.41 through 122.49. as  appropriate.
      (g)   Evaluation  and   assessment—(1)
    Evaluation. You must evaluate  program
    compliance,  the  appropriateness   of
    your identified best  management prac-
    tices,  and progress  towards achieving
    your identified measurable goals.
      NOTE TO PARAGRAPH (OKI):  The NPDES
    permitting' authority  may determine moni-
    toring' requirements for you  in accordance
    with State'Tribal monitoring  plans appro-
    priate to your watershed. Participation in a
    group monitoring program is encouraged.
      (2)  Re.cordkeeping.  You  must  keep
    records required by  the NPDES permit
    for  at  least 3  years. You must submit
    your records to the  NPDES permitting
    authority only when specifically asked
    to do so.  You must make your  records,
    including  a description of  your storm
    water management  program, available
    to the public at reasonable times  dur-
    ing  regular business hours (see §122.7
    for   confidentiality  provision). (You
    may assess a reasonable  charge  for
    copying. You may require a member  of
    the  public to provide advance notice.)
      (3) Reporting. Unless you  are relying
    on  another  entity  to   satisfy your
    NPDES   permit  obligations   under
    §122.35(a), you must submit  annual re-
    ports to the NPDES permitting author-
    ity for your first permit term. For sub-
    sequent permit terms, you  must  sub-
    mit reports in year two and four unless
    the  NPDES  permitting authority  re-
    quires more frequent reports. Your re-
    port must include:
      fi) The status of compliance with per-
    mit conditions, an assessment  of the
    appropriateness of your identified  best
    management practices and progress to-
    wards achieving  your identified meas-
    urable goals for each  of the minimum
    control measures;
      (ii) Results  of  information collected
    and  analyzed,  including  monitoring
    data, if any.  during  the reporting pe-
    riod:
      (iii)  A  summary of the storm water
    activities you plan to undertake during
    the next reporting cycle;
      (iv) A change in any identified best
    management  practices or measurable
    goals for any of the minimum control
    measures: and
      (v) Notice that you are relying  on an-
    other  governmental  entity  to satisfy
    some of your  permit obligations  (if ap-
    plicable).
    [64 FR 68843. Dec. 8. 1999]
    
    § 122.35 As an operator of a regulated
        small MS4, may I  share the respon-
        sibility to implement the minimum
        control measures with other enti-
        ties?
      (a) You may rely on another  entity
    to satisfy your NPDES permit obliga-
    tions to implement a  minimum control
    measure if:
      (1) The  other entity, in  fact, imple-
    ments the control  measure:
      (2) The  particular  control measure.
    or  component thereof, is  at least as
    stringent as the corresponding NPDES
    permit requirement: and
      (3) The other entity agrees to imple-
    ment the  control  measure on your be-
    half. In the reports you must submit
    under §122.34(^X3), you must  also speci-
    fy that, you rely on another entity to
    satisfy some  of your  permit  obliga-
    tions.  If you  are relying  on  another
    governmental  entity  regulated  under
    section 122 to  satisfy all of your permit
    obligations, including your  obligation
    to  file periodic  reports required  by
    §122.34(g)(3). you must note that fact in
                                         207
    

    -------
    §122.36
              40CFRCh. I (7-1-04 Edition)
    your NOI. but you are not required to
    file the periodic reports. You remain
    responsible  for  compliance with  your
    permit obligations if the other entity
    fails to implement the control measure
    (or  component  thereof).  Therefore,
    EPA encourages you to enter into a le-
    gally binding agreement with that en-
    tity if you  want to minimize any un-
    certainty  about compliance with  your
    permit.
      (b) In some cases, the NPDES permit-
    ting authority may recognize, either in
    your individual NPDES permit or in an
    NPDES general permit, that another
    governmental  entity  is  responsible
    under  an  NPDES permit  for  imple-
    menting one or more of the minimum
    control measures for your small MS4 or
    that the permitting authority itself is
    responsible. Where the permitting au-
    thority does so.  you are not required to
    include  such minimum  control meas-
    ure(s) in  your  storm water  manage-
    ment program.  (For example, if a State
    or Tribe is subject to an NPDES permit
    that requires it to administer  a pro-
    gram to control construction site run-
    off at the State or Tribal level and that
    program  satisfies  all of the require-
    ments of §122.34(b)(4), you could avoid
    responsibility  for  the  construction
    measure, but would be responsible for
    the remaining minimum control meas-
    ures.) Your  permit may be  reopened
    and  modified to include the require-
    ment to implement a minimum control
    measure  if the  entity  fails  to  imple-
    ment it.
    [64 FB 68846, Dec. 8. 1999]
    
    § 122.36  As an operator of a regulated
        small MS4,  what happens  if I  don't
        comply with the application or per-
        mit   requirements   in   §§ 122.33
        through 122.35?
      NPDES   permits are  federally  en-
    forceable. Violators may be subject to
    the enforcement actions and  penalties
    described  in Clean Water Act sections
    309 (b), (c), and (g) and 505, or under ap-
    plicable  State,  Tribal,  or local  law.
    Compliance with a permit issued pursu-
    ant to section  402 of the Clean Water
    Act is deemed compliance, for purposes
    of sections 309  and 505, with sections
    301,  302,  306, 307,  and 403, except  any
    standard imposed under section 307 for
    toxic pollutants  injurious to  human
    health.  If you are covered as a co-per-
    mittee  under an individual  permit or
    under a general permit by means of a
    joint Notice  of Intent you remain sub-
    ject  to the  enforcement actions  and
    penalties for  the failure to comply with
    the terms of the permit in your juris-
    diction  except as set forth in §122.35(b).
    
    164 PR 68847. Dec. 8. 1999J
    
    §122.37 Will  the  small  MS4  storm
       water  program   regulations   at
       SU22.32 through 122.36 and §123.35
       of this chapter change in  the  fu-
       ture?
      EPA will evaluate the small MS4 reg-
    ulations at §§122.32 through 122.36 and
    §123.35  of this chapter after December
    10. 2012 and make any necessary revi-
    sions. (EPA intends  to conduct an  en-
    hanced  research  effort and  compile a
    comprehensive   evaluation    of   the
    NPDES  MS4 storm  water  program.
    EPA  will re-evaluate the regulations
    based on  data from  the NPDES MS4
    storm water program, from research on
    receiving  water  impacts  from  storm
    water,  and  the  effectiveness of best
    management practices CBMPs). as well
    as other relevant information sources.)
    
    [64 FR 68847. Dec. 8. 1999]
    
       Subpart C—Permit Conditions
    
    § 122.41 Conditions   applicable to  all
       permits  (applicable  to  State pro-
       grams, see § 123.25).
      The following conditions apply to all
    NPDES permits. Additional conditions
    applicable to NPDES permits are in
    §122.42.  All  conditions  applicable  to
    NPDES permits  shall be incorporated
    into  the permits either expressly or by
    reference. If  incorporated by reference.
    a specific citation to these regulations
    (or the corresponding approved State
    regulations)  must be given in the per-
    mit.
      (a)  Duty  to  comply. The  permittee
    must comply with all conditions of this
    permit.  Any  permit  noncompliance
    constitutes  a  violation  of  the Clean
    Water Act and is grounds for enforce-
    ment action; for permit termination,
    revocation and reissuance. or modifica-
    tion; or denial of a permit renewal  ap-
    plication.
                                         208
    

    -------
    Environmental Protection Agency
                                  §122.41
      (li The permittee shall  comply with
    effluent standards or prohibitions  es-
    lablished under  section  307fa)  of  the
    Clean  Water  Act for toxic pollutants
    and with standards for sewage  sludge
    use or  disposal established under sec-
    tion 405(d> of  the CWA within the time
    provided in the regulations that estab-
    lish these standards or prohibitions or
    standards for  sewage sludge use  or dis-
    posal,  even if the  permit  has noi,  yet
    been  modified to  incorporate the  re-
    quirement.
      (2)  The  Clean  Water  Act  provides
    that any person who violates section
    301. 302. 306. 307. 308.  318 or 405  of  the
    Act, or any permit condition or limita-
    tion implementing any such sections in
    a permit issued  under section 402.  or
    any   requirement   imposed    in   a
    pretreatment  program approved under
    sections 402(a)(3)  or 402(b>(8) of the Act.
    is subject to a civil penalty not to  ex-
    ceed $25.000 per day for each violation.
    The Clean W7ater Act provides that any
    person who  negligently violates sections
    301. 302. 306. 307.  308. 318. or 405  of  the
    Act. or any condition or limitation im-
    plementing' any of such  sections in a
    permit  issued under section 402  of  the
    Act. or any requirement imposed in a
    pretreatment  program approved under
    section 402(a)(3) or 402(b)(8) of the Act.
    is subject to criminal penalties of $2.500
    to $25.000 per day  of violation, or im-
    prisonment of not more than 1 year, or
    both.  In the case of a second or  subse-
    quent conviction for a negligent viola-
    tion, a person shall be subject to  crimi-
    nal penalties  of not more  than  $50.000
    per day of  violation,  or by imprison-
    ment of not more than 2 years, or both.
    Any person  who  knowingly  violates
    such sections, or  such  conditions  or
    limitations  is subject to criminal pen-
    alties of $5,000 to $50.000 per day of vio-
    lation,  or imprisonment  for not more
    than 3 years,  or both. In the case of a
    second  or subsequent  conviction for a
    knowing violation,  a person shall be
    subject to  criminal  penalties  of not
    more than $100,000 per day of violation.
    or imprisonment  of not more  than 6
    years,  or both. Any person who  know-
    ingly violates section 301, 302, 303. 306,
    307, 308, 318 or 405 of the Act, or  any
    permit  condition or limitation imple-
    menting any of such sections in  a per-
    mit issued under section 402 of the Act,
    and who  knows  at  that time that he
    thereby places another person in immi-
    nent danger of death or serious bodily
    injury,  shall, upon conviction,  be sub-
    ject to a fine of not more than S250.000
    or  imprisonment  of not  more than  15
    years,  or  both. In the case of a second
    or subsequent conviction for a knowing
    endangernu'iit violation, a person shall
    be  subject to a fine  of not  more than
    SoOO.OOO or  by imprisonment  of not.
    more than 30 years, or both.  An organi-
    zation,    as   defined    in    section
    309(c)(3)(B)(iii» of the CWA. shall, upon
    conviction  of  violating the imminent
    danger provision, be subject to a fine of
    not more  than  $1.000.000 and  can be
    fined up to $2.000.000 for second or sub-
    sequent convictions.
      (3) Any person may be assessed an ad-
    ministrative penalty by the Adminis-
    trator for violating section 301. 302. 306.
    307. 308. 318  or 405 of this Act. or any
    permit  condition or  limitation imple-
    menting any of such sections in a per-
    mit issued under section  402  of this
    Act. Administrative penalties for Class
    I violations are  not to exceed $10.000
    per  violation,   with   the  maximum
    amount of any Class I penalty assessed
    not to  exceed $25.000. Penalties for
    Class II violations are not to exceed
    $10,000  per day  for  each day  during
    which the violation continues, with the
    maximum  amount of any Class II pen-
    alty not to exceed $125,000.
      (b) Duty to reapply.  If the permittee
    wishes  to  continue an activity  regu-
    lated by this permit after the  expira-
    tion date  of this  permit, the permittee
    must apply for and obtain a new per-
    mit.
      (c) Need to halt  or reduce activity not a
    defense. It shall not be a defense  for a
    permittee  in  an enforcement  action
    that it  would  have  been necessary to
    halt or reduce the permitted activity
    in order to maintain compliance with
    the conditions of this permit.
      (d) Duty  to  mitigate. The  permittee
    shall take  all reasonable steps to mini-
    mize  or  prevent  any  discharge  or
    sludge  use or  disposal in violation of
    this permit which  has  a reasonable
    likelihood    of   adversely   affecting
    human health or the environment.
      (e) Proper operation and maintenance.
    The permittee shall at all times  prop-
    erly operate and maintain all facilities
                                         209
    

    -------
    §122.41
              40 CFR Ch. I (7-1-04 Edition)
    and systems of treatment and control
    (and related appurtenances) which are
    installed or  used by the permittee to
    achieve compliance with the conditions
    of this permit. Proper  operation  and
    maintenance  also   includes  adequate
    laboratory  controls and  appropriate
    quality assurance procedures. This pro-
    vision  requires the  operation of back-
    up or auxiliary facilities or similar sys-
    tems  which are installed  by  a per-
    mittee only when the operation is nec-
    essary to achieve compliance with the
    conditions of the permit.
      (f) Permit actions. This permit may be
    modified, revoked and reissued, or  ter-
    minated for cause. The  filing of a re-
    quest  by the permittee for  a  permit
    modification,     revocation      and
    reissuance. or termination,  or a notifi-
    cation  of planned  changes  or  antici-
    pated noncompliance does not stay any
    permit condition.
      (g) Property rights. This  permit does
    not convey  any property rights of  any
    sort, or any exclusive privilege.
      (h) Duty to provide information. The
    permittee shall furnish to the Director.
    within a reasonable  time, any informa-
    tion which the Director may request to
    determine  whether  cause   exists  for
    modifying, revoking and reissuing, or
    terminating  this permit or  to  deter-
    mine compliance with this permit. The
    permittee shall also furnish to the Di-
    rector upon  request, copies  of records
    required to be kept by this permit.
      (i)  Inspection and entry.  The per-
    mittee  shall allow  the Director, or an
    authorized representative (including an
    authorized contractor acting as  a rep-
    resentative  of the Administrator), upon
    presentation of credentials  and other
    documents as may  be required by law,
    to:
      (1) Enter upon the permittee's prem-
    ises where a regulated facility or activ-
    ity is  located  or conducted, or  where
    records must be kept under the  condi-
    tions of this permit;
      (2) Have access to and copy, at rea-
    sonable times, any  records  that must
    be kept under the  conditions of this
    permit;
      (3) Inspect at reasonable  times  any
    facilities, equipment (including  moni-
    toring-  and  control  equipment), prac-
    tices,  or operations regulated or re-
    quired under this permit; and
      (4) Sample or monitor at reasonable
    times, for the purposes of assuring per-
    mit compliance or as otherwise author-
    ized by the  Clean Water Act, any sub-
    stances or parameters at any location.
      (j) Monitoring and records. (1) Samples
    and measurements taken for the pur-
    pose of monitoring shall be representa-
    tive of the monitored activity.
      (2) Except for records  of monitoring
    information required by this  permit re-
    lated  to the permittee's sewage sludge
    use and disposal activities, which shall
    be retained for a period of at least five
    years (or  longer as required  by 40 CFR
    part  503). the permittee shall retain
    records of all monitoring information,
    including  all  calibration and mainte-
    nance records and  all  original  strip
    chart recordings for continuous  moni-
    toring instrumentation, copies  of  all
    reports required by this permit,  and
    records of all data used to complete the
    application for this permit, for a period
    of at  least 3 years from the date  of the
    sample, measurement, report or  appli-
    cation. This period may be extended by
    request of the Director at any time.
      (3)  Records of monitoring informa-
    tion shall  include:
      (i) The date, exact place, and time of
    sampling or measurements:
      
    -------
    Environmental Protection Agency
                                  §122.41
    first conviction  of such person under
    this paragraph, punishment is a fine of
    not more than $20,000 per day of viola-
    tion, or  by imprisonment of not  more
    than 4  years, or both.
      (k) Signatory requirement. (1) All  ap-
    plications, reports, or information sub-
    mitted to the Director shall  be signed
    and certified. (See §122,22)
      (2) The CWA provides that any person
    who knowingly makes any false state-
    ment,  representation,  or  certification
    in any record or other document sub-
    mitted or required to be maintained
    under  this permit,   including'  moni-
    toring'  reports or reports of compliance
    or non-compliance shall, upon convic-
    tion, be punished by a fine of not  more
    than $10.000 per violation, or by impris-
    onment for not more than 6 months  per
    violation, or by both.
      (1) Reporting requirements. (1) Planned
    changes.  The permittee shall  give  no-
    tice to the Director as soon as possible
    of any planned physical alterations or
    additions to the permitted facility. No-
    tice is  required only when:
      (i) The alteration  or addition  to a
    permitted facility may meet one of  the
    criteria for determining' whether  a  fa-
    cility is a new source in §122.29(b): or
      (ii) The alteration  or addition could
    significantly change  the  nature or  in-
    crease  the quantity of pollutants dis-
    charged. This  notification applies   to
    pollutants which are subject neither to
    effluent limitations in the permit, nor
    to  notification  requirements  under
    §122.42(a)(l).
      (iii!  The  alteration  or  addition  re-
    sults in a significant change in the per-
    mittee's sludge use  or disposal  prac-
    tices, and such alteration, addition,  or
    change may justify the application of
    permit conditions  that  are  different
    from or absent in the existing permit.
    including notification of additional use
    or disposal sites not reported during
    the permit  application process or not
    reported pursuant to an approved land
    application plan:
      (2)  Anticipated  noncotnpUancc.  The
    permittee shall give advance  notice  to
    the Director of any planned changes in
    the  permitted   facility   or   activity
    which  may result  in noncompliance
    with permit requirements.
      (3)  Transfers.   This  permit  is  not
    transferable to any person except  after
    notice to  the  Director.  The Director
    may require modification or revocation
    and reissuance of the permit to change
    the name of the permittee and incor-
    porate such other requirements as may
    be necessary  under  the  Clean  Water
    Act. (See §122.61: in some cases, modi-
    fication or revocation and reissuance is
    mandatory. >
      (4) Monitoring reports. Monitoring re-
    sults shall be  reported at the intervals
    specified elsewhere in this permit.
      (i) Monitoring results  must  be  re-
    ported on a Discharge Monitoring Re-
    port 
    -------
    §122.41
              40 CFR Ch. I (7-1-04 Edition)
    the noncompliance has  not been cor-
    rected,  the  anticipated  time it  is ex-
    pected to continue: and  steps taken or
    planned to reduce, eliminate, and pre-
    vent  reoccurrence of the  noncompli-
    ance.
      (ii) The following shall be included as
    information  which must  be reported
    within 24 hours under this paragraph.
      (A) Any unanticipated bypass  which
    exceeds any  effluent  limitation in the
    permit. (See §122.41(g).
      (B) Any upset which exceeds any  ef-
    fluent limitation in the permit.
      (C)  Violation of a  maximum daily
    discharge limitation for  any of the pol-
    lutants listed  by  the Director in  the
    permit to be reported within 24 hours.
    (See§122.44(g).)
      (ill)  The  Director  may  waive  the
    written report on a case-by-case basis
    for reports under paragraph d)(6)(ii) of
    this  section if the oral report has been
    received within 24  hours.
      (7)  Other  noncompliance.  The per-
    mittee  shall  report  all instances  of
    noncompliance  not   reported   under
    paragraphs  (1)  (4), (5). and (6) of this
    section, at the  time monitoring reports
    are submitted. The  reports shall con-
    tain  the  information listed in  para-
    graph (1)(6) of this  section.
      (8) Other information. Where the per-
    mittee becomes aware that it failed to
    submit  any relevant  facts in a permit
    application, or submitted incorrect in-
    formation in a permit application or in
    any  report  to the  Director,  it shall
    promptly submit such facts or informa-
    tion.
      (m) Bypass—(1) Definitions, (i) Bypass
    means  the   intentional  diversion  of
    waste streams from  any portion of a
    treatment facility.
      (ii) Severe property damage means sub-
    stantial physical  damage to property.
    damage  to  the  treatment  facilities
    which causes them to become inoper-
    able, or substantial and permanent loss
    of natural resources which  can reason-
    ably be expected  to  occur in the ab-
    sence  of  a  bypass.  Severe  property
    damage does not  mean  economic loss
    caused by delays in production.
      (2)  Bypass not  exceeding Imitations.
    The permittee may allow any bypass to
    occur  which does not  cause  effluent
    limitations  to  be exceeded, but only if
    it also is for essential maintenance to
    assure efficient operation. These  by-
    passes are not subject to the provisions
    of paragraphs (m)(3) and (m)(4) of this
    section.
      (3)  Xotice—(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 be-
    fore the date of the bypass.
      (iii  Unanticipated  bypass.  The  per-
    mittee shall  submit notice of an unan-
    ticipated bypass as  required  in para-
    graph (1)(6) of this section (24-hour no-
    tice).
      (4s Prohibition  of bypass, (i) Bypass  is
    prohibited, and the Director may  take
    enforcement   action  against   a  per-
    mittee for bypass,  unless:
      (A)  Bypass  was  unavoidable  to pre-
    vent loss of life, personal injury, or se-
    vere property damage:
      (B)  There  were no  feasible alter-
    natives  to  the bypass, such as the use
    of auxiliary treatment facilities, reten-
    tion of untreated wastes,  or  mainte-
    nance during normal periods of equip-
    ment  downtime. This condition is not
    satisfied if  adequate  back-up equip-
    ment  should  have  been installed in the
    exercise   of   reasonable   engineering
    judgment to prevent a bypass which oc-
    curred during normal periods of equip-
    ment  downtime or preventive  mainte-
    nance: and
      (C) The  permittee  submitted  notices
    as required under paragraph (m)(3)  of
    this section.
      (ii) The Director may approve an an-
    ticipated bypass,  after  considering its
    adverse effects, if the Director deter-
    mines that it will meet the three con-
    ditions  listed  above  in  paragraph
    (m>(4)(i> of this section.
      (n>  Upset—(1) Definition.  Upset means
    an exceptional incident in which there
    is unintentional and temporary  non-
    compliance with technology based per-
    mit effluent limitations because of fac-
    tors beyond  the reasonable control  of
    the permittee. An upset does  not in-
    clude  noncompliance  to  the  extent
    caused by  operational  error,  improp-
    erly designed treatment facilities, in-
    adequate treatment  facilities,  lack  of
    preventive maintenance, or careless or
    improper operation.
      (2) Effect of an upset. An upset con-
    stitutes an affirmative  defense to an
    action brought for noncompliance with
                                         212
    

    -------
    Environmental Protection Agency
                                  § 122.42
    such technology based permit effluent
    limitations if the requirements of para-
    graph (n)(3) of this section are met. No
    determination made  during  adminis-
    trative  review  of  claims  that  non-
    compliance was  caused by upset,  and
    before an action for noncomplianee  is
    final  administrative action subject to
    judicial review.
      CAt  Condition*  ;ic< c.v.van/  for a  dt'in-
    onstrafiorj  of  itpsi't,  A permittee  who
    wishes to establish  the affirmative de-
    fense  of  upset  shall  demonstrate.
    throueh  properly signed, contempora-
    neous operating' losjs.  or other relevant
    evidence that:
      (1) An upset occurred  anil  that  the
    permittee  can identify :he causetsi of
    the upset:
      (ii) The permitted facility was at the
    time being1 properly  operated:  and
      (Hi) The permittee  submitted >>utice
    of the. upset  as required in paragraph
    (B> of this section  (24 hoar no-
    tice ).
      (iv) The permittee complied with any
    remedial   measures  reciuired   under
    paragraph id)  of this section,
      (-1) B'd'dcri of pro--!. In  any  enforce-
    ment- proceeding' the permittee .seeking
    to establish the occurrence of an upset
    has the burden of proof
    iClean Water Act '33 t'.S.C'. 1251 <'/ ,s<-y.>. Safc
    Drinking Water Act i-U t'.s.C. 3001' t-<  v'e/.i.
    Clean Air  Act  i-12 V ^ (' 7101 ii V.  Re-
    source Conservation ,uul Ref-overy Art ri"2
    U.fcj.C. 6901 et At'Q.n
    [18 FR 14153, Apr. 1. 198:1. as aiuftulcd at  18
    FR 39620. .Sept. *1. 198;}: 19 FH 38049. Sept. 26.
    1984: SO FR  4514. Jan. 31. 1985: 50 FR 69-10  Feb.
    19. 1985: 5-1 PR 255. Jan 4. 1989: -">! FK 18783.
    May 2. 1989; 65 FK 30908. May 15. 2000]
    
    § 122.42 Additional   conditions  appli-
        cable  to  specified   categories of
        NPDES permits  (applicable to State
        NPDES programs, see S 123.25).
      The following conditions, in addition
    to those set forth  in §122.41,  apply to
    all  NPDES permit,-  within  the  cat-
    egories specified below:
      (a) Existing manufacturing, commercial.
    mining,  and silricuUural discharger*. In
    addition to the reporting requirements
    under §122.41(1).  all existing'  manufac-
    turing,  commercial, mining,  and  sil-
    vicultural dischargers must notify the
    Director as soon as  they  know or have
    reason to believe:
      (1) That any activity has occurred or
    will occur which would result in the
    discharge,  on a  routine or  frequent
    basis, of any toxic  pollutant  which  is
    not limited in the permit, if  that dis-
    charge,  will exceed  the  highest- of the
    following' "notification levels":
      ii) One hundred microg'rams per liter
    < 100 usD:
      (ii)  Two  hundred  microg'rams  per
    liter (200 LI a 1> for acrolein and acrylo-
    nitrile;  five  hundred mierog'rams per
    liter iftOO n tf 1) for 2.4-dinitrophenol and
    for 2-methyl-4.6-dinitrophenol: and one
    milligram  per liter  (1  mg'n  for  anti-
    mony:
      uii) Five -51 times the maximum, con-
    c'-ntratior. \vilue reported for  that  pol-
    lutant in the permit- application in ac-
    cordance with § r22.21(g')(7>: or
      (ivi The  level established  by the Di-
    rector in ac- ordance  with §122.44(fs,
      i2) That any activity has occurred or
    will occur which would result: in  any
    siiscliarge.  on  a  non-routine  or  infre-
    quent basis, of .1 toxic pollutant which
    is not limiti--il in  the permit, if that dis-
    r ha rye  will exceed  the  hig'hest of the
    following "fiiitifK-aiion levels":
      (i) Five handled microtrrams per lifer
    i-"-!)0 a H 1):
      (iii  One mtiihii'am per liter (1 mir ! i
    fur antimony:
      iiii)  Ten  flfr  limes,  the  maximum
    i-iincentratinn  value  reported for  that
    pollutant in  the permit  application in
    accordance with § 122.2K"'x7;>,
      (ivt The  level established  by the Di~
    lector in accordance  with §122.44'   those  pollutants:
    and
      (2) Any substantial change in the vol-
    ume or character  of pollutants  being
    introduced into that  POTW by a source
    introducing pollutants into  the POTW
    at the time of issuance of the permit.
      (3) For purposes  of this  paragraph.
    adequate notice shall include  informa-
    tion on (ii the quality and quantity of
    effluent introduced into  the POTW. and
    di) any  anticipated impact  of  the
                                          213
    

    -------
    §122,42
              40 CFR Ch. I (7-1-04 Edition)
    change on the quantity or quality of ef-
    fluent  to   he  discharged  from   the
    POTW.
      (c) Municipal separate storm xcirur sys-
    tems.  The operator of a  large or  me-
    dium municipal separate storm sewer
    system  or a municipal separate storm
    sewer that has been designated by the
    Director under §122.26(a)(l)(v) of  this
    part must submit an annual report by
    the  anniversary of  the  date  of  the
    issuance of the permit for such system.
    The report shall include:
      (1) The status of implementing the
    components  of the storm water man-
    agement program that are  established
    as permit conditions:
      (2)  Proposed changes  to  the storm
    water management programs that are
    established  as permit condition. Such
    proposed changes shall  be consistent
    with §122.26sd)(2)(iii> of this part: and
      (3) Revisions, if necessary, to the as-
    sessment of  controls and  the fiscal
    analysis reported in  the permit appli-
    cation   under   §122.26
    -------
    Environmental Protection Agency
                                 §122.43
      i A/ Ail  applkftbk- words ident:!iPd
    Srarrumnt  paragraph  rp'ulMixi of  this
    section:
      iR5 In addition, all CAFOs subject- to
    10 CFR  part, 413  must  comply  with
    record keeping requirements an speci-
    fied  in §412.37(b)  and tci  and §412.47(b>
    and so).
      (ii) A copy of the  CAFO's site-specific
    nutrient  management,  plan  must be
    maintained on site and made available
    to the Director upon request.
      (3) acquirements relating to transfer of
    manure or process  iiKistewatrr  to  other
    persons. Prior to transferring  manure.
    litter or  process wastewater to other
    persons. Large CAFOs must provide the
    recipient  of the manure, litter or proc-
    ess wastewater with the  most current
    nutrient  analysis.  The  analysis  pro-
    vided must be consistent with the re-
    quirements of 40 CFR  part  412.  Large
    CAFOs  must  retain   for  five  years
    records of the date, recipient name and
    address,  and  approximate  amount of
    manure,  litter or  process  wastewater
    transferred to another person,
      <4)  Annual reporting  requirements for
    CAFOs. The permittee must submit an
    annual report to  the Director. The an-
    nual report must  include:
      (i) The  number and type  of animals.
    whether in open confinement or housed
    under roof (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);
      (ii) Estimated  amount  of total  ma-
    nure,  litter and  process  wastewater
    generated by the  CAPO in the previous
    12 months (tons/gallon.?*;
      (iiii Estimated  amount of total  ma-
    nure,  litter and  process  wastewater
    transferred to other   person  by  the
    CAPO in the previous 12 months i tons/
    gallons);
      (iv) Total  number of acres  for land
    application covered  by  the nutrient
    management plan developed in accord-
    ance  with  paragraph '--
    i p.rred in * he previous 12 months, in-
    cluding1 date.  Lime,  and  approximate
    volume; and
      (vii) A statement indicating whether
    the current  version  of the CAFO's nu-
    trient management, plan was developed
    or approved by a  certified  nutrient
    management planner.
    |48 FR 11153  Apr, 1. 1983. as  amended at 49
    PR 38049 Sept, 26. 1984: 50 PR 4514,  Jan. 31.
    1985: 55 FR 48073.  Nov. 16. 1990: 57 FR 60448.
    Dec. 18. 1992: 68 FR 7268, Pel). 12. 20031
    
    $ 122.43 Establishing permit conditions
       (applicable  to State programs, see
       §123.25).
      fa) 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 assure compliance v/ith
    all applicable requirements of CWA and
    regulations. These shall include condi-
    tions  under §§122.46  (duration of per-
    mits).  122.47(a)  (schedules  of  compli-
    ance), 122.48 (monitoring), and for EPA
    permits   only    122.47(b)    (alternates
    schedule of compliance) and 122,49 (con-
    siderations under Federal  law).
      (b)(l>  For  a State issued permit, an
    applicable requirement is  a State stat-
    utory or regulatory requirement which
    takes effect prior to final administra-
    tive disposition of a permit. For a per-
    mit issued by  BJPA.  an applicable re-
    quirement is a  statutory or regulatory
    requirement  (including  any  interim
    final  regulation)  which  takes  effect
    prior  to the issuance  of the  permit.
    riection 124.14  (reopening" of comment
    period) provides a means for reopening
    EPA permit proceedings at the  discre-
    tion of the Director where new require-
    ments become effective during the per-
    mitting process and are  of sufficient
    magnitude  to   make  additional pro-
    ceedings desirable. For State and EPA
    administered programs,  an applicable
    requirement  is  also  any requirement
    which takes  effect prior  to the  modi-
    fication or revocation and reissuance of
    a permit,  to  the  extent allowed  in
    § 122.62.
      (2) New or reissued permits,  and to
    the extent allowed under  §122.62 modi-
    fied or  revoked and  reissued permits.
                                         215
          203-159  D-8
    

    -------
    §122.44
              40 CFR Ch. ! (7-1-04 Edition)
    shall incorporate each of the applicable
    requirements referenced in §§122.44 and
    122.45.
      (c) Incorporation. All  permit condi-
    tions  shall be  incorporated  either ex-
    pressly or by reference. If incorporated
    by reference, a specific citation to the
    applicable regulations or requirements
    must be given in the permit.
    [48 FR 14153. Apr. 1. 1983,  as amended at 65
    FR 30908, May 15.  2000)
    
    § 122.44  Establishing      limitations,
       standards, and other permit condi-
       tions (applicable  to State NPDES
       programs, see § 123.25).
      In addition to  the  conditions estab-
    lished  under §122.43. each NPDES
    permit shall include  conditions  meet-
    ing the following requirements when
    applicable.
      (a)(l) Technology-based effluent limita-
    tions and  standards based  on: effluent
    limitations and standards promulgated
    under section 301 of  the CWA, or  new
    source performance standards promul-
    gated under section  306 of  CWA, on
    case-by-case effluent  limitations deter-
    mined under section  402(a)(l) of CWA,
    or a combination of  the three, in ac-
    cordance with  §125.3 of this chapter.
    For new sources or  new  dischargers,
    these  technology based  limitations and
    standards are subject to the provisions
    of §122,29(d) (protection period).
      (2)  Monitoring  waivers  for  certain
    guideline-listed pollutants.
      (i) The Director may  authorize a dis-
    charger subject to technology-based ef-
    fluent   limitations  guidelines   and
    standards in an NPDES permit to fore-
    go sampling  of a pollutant found at 40
    CPR Subchapter N of  this  chapter  if
    the   discharger  has   demonstrated
    through sampling and  other technical
    factors  that  the pollutant is  not
    present in the  discharge or is present
    only at background levels  from intake
    water and without any increase in the
    pollutant  due to activities of the  dis-
    charger.
      (ii) This  waiver is  good  only for the
    term of the permit and is not available
    during the  term of  the  first  permit
    issued to a discharger.
      (iii) Any request for this waiver must
    be submitted when applying for a re-
    issued permit or modification of a re-
    issued permit.  The request must dem-
    onstrate  through sampling or  other
    technical information, including' infor-
    mation generated during an earlier per-
    mit  term  that the  pollutant  is  not
    present in the discharge or is present
    only at. background levels from intake
    water and without any increase in the
    pollutant due to activities of  the  dis-
    charger.
      I'ivj Any  grant of  the  monitoring
    waiver must be included in the permit
    as an express permit condition and the
    reasons supporting the grant must be
    documented in the permit's fact sheet
    or statement of basis.
      (vi This provision does not supersede
    certification  processes  and  require-
    ments already established  in  existing
    effluent   limitations  guidelines   and
    standards.
      (bid)  Other  effluent  limitations  and
    standards under sections 301, 302.  303,
    307, 318 and 405 of CWA. If any  applica-
    ble toxic  effluent standard or  prohibi-
    tion (including any schedule of compli-
    ance specified in such effluent standard
    or prohibition) is promulgated  under
    section 307(a) of CWA for a toxic pollut-
    ant and that standard or prohibition is
    more stringent than any limitation on
    the pollutant in the permit, the Direc-
    tor shall institute proceedings  under
    these regulations to modify or revoke
    and  reissue the permit  to  conform to
    the toxic effluent standard or  prohibi-
    tion. See also §122.d(a).
      (2) Standards for sewage sludge use or
    disposal under section 405(d) of the CWA
    unless those standards  have been  in-
    cluded in a permit issued under the  ap-
    propriate provisions of subtitle C of the
    Solid Waste Disposal Act, Part  C  of
    Safe Drinking Water  Act.  the  Marine
    Protection. Research, and Sanctuaries
    Act  of 1972. or the  Clean Air Act, or
    under State permit programs approved
    by the Administrator. When there  are
    no  applicable   standards  for   sewage
    sludge use or disposal, the permit may
    include  requirements developed  on a
    case-by-case basis to  protect public
    health and  the environment from any
    adverse effects which may occur from
    toxic pollutants in sewage sludge. If
    any  applicable  standard for  sewage
    sludge use  or  disposal is promulgated
    under  section  405(d)  of the CWA  and
    that standard  is more stringent than
    any  limitation  on  the  pollutant  or
                                         216
    

    -------
    Environmental Protection Agency
                                  §122.44
    practice in the  permit, the Director
    may initiate  proceedings under these
    regulations to modify or revoke and re-
    issue the  permit to  conform  to  the
    standard for sewage sludge use or dis-
    posal ,
      (3i Requirements applicable to cool-
    ing water intake structures at new fa-
    cilities   under section  316(b)  of  the
    CWA, in accordance with part 125.  sub-
    part I, of this chapter.
      (c) Reopener  clause:  For  any  permit
    issued to a treatment works treating
    domestic sewage  (including'  "sludge-
    only facilities"),  the Director shall in-
    clude a reopener clause to  incorporate
    any  applicable  standard  for  sewage
    sludge  use or disposal promulgated
    under section 405
    -------
    §122.44
              40 CFR Ch. 1 (7-1-04 Edition)
      (A) Establish effluent limits using a
    calculated  numeric water quality  cri-
    terion for the pollutant which the per-
    mitting  authority demonstrates will
    attain and maintain  applicable nar-
    rative water quality  criteria and will
    fully protect the designated use. Such
    a criterion may be derived using a pro-
    posed State  criterion,  or an explicit
    State policy  or regulation interpreting1
    its  narrative  water quality criterion,
    supplemented with other  relevant in-
    formation  which  may  include: EPA's
    Water Quality  Standards Handbook.
    October 1983, risk assessment data, ex-
    posure data, information about the pol-
    lutant from the Pood and Drug Admin-
    istration,  and current  EPA  criteria
    documents; or
      (B) Establish effluent  limits on  a
    case-by-case  basis, using EPA's water
    quality  criteria,  published under sec-
    tion 304(a) of the CWA. supplemented
    where necessary  by other relevant in-
    formation; or
      (C) Establish effluent limitations on
    an indicator parameter for the pollut-
    ant of concern, provided;
      (I) The permit identifies which pol-
    lutants are intended to be controlled
    by the use of the effluent limitation;
      (21 The fact sheet required by §124.56
    sets forth  the basis for the limit, in-
    cluding" a finding that compliance with
    the effluent limit on  the indicator pa-
    rameter  will result in controls on the
    pollutant of concern which are suffi-
    cient to attain and maintain applicable
    water quality standards;
      (3)  The permit  requires all effluent
    and  ambient  monitoring necessary to
    show that  during the term of the per-
    mit  the limit on the indicator param-
    eter continues to attain and  maintain
    applicable water quality standards; and
      (4)  The permit  contains a  reopener
    clause allowing the permitting author-
    ity to modify or revoke and reissue the
    permit if the limits  on the  indicator
    parameter no longer  attain and main-
    tain  applicable water  quality stand-
    ards.
      (vii) When developing water quality-
    based effluent limits under this para-
    graph the  permitting authority shall
    ensure that:
      (A) The level of water  quality to be
    achieved by limits on point sources es-
    tablished under this  paragraph is de-
    rived from, and complies with all appli-
    cable water quality standards; and
      (B) Effluent limits developed  to pro-
    tect a  narrative water quality  cri-
    terion,  a numeric water quality  cri-
    terion, or both, are consistent with the
    assumptions  and requirements  of  any
    available wasteload  allocation for the
    discharge prepared by  the  State  and
    approved by  EPA pursuant to 40 CFR
    130.7.
      (2) Attain  or  maintain a  specified
    water quality  through  water quality
    related   effluent  limits  established
    under section 302 of CWA:
      (3) Conform to  the  conditions to  a
    State certification under section 401 of
    the CWA that meets the requirements
    of §124.53 when EPA is the permitting
    authority. If a  State certification is
    stayed by a  court of competent juris-
    diction  or an appropriate State board
    or agency, EPA shall notify  the State
    that  the Agency  will  deem  certifi-
    cation waived unless a finally effective
    State certification is  received  within
    sixty days from the date of the  notice.
    If the State does not forward a  finally
    effective certification within the sixty
    day  period, EPA  shall  include  condi-
    tions in the  permit that may be nec-
    essary to meet EPA's obligation under
    section 301(b)(l)(C) of the CWA;
      (4) Conform to applicable water qual-
    ity requirements under sect-ion 401
    -------
    Environmental Protection Agency
                                  § 122,44
    Policy Act, 42 U.S.C. 4321 et  seq. and
    section 511  of the  CWA,  when EPA is
    the  permit issuing  authority.  (See
    §122,29(0).
      (e) Technology-based controls  for toxic
    pollutants.  Limitations   established
    under paragraphs (a), (b). or (d) of this
    section, to  control pollutants  meeting
    the criteria listed in paragraph (e)d) of
    this section. Limitations will be estab-
    lished  in accordance with  paragraph
    (e)(2) of this section. An explanation of
    the development of  these  limitations
    shall  be  included  in  the fact  sheet,
    under §124.56(b).
      (f) Notification  level.  A "notification
    level"  which exceeds  the notification
    level of §122.42(a)(6>(ii)(C>  (24-hour  reporting)
    shall be listed in the permit.  This  list
    shall  include  any  toxic  pollutant or
    hazardous substance, or any pollutant
    specifically identified as the method to
    control a  toxic pollutant or hazardous
    substance.
      (h) Durations for permits, as set forth
    in §122.46.
      (i) Monitoring requirements. In  addi-
    tion to  §122/18.  the  following  moni-
    toring' requirements:
      (It To assure compliance with permit,
    limitations, requirements to monitor:
      (i) The mass (or other measurement
    specified in the permit) for each pollut-
    ant limited in the  permit:
      (ii) The volume of effluent  discharged
    from each outfall;
      (iiii Other measurements as appro-
    priate including pollutants in internal
    waste streams under §122.45(1):  pollut-
    ants in  intake water  for net  limita-
    tions  under §122.45(f):  frequency, rate
    of discharge,  etc., for  noncontinuous
    discharges  under  §122.45(6):  pollutants
    subject   to  notification requirements
    under §122.42(a): and pollutants  in sew-
    age sludge  or other monitoring as spec-
    ified in 40 CFR part 503;  or as deter-
    mined  to be  necessary on  a case-by-
    case basis pursuant to section 405
    of the CWA.
      (iv)  According to test procedures ap-
    proved under  40 CPR  part 136  for the
    analyses of pollutants having approved
    methods under that part,  and  accord-
    ing to a test procedure specified in the
    permit for  pollutants with no approved
    methods.
      (2) Except as provided in paragraphs
    d){4) and a)s5) of  this  section,  require-
    ments  to  report,   monitoring  results
    shall be  established on  a  ease-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 prac-
    tices, requirements to monitor  and re-
    port results shall  be established on a
    case-by-case basis  with a frequency de-
    pendent on the nature  and effect of the
    sewage sludge use or disposal practice:
    minimally  this shall be as specified in
    10 CFR part 503 (where applicable), but,
    in no case IPSS than once a  year.
      (3)  Requirements to  report,  moni-
    toring  results for  storm  water  dis-
    charges associated with industrial ac-
    tivity which are subject to an effluent
    limitation   guideline  shall  be   estab-
    lished 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.
                                         219
    

    -------
    §122,44
              40 CFR Ch, i (7-1-04 Edition)
      (4)  Requirements  to  report moni-
    toring  results  for  storm water  dis-
    charges associated with  industrial ac-
    tivity (other than those addressed in
    paragraph (i)(3) of this section) shall be
    established   on  a case-by-case  basis
    with  a frequency dependent on the na-
    ture and  effect of the discharge. At a
    minimum,  a permit  for such a  dis-
    charge must require:
      (i) The  discharger to conduct an an-
    nual  inspection  of the facility site to
    identify areas contributing to  a storm
    water discharge  associated with indus-
    trial  activity and  evaluate   whether
    measures to reduce pollutant loadings
    identified in a storm water pollution
    prevention plan are adequate and prop-
    erly implemented in  accordance  with
    the terms of the permit or whether ad-
    ditional control measures are needed;
      (ii) The discharger to maintain for a
    period of three years  a record  summa-
    rizing the results of the inspection and
    a certification  that  the facility is in
    compliance  with the plan and  the per-
    mit,  and  identifying  any incidents of
    non-compliance;
      (iii) Such report and certification be
    signed in  accordance with §122,22; and
      (iv)  Permits  for  storm water  dis-
    charges associated with  industrial ac-
    tivity from  inactive mining operations
    may. where annual inspections are im-
    practicable,  require certification  once
    every three years by a Registered Pro-
    fessional  Engineer that  the facility is
    in compliance with the  permit, or al-
    ternative requirements.
      (5) Permits which do not require the
    submittal of monitoring result reports
    at least annually shall require  that the
    permittee report all  instances of non-
    compliance     not    reported   under
    §122.41(1) (1), (4).  (5). and (6) at least an-
    nually.
      (j)  Pretreatment program for  POTWs.
    Requirements for POTWs to:
      (1) Identify, in terms of character and
    volume of pollutants. &ny  significant
    indirect  dischargers  into  the POTW
    subject   to   pretreatment   standards
    under section 307(b) of CWA and 40 CFR
    part 403,
      (2)(i)  Submit a local program when
    required by  and in accordance with 40
    CPR part 403 to assure compliance with
    pretreatment standards  to  the extent
    applicable  under section  307(b).  The
    local  program  shall  be  incorporated
    into the permit as described in 40 CFR
    part 403, The program must require all
    indirect dischargers to the POTW to
    comply  with  the  reporting  require-
    ments of 40 CFR part 403.
      (ii)  Provide a written technical eval-
    uation of the need to revise local limits
    under 40 CFR 403.5(0(1). following per-
    mit issuance or reissuance.
      (3) For POTWs which are "sludge-only
    facilities." a requirement  to develop a
    pretreatment program  under 40  CFR
    part 403 when  the Director determines
    that  a  pretreatment  program is nec-
    essary to assure compliance with Sec-
    tion 405 of the CWA.
      (k)  Beat management practices (BMPs)
    to control  or  abate  the  discharge of
    pollutants when:
      (1) Authorized under section 304(e) of
    the CWA for the control of toxic pollut-
    ants  and  hazardous  substances from
    ancillary industrial activities;
      (2) Authorized under section 402(p) of
    the CWA for the control of storm water
    discharges:
      (3)  Numeric  effluent limitations are
    infeasible; or
      (4) The practices are reasonably nec-
    essary  to  achieve  effluent limitations
    and standards  or to carry out the pur-
    poses and intent of the CWA.
      NOTE TO PARAGRAPH (Kj<4): Additional tech-
    nical information on BMPs and the elements
    of BMPa is contained in the following- docu-
    ments: Guidance Manual for Developing- Best
    Management Practices (BMPs), October 1993,
    EPA No. 833 B-93-OQ4, NT1S No. PB 94-178324.
    ERIC  No. W498); Storm Water Management
    for Construction Activities: Developing- Pol-
    lution Prevention Plans and Best Manage-
    ment Practices. September 1992. EPA No. 832-
    R-92-005, NTIS No.  PB 92-235951,  EKIC No.
    N482K Storm Water  Management for Con-
    struction Activities,  Developing-  Pollution
    Prevention  Plans  and  Best Management
    Practices: Summary Guidance. EPA  No. 833;
    R-92-001. NTIS No.  PB 93-223550;  ERIC No.
    W139:  Storm Water  Management  for Indus-
    trial Activities. Developing-  Pollution  Pre-
    vention  Plans and Best Management Prac-
    tices,  September  1992:   EPA  832.-R-92-006,
    NTIS No. PB 92-235969. ERIC No. N477; Storm
    Water Management for Industrial Activities,
    Developing  Pollution Prevention  Plane and
    Best Management Practices: Summary Guid-
    ance.  EPA  833'R-92-Q02, NTIS  No.  PB 94-
    133782: ERIC No. W492. Copies of those docu-
    ments (or directions on how to obtain them)
    can be obtained by contacting either the Of-
    fice of  Water Resource Center  (using- the
    EPA document  number as a reference) at
                                          220
    

    -------
    Environmental Protection Agency
                                  § 122.44
    (202)  260-7786: or the Educational Resources
    Information Center (ERIC) (using the ERIC
    number as a reference) at (800) 276-0462, Up-
    dates of these documents or additional BMP
    documents may also be available. A list  of
    EPA  BMP guidance documents  is available
    on   the  OWM   Home   Page   at  hftp:
    www.epa.gov/owjn. In addition.  States  may
    have  BMP guidance documents.
      These  EPA  guidance documents are
    listed here only for informational pur-
    poses:  they are not binding and EPA
    does not intend that  these guidance
    documents have any mandatory, regu-
    latory  effect by virtue of their listing
    in this note.
      (1)  Reissued permits, (I) Except as pro-
    vided in  paragraph (1)(2> of this section
    when a permit is renewed or reissued,
    interim effluent limitations, standards
    or conditions must be at least as strin-
    gent as  the final  effluent limitations,
    standards, or  conditions  in the pre-
    vious permit (unless the circumstances
    on  which the  previous  permit  was
    based  have  materially and substan-
    tially changed since the time the per-
    mit  was  issued and  would  constitute
    cause for permit modification  or rev-
    ocation and reissuance under §122.62.)
      (2) In the case of effluent limitations
    established on  the  basis of Section
    402(a)(lKB) of the CWA. a permit may
    not  be renewed,  reissued, or modified
    on the basis of effluent guidelines pro-
    mulgated under  section 304(b)  subse-
    quent to  the original issuance of such
    permit, to contain effluent limitations
    which are less stringent than the com-
    parable effluent limitations  in the pre-
    vious permit.
      (1)  Exceptions—A permit with respect
    to which paragraph sl)(2) of this section
    applies  may  be renewed,  reissued, or
    modified to contain a less stringent ef-
    fluent  limitation  applicable  to  a pol-
    lutant, if—
      (A) Material and  substantial alter-
    ations  or additions to the permitted fa-
    cility occurred  after  permit issuance
    which justify  the  application of a  less
    stringent effluent limitation:
      (B)(J) Information is  available which
    was not available at the time of permit
    issuance   (other  than  revised  regula-
    tions, guidance, or test methods)  and
    which would have justified the applica-
    tion  of a less stringent effluent limita-
    tion  at the time of permit issuance: or
      (2)  The  Administrator  determines
    that  technical mistakes or mistaken
    interpretations  of  law  were made in
    issuing  the  permit  under  section
    402(a)(lMb>:
      (CS  A less  stringent effluent limita-
    tion is necessary because of events over
    which the permittee has no  control and
    for which there  is no reasonably avail-
    able remedy:
      (D)  The permittee has  received a per-
    mit modification under section  301(c),
    301(g). 301ih). 301(1). 301(k). 301in). or
    316
    -------
    § 122.45
              40 CFR Ch. ! (7-1-04 Edition)
    any user, to impose conditions on one
    or more users,  to  issue  separate  per-
    mits,  or to  require  separate  applica-
    tions, and  the basis for that decision,
    shall be stated in the fact sheet for the
    draft permit for the treatment works.
      (n) Grants. Any conditions imposed in
    grants made by the  Administrator to
    POTWs under  sections 201 and  204 of
    CWA  which  are reasonably necessary
    for the achievement of effluent limita-
    tions under section 301 of  CWA.
      (o)   Sewage   sludge.   Requirements
    under section 405 of CWA  governing' the
    disposal of sewag-e sludge  from publicly
    owned treatment works  or  any other
    treatment   works  treating1  domestic
    sewage  for  any use for which  regula-
    tions  have been established, in accord-
    ance with any applicable regulations.
      (p)  Coast  Guard. When a permit is
    issued to a facility that may operate at
    certain times as a means of transpor-
    tation over water, a condition that the
    discharge shall comply with any appli-
    cable  regulations promulgated  by the
    Secretary of the department in which
    the Coast Guard is operating,  that es-
    tablish specifications for  safe transpor-
    tation, handling, carriage, and storage
    of pollutants.
      (q)  Navigation. Any conditions  that
    the Secretary  of the Army considers
    necessary  to ensure  that navigation
    and anchorage will not be substantially
    impaired, in accordance with §124.59 of
    this chapter.
        Requirements  for   construction
    site  operators  to  implement  appro-
    priate  erosion  and  sediment control
    best management practices;
      (ii) Requirements  for   construction
    site  operators to control waste such  as
    discarded building materials, concrete
    truck washout, chemicals, litter, and
    sanitary waste at the construction site
    that  may  cause  adverse impacts  to
    water quality:
      (iii)  Requirements for  construction
    site  operators to develop and imple-
    ment a storm  water pollution preven-
    tion plan. (A  storm water  pollution
    prevention plan  includes  site descrip-
    tions, descriptions of appropriate  con-
    trol   measures,  copies  of  approved
    State.  Tribal  or local requirements.
    maintenance   procedures,  inspection
    procedures, and  identification of non-
    storm water discharges): and
      
    -------
    Environmental Protection Agency
                                  §122.45
    ami  prohibitions  shall  be  established
    for each outfall  or discharge  point  of
    the permitted facility, except as other-
    wise provided  under §122.44(  A)
    of this section:
      (1) The permit shall require  the per-
    mittee  to notify the Director at  least
    two business days prior  to  a month  in
    which the permittee expects to operate
    at a level higher  than the  lowest  pro-
    auction K-vt-i  identified  in the permit.
    The  notice shall  specify the  antici-
    pated level and the period during which
    She permittee expects to opera to at the
    alternate  level.  If  the  notice  covers
    more than one month, the notice shall
    specify the reasons for the anticipated
    production level increase. New  notice
    of discharge  at alternate levels is  re-
    quired to  cover a period or production
    level not  covered by prior notice or. if
    during two consecutive-  months  other-
    wise covered by a  notice, the produc-
    tion level at  the permitted facility
    does not in fact meet the higher level
    designated in the notice.
      (2! The  permittee shall comply with
    the limitations,  standards,  or prohibi-
    : ions that correspond to the lowest
    level of production specified in the per-
    mit, unless the permittee has notified
    the    Director    under    paragraph
    
    -------
    §122.45
              40 CFR Ch. I (7-1-04 Edition)
      (I)  Maximum   daily  and  average
    monthly discharge limitations for  all
    dischargers other  than publicly owned
    treatment works: and
      (2)  Average  weekly  and  average
    monthly  discharge   limitations   for
    POTWs.
      (e)  Non-continuuus  discharges.  Dis-
    charges which are not continuous, as
    defined in  §122.2.  shall be  particularly
    described  and limited, considering the
    following factors, as appropriate:
      (1) Frequency (for example,  a batch
    discharge  shall not. occur  more  than
    once every 3 weeks):
      (2) Total  mass  (for  example, not to
    exceed 100  kilograms  of zinc  and  200
    kilograms  of chromium per batch dis-
    charge):
      (3) Maximum rate of discharge of pol-
    lutants during the discharge (for exam-
    ple, not to  exceed 2 kilograms of zinc
    per minute): and
      (4) Prohibition or limitation  of speci-
    fied pollutants by mass, concentration,
    or other appropriate measure  (for  ex-
    ample, shall not  contain at any  time
    more than 0.1 mg/1 zinc or more  than
    250 grams (V.t  kilogram) of zinc in any
    discharge).
      (f) Mass limitations. (1) All pollutants
    limited in permits  shall have limita-
    tions,  standards  or prohibitions  ex-
    pressed in terms of mass except:
      (i) For pH, temperature, radiation, or
    other pollutants  which cannot appro-
    priately be expressed by mass;
      (ii>  When applicable standards and
    limitations are expressed  in terms of
    other units of measurement: or
      (iii) If in  establishing permit limita-
    tions on  a case-by-case  basis  under
    §125.3, limitations expressed  in terms
    of mass are infeasible because the mass
    of the pollutant discharged cannot be
    related to  a measure of operation (for
    example, discharges of TSS from cer-
    tain mining  operations),  and permit
    conditions ensure  that dilution will not
    be used as a substitute for treatment.
      (2)  Pollutants  limited in terms of
    mass additionally may be limited in
    terms  of other units of measurement,
    and the permit shall  require  the per-
    mittee  to  comply  with  both  limita-
    tions.
      (g) Pollutants in  intake water.  (1)  Upon
    request of the discharger, technology-
    based effluent limitations or standards
    shall  be  adjusted  to  reflect credit for
    pollutants  in the discharger's  intake
    water if:
      (it The  applicable  effluent limita-
    tions  arid  standards  contained  in 40
    CFR snbchapter N specifically provide
    that they  shall be  applied on  a  net
    basis; or
      (ii) The discharger demonstrates that
    the control system it proposes or uses
    to  meet  applicable  technology-based
    limitations and   standards  would,  if
    properly  installed and operated, meet
    the limitations and  standards  in  the
    absence of  pollutants in the intake wa-
    ters.
      (2) Credit for generic pollutants such
    as biochemical oxygen demand  (BOD)
    or total  suspended solids (TSS) should
    not be  granted unless  the  permittee
    demonstrates that the constituents of
    the generic measure in the effluent are
    substantially  similar  to  the  constitu-
    ents of the generic measure in the in-
    take water or unless appropriate addi-
    tional limits  are placed  on process
    water pollutants either at  the  outfall
    or elsewhere.
      (3) Credit shall be granted only to the
    extent necessary to meet the applica-
    ble limitation or standard,  up to  a
    maximum  value equal to the influent
    value. Additional  monitoring may be
    necessary  to  determine eligibility for
    credits  and compliance  with  permit
    limits.
      (4) Credit shall be granted only if the
    discharger  demonstrates that the in-
    take  water is drawn  from the same
    body of water into which the  discharge
    is made.  The  Director may waive  this
    requirement if he finds that no envi-
    ronmental  degradation will result.
      (5) This section does not apply  to the
    discharge of raw water clarifier sludge
    generated from the treatment of intake
    water.
      (h)  Internal waste streams.  (1)  When
    permit effluent limitations or  stand-
    ards imposed  at the point of  discharge
    are impractical or infeasible. effluent
    limitations or standards for discharges
    of pollutants may be imposed on inter-
    nal waste  streams before mixing with
    other waste streams or cooling water
    streams. In those  instances, the moni-
    toring required by §122.48 shall also be
    applied to the internal waste streams.
                                         224
    

    -------
    Environmental Protection Agency
                                  § 122.47
      (2) Limits on internal waste streams
    will  be  Imposed  only when the  fact
    sheet, under  §124.56 sets  forth  the ex-
    ceptional circumstances which make
    such  limitations  necessary, such  as
    when the final discharge point  is inac-
    cessible  (for  example, under 10 meters
    of water), the wastes at the point of
    discharge are so  diluted  as to make
    monitoring' impracticable, or the inter-
    ferences among pollutants at the point
    of discharge  would make detection or
    analysis impracticable.
      it) Disposal of pollutants  into trclln.
    into POTWs or by land application.  Per-
    mit limitations and standards shall be
    calculated as provided in §122.50.
    
    [48 FR 14153. Apr. 1, 1983. as amended  at 49
    PR 38049, Sept. 26. 1984: 50 FR 4514. Jan. 3.1.
    1985: 54 FR 258. Jan. 4. 1989: 54 FR 18784. May
    2, 1989: 65 FR 30909. May 15. 2000J
    
    § 122.46   Duration of permits (applica-
       ble to State programs, see §123,25),
      (a) NPDES permits shall be effective
    for a fixed term not to exceed 5 years
      (b) Except  as  provided in  §122.6.  the
    term of a permit shall not be extended
    by modification beyond the maximum
    duration specified in this section.
      (c) The Director may issue any  per-
    mit for  a duration that is less than the
    full allowable term under this section.
      (d) A  permit may be issued to expire
    on or after the  statutory deadline set
    forth  in section 30l(b)(2) (A). (C).  and
    (B), if the permit includes effluent  lim-
    itations to meet  the requirements of
    section  301(b)(2) (A). (C). (13). (E>  and
    iFi. whether  or riot applicable effluent-
    limitations guidelines  have been  pro-
    mulgated or approved.
      (e) A determination that- a particular
    discharger fails within a given indus-
    trial category for  purposes of setting a
    permit  expiration date  under para-
    graph (d) of this section is  not  conclu-
    sive as  to the discharger's inclusion in
    that industrial category for any other
    purposes, and does not; prejudice  any
    rights to challenge or change that in-
    clusion  at the time that a permit based
    on that  determination is formulated.
    
    [48 FR 14153. Apr. 1, 1983. as amended at 49
    FR 31842. AUJZ-.  8.  1984: 50 PR t>940.  Feb.  19.
    1985. 00 FR 33931, June 29. 1995]
    5122.47  Schedules of compliance.
      (a)  Gentral  (applicable  to State  pro-
    grams, see §123.25). The  permit  may.
    when appropriate, specify a schedule of
    compliance leading to compliance with
    CWA and regulations.
      (1) Time for compliance. Any schedules
    of compliance under this section shall
    require compliance as soon as possible.
    but not later than the applicable statu-
    tory deadline under the CWA.
      (2) The first NPDES permit issued to
    a new source or a new discharger shall
    contain a schedule of compliance only
    when necessary to allow a  reasonable
    opportunity to attain  compliance with
    requirements  issued  or  revised  after
    commencement  of construction   but
    less than three years before commence-
    ment of the relevant discharge. For re-
    commencing dischargers, a schedule of
    compliance shall  be  available  only
    when necessary to allow a  reasonable
    opportunity to attain  compliance with
    requirements  issued  or  revised  less
    than  three years before recommence-
    ment of discharge.
      (3) Interim dates. Except, as provided
    in paragraph (bMl)lii)  of this section, if
    a permit establishes a schedule of com-
    pliance which exceeds 1 year from  the
    date of permit  issuance, the schedule
    shall  set  forth interim  requirements
    and the dates for their achievement,
      (i) The time between interim dates
    r-hall  not exceed 1 year, except that in
    the case of a schedule for compliance
    with  standards  for  sewage sludge  use
    and disposal, the time between interim
    dates shall not exceed  six months.
      lit)  If the time necessary for comple-
    tion of any interim requirement (such
    as the construction of a control facil-
    ity)  is more  than 1  year  and is  not
    readily divisible into  stages for  com-
    pletion,  the  permit  shall  specify  in-
    terim  dates for the submission  of re-
    ports of progress toward completion of
    the interim requirements and Indicate
    A projected completion date,
      NOTK; Examples of interim requirements
    uiciude: (a)  Submit  a complete Step 1 con-
    struction  grant i.for POTWsc (b) let a con-
    tract for construction of required facilities:
    u-> commence construction of required facili-
    'ies:  ((J) complete construction oi required
    facilities,
      <4)  Reporting.  The  permit shall  be
    written to  require that no later than 14
                                         225
    

    -------
    §122.48
              40 CFR Ch. 1 (7-1-04 Edition)
    days following each  interim  date and
    the final date  of compliance,  the per-
    mittee  shall  notify  the  Director in
    writing  of its  compliance   or  non-
    compliance with the interim  or  final
    requirements,  or  submit  progress  re-
    ports if paragraph (anSXii) is applica-
    ble.
      (b) Alternative schedules of compliance.
    An NPDES permit applicant or  per-
    mittee may cease conducting regulated
    activities (by terminating' of direct dis-
    charge for  NPDES sources) rather than
    continuing to operate and meet permit
    requirements as follows:
      (1) If the permittee decides  to  cease
    conducting regulated  activities  at a
    given time within the term of  a permit
    which has already been  issued:
      (i) The  permit may  be modified to
    contain a  new or  additional  schedule
    leading to timely  cessation of activi-
    ties; or
      Cii) The  permittee shall cease con-
    ducting  permitted  activities before
    non-compliance with  any interim or
    final compliance schedule requirement
    already specified in the permit,
      (2) If the  decision to cease conducting
    regulated  activities  is  made before
    issuance of a permit whose term will
    include the termination date,  the per-
    mit shall contain a schedule leading to
    termination which will ensure timely
    compliance with   applicable  require-
    ments no   later  than  the  statutory
    deadline,
      (3)  If  the  permittee  is  undecided
    whether to cease conducting regulated
    activities,  the Director may  issue or
    modify a permit to contain two sched-
    ules as follows:
      (i) Both  schedules shall contain an
    identical interim  deadline requiring a
    final decision on  whether to cease con-
    ducting regulated  activities  no  later
    than a date which ensures sufficient
    time to comply  with  applicable  re-
    quirements in  a  timely manner if the
    decision is to continue  conducting reg-
    ulated activities:
      
    -------
    Environmental Protection Agency
                                  §122.50
    of particular permit conditions or re-
    quires the denial of a permit, those re-
    quirements also must be followed,
      fa) The Wild and Scenic Rivers Act, 16
    U.S.C. 1273 et seq. section 7 of the Act
    prohibits the  Regional Administrator
    from  assisting by license  or otherwise
    the  construction  of  any  water  re-
    sources project that would have a di-
    rect-  adverse effect  on the values for
    which a national wild and  scenic river
    was established.
      (bj The National  Historic  I'mserrution
    Act of 1966, 16 U.S.C. 470 et seq. section
    106 of  the  Act and  implementing regu-
    lations (36 CFR part 800}  require  the
    Regional Administrator, before issuing
    a license, to adopt measures when fea-
    sible to mitigate potential adverse ef-
    fects of the licensed  activity and prop-
    erties  listed or eligible for listing  in
    the  National  Register  of  Historic
    Places. The  Act's requirements are  to
    be implemented in  cooperation with
    State  Historic Preservation  Officers
    and  upon  notice to, and  when  appro-
    priate,  in  consultation with the Advi-
    sory Council on Historic Preservation.
      (c)  The  Endangered  Species  Act,  16
    U.S.C. 1531 et seq. section 7 of the Act
    and implementing  regulations (50 CFR
    part 402) require the Regional Adminis-
    trator to ensure, in  consultation with
    the Secretary  of the Interior  or Com-
    merce,  that  any action authorized by
    EPA is not likely to jeopardize the con-
    tinued  existence of any endangered  or
    threatened species or adversely affect
    its critical habitat.
      (dj The Coastal Zone. Management Act,
    16 U.S.C. 1451  et seq, section 307nj>  of
    the Act and  implementing regulations
    (15 CFR part 930)  prohibit  EPA from
    issuing a permit for an activity  affect-
    ing land or  water use in  the  coastal
    zone until the applicant certifies that
    the proposed  activity  complies with
    the State  Coastal  Zone Management
    program,  and  the  State or  its  des-
    ignated agency concurs with  tht- cer-
    tification  (or  the  Secretary of  Com-
    merce  overrides the State's rionconcur-
    rence),
      (e) The Fish and  Wildlife Coordination
    Act, 16  U.S.C. 661 et seq., requires that
    the  Regional  Administrator,   before
    issuing a permit proposing  or author-
    izing  the  impoundment (with  certain
    exemptions), diversion, or other con-
    trol or modification  of any  body  of
    water,  consult  with  the  appropriate
    State  agency  exercising  jurisdiction
    over  wildlife  resources  to  conserve
    those resources.
      (f) Executive orders, [Reserved]
      (g) The  National Environmental Pol-
    icy Act. 42 U.S.C. 4321 et seq.. may re-
    quire preparation of an  Environmental
    Impact Statement and consideration of
    EIS~related  permit conditions  (other
    than  effluent limitations)  as provided
    in § 122.29ic).
    
    'Clean Water Act <33 U.S.C, 1251 c.l seq.). Safe
    Drinking Water Act (42  U.S.C. 3001' et seq.},
    Clean Air  Art 1-42  L'.S.C. 7401 et .«•£/.(, Re-
    source  Conservation  and Recovery Act (42
    U.S.C. 6901  rt seq.)}
    |« FK 14153. Apr. I. 1983, as Amended at 48
    FR 39620. Sept. 1. 1983: 49 FR 38050, Sept, 26,
    1984!
    
    § 122,30 Disposal  of  pollutants  into
        wells,  into publicly  owned   treat-
        ment  works or by land application
        (applicable to  State NPDES  pro-
        grams, see § 123.25).
      (a) When part of a discharger's proc-
    ess wastewater is not  being discharged
    into waters  of  the United States or
    ', ontig'uous zone  because it is disposed
    into a well,  into  a POTW. or by land
    application thereby reducing the flow
    or level of pollutants  being discharged
    into waters of the United States, appli-
    cable  effluent standards and  limita-
    tions for  the discharge in an NPDES
    permit shall  be adjusted to reflect the
    reduced raw  waste resulting from such
    disposal.  Effluent   limitations   and
    standards in the  permit shall be cal-
    culated by one of the following  meth-
    ods:
      (1) If none  of the waste from  a par-
    t icular process is discharged into wa-
    ters of the United States, and effluent
    limitations guidelines provide separate
    allocation for wastes  from that  proc-
    ess, all allocations for the process shall
    be eliminated from calculation of per-
    mit effluent limitations or standards.
      (2) In all cases other  than those de-
    scribed in paragraph  (a Hi)  of'this sec-
    tion,  effluent limitations shall be ad-
    justed by  multiplying the effluent limi-
    tation  derived  by  applying  effluent
    limitation guidelines to the total waste
    stream by the amount  of  wastewater
    flow to be treated and discharged into
                                         221
    

    -------
    §122,61
              40 CFR Ch. i (7-1-04 Edition)
    waters of the United States, and divid-
    ing the result by the total wastewater
    flow.  Effluent  limitations and stand-
    ards so calculated  may  be further ad-
    justed under  part  125.  subpart D to
    make them more or less stringent,  if
    discharges  to  wells,  publicly owned
    treatment works, or by  land  applica-
    tion  change the  character or  treat-
    ability  of the  pollutants being  dis-
    charged   to  receiving  waters.  This
    method may be algebraically expressed
    as:
                        T
    where P is tlie permit effluent limitation. E
    is the limitation derived by applying' effluent
    guidelines to the total wasteatream, N is the
    wastewater flow to be treated and discharged
    to waters of the United States, and T is the
    total wastewater flow.
      ib) Paragraph (a) of this section does
    not apply  to  the  extent  that promul-
    gated effluent limitations guidelines:
      (1) Control  concentrations of pollut-
    ants discharged but not mass; or
      (2) Specify  a  different specific  tech-
    nique for adjusting effluent limitations
    to account for well  injection,  land  ap-
    plication, or disposal into POTWs.
      (c) Paragraph (a) of this section does
    not alter a discharger's  obligation to
    meet any more stringent requirements
    established under §§122,41,  122.42. 122.43,
    and 122.44.
    [48 PE 14153, Apr. 1, 1983,  as amended at 49
    FR 38050. Sept. 26, 1984]
    
    Subpart  D— Transfer, Modification,
         Revocation  and Reissuanee,
         and Termination of  Permits
    
    § 122,61  Transfer  of permits  (applica-
       ble to State programs, see § 123.25).
      (a)  Transfers by modification. Except
    as provided in paragraph (b) of this sec-
    tion,  a permit  may  be transferred by
    the permittee to a new owner or oper-
    ator only if the permit has been modi-
    fied  or revoked and reissued (under
    §122.62(b)(2)),  or a minor  modification
    made (under §122.83(d)), to identify  the
    new  permittee and  incorporate such
    other  requirements  as may  be nec-
    essary under CWA,
      (b)  Automatic transfers. As an  alter-
    native to transfers tinder paragraph (a)
    of this section, any XPDES permit may
    be automatically transferred to a new
    permittee if:
      (1) The current permittee notifies the
    Director at least 30 days in advance of
    the proposed transfer date in paragraph
    (b)(2) of this section;
      (2) The  notice  includes   a written
    agreement between  the  existing and
    new permittees containing  a specific
    date for transfer of permit responsi-
    bility,  coverage, and liability between
    them; and
      (3) The Director  does not  notify the
    existing  permittee  and the proposed
    new permittee of  Ms or her intent to
    modify or  revoke  and reissue the per-
    mit. A modification under  this  sub-
    paragraph  may also be a minor modi-
    fication under §122.63. If this notice is
    not received,  the  transfer is effective
    011 the date specified in the  agreement
    mentioned in paragraph  (b)(2) of this
    section.
    
    S 122.62 Modification   or   revocation
        and reissuance of permits (applica-
        ble to State programs, see § 123.25).
      When the Director receives any infor-
    mation (for example, inspects the facil-
    ity, receives information submitted by
    the permittee as required in the permit
    (see §122.41),   receives  a  request for
    modification   or    revocation   and
    reissuance under fiiM.5, or  conducts a
    review of the permit file) he or she may
    determine  whether or not one or more
    of the causes listed  in paragraphs (a)
    and (b) of this section for modification
    or revocation  and reissuance or  both
    exist. If cause exists, the Director may
    modify or  revoke and reissue the per-
    mit accordingly, subject to  the limita-
    tions of §124.5
    -------
    Environmental Protection Agency
                                 §122.62
    public review.  Otherwise,  a draft per-
    mit must be prepared and other proce-
    dures in part 124  (or procedures of an
    approved State program) followed,
      (a)  Causes for modification. The  fol-
    lowing are causes for modification but
    not revocation and reissuance  of per-
    mits  except when  the  permittee  re-
    quests or agrees.
      (1) Alterations. There are material and
    substantial  alterations or additions to
    the permitted facility or activity  (in-
    cluding a change or changes in the per-
    mittee's sludge use  or  disposal prac-
    tice)   which  occurred  after  permit
    issuance which justify the  application
    of permit conditions that are different
    or absent in the existing permit.
      NOTK:  Certain  rec-onst.ruction activities
    may  cause  the  new source  provisions of
    §122,29 to be applicable,
      (2) Information. The Director  has  re-
    ceived new  information. Permits may
    be modified during their terms for this
    cause only if the  information was not,
    available   at  the   time   of  permit
    Issuance (other than revised  regula-
    tions,  guidance, or test methods)  and
    would have  justified the application of
    different permit conditions  at the time
    of issuance.  For NPDES general per-
    mits (§122.28) this cause includes any
    information  indicating  that  cumu-
    lative  effects on the environment are
    unacceptable. For  new source  or new
    discharger  NPDES  permits  §§122.21.
    122,29), this cause shall include any sig-
    nificant information derived from  ef-
    fluent    testing    required    under
    §122,21(k)(5)(vi) or §122.21  (minor  modifica-
    tions) and paragraph (ait 14) of this sec-
    tion (NPDES innovative technology),
      {5> When the permittee has filed a re-
    quest for a variance under CWA section
    301(0. 301(g).  301(h),  30I(i).  301(k>. or
    316(a) or for  "fundamentally  different
    factors"  within the  time specified in
    §122.21 or §125.27(a),
      (6) 307(a) toxics, When required to in-
    corporate an applicable 307(a) toxic ef-
    fluent standard  or  prohibition   (see
    §122.44(b)).
      (7)  Reopencr. When  requii'ed by the
    ' reopener"  conditions  in  a  permit,
    which are  established in  the  permit
    under § 122.44!b) (for CWA toxic effluent;
    limitations  and standards for sewage
    sludge   use   or  disposal,   see  also
    §122.44(c>)   or   40    CFR   §403.10(e>
    (pretreatment program).
                                         229
    

    -------
    §122.63
              40 CFR Ch. I (7-1-04 Edition)
      (8)(i) Net limits. Upon request of a per-
    mittee who qualifies for effluent limi-
    tations on a net basis under §122.45(g).
      fii) When a discharger is no longer el-
    igible for net. limitations, as  provided
    in§122.45(g)(l)(ii).
      (9) Pretreatment.  As necessary under
    40 CFR  403.8(e)  (compliance  schedule
    for development of pretreatment  pro-
    gram).
      (10) Failure to notify. Upon failure of
    an  approved  State  to  notify,  as  re-
    quired  "by  section  402(b)(3).  another
    State whose waters may be affected by
    a discharge from the approved  State,
      (11) Non-limited pollutants. When  the
    level of  discharge of  any  pollutant
    which  is not limited in the permit ex-
    ceeds the level  which can be  achieved
    by the technology-based treatment re-
    quirements appropriate  to  the  per-
    mittee under §125.3(c).
      (12) Notification levels. To establish  a
    "notification  level"  as  provided,   in
    §122.44(f).
      (13) Compliance schedules. To  modify a
    schedule of compliance to reflect  the
    time lost during construction  of an in-
    novative or alternative facility, in  the
    case of a POTW which has received  a
    grant under section 202(a)(3) of CWA for
    100% of the costs to modify or replace
    facilities  constructed with a grant for
    innovative and  alternative wastewater
    technology under  section  202(a)(2). In
    no case shall the compliance  schedule
    be modified to extend beyond an appli-
    cable CWA statutory deadline  for com-
    pliance.
      (14) For  a small  MS4. to include an
    effluent  limitation  requiring  imple-
    mentation of a minimum control meas-
    ure  or   measures  as   specified   in
    §122.34(b) when:
      (i) The permit does not include such
    measure! s) based upon  the determina-
    tion that  another  entity was respon-
    sible for  implementation of the  re-
    quirement(s): and
      (ii) The  other entity  fails to  imple-
    ment rneasure(s) that  satisfy the  re-
    quirement(s).
      (15) To  correct  technical mistakes,
    such as  errors in  calculation, or mis-
    taken  interpretations  of law  made in
    determining permit conditions,
      (16)  When  the  discharger  has  in-
    stalled the treatment technology  con-
    sidered by the permit writer in setting
    effluent limitations imposed under sec-
    tion 402(a)(l) of the CWA and has prop-
    erly operated and maintained the fa-
    cilities  but nevertheless has been un-
    able to achieve those effluent limita-
    tions, In this case, the  limitations  in
    the  modified  permit  may  reflect the
    level of  pollutant  control  actually
    achieved (but shall not  be  less strin-
    gent than  required by a subsequently
    promulgated    effluent    limitations
    guideline).
      (17) [Reserved]
      (18) Land application plans. When re-
    quired by a permit condition to incor-
    porate a land application plan for bene-
    ficial reuse of sewage sludge, to revise
    an existing land application plan, or to
    add a land  application plan.
      (b) Causes for modification or revoca-
    tion  and reissuance. The  following are
    causes to modify  or, alternatively, re-
    voke and reissue a permit:
      (1)  Cause  exists   for  termination
    under §122.64, and the Director deter-
    mines that modification or  revocation
    and reissuance is appropriate.
      (2) The Director has received notifi-
    cation (as  required in the  permit, see
    §122.41(1x3)) of a  proposed transfer  of
    the permit. A permit also may be modi-
    fied to reflect a transfer  after the effec-
    tive date  of an  automatic  transfer
    (§122.61(b)> but will not be revoked and
    reissued after the effective date of the
    transfer except upon th«  request of the
    new permittee.
    [48 FR 14153, Apr. 1. 1983. as amended at 49
    FR 25981. June 25. 1984; 49 FR 37009, Sept.  29.
    1984: 49 FR  38050, Sept. 26.  1984: 50 FR 4514,
    Jan.  31, 1985: 51 FR 20431, June 4, 1986: 51 FR
    26993, July 28. 1986: 54 FR 256, 258. Jan. 4, 1989:
    54 FR 18784,  May 2. 1989: 60 FR 33931. June 29,
    1995: 84 FR  68847, Dec. 8. 1999: 65 FR 30909,
    May 15, 2000]
    
    § 122.63 Minor  modifications   of  per-
        mits.
      Upon  the consent of  the  permittee,
    the Director may modify a permit  to
    make the corrections  or allowances for
    changes in the permitted activity list-
    ed  in this  section, without following
    the procedures of part 124. Any permit
    modification not  processed as a minor
    modification under this section must
    be made for cause and  with  part 124
    draft permit and public notice as re-
    quired in §122.62. Minor modifications
    may only:
                                         230
    

    -------
    Environmental Protection Agency
                           Pt, 122, App. A
      (a) Correct typographical errors:
      (b) Require more frequent monitoring
    or reporting by the permittee:
      t'c.t  Change an  interim  compliance
    date in a schedule of compliance, pro-
    vided the new date is not more than 120
    days after the date specified in the  ex-
    isting  permit and does not interfere
    with attainment of  the final compli-
    ance date requirement: or
      (d) Allow  for a change in ownership
    or  operational  control  of  a facility
    where  the Director determines that no
    other  change in  the permit is nec-
    essary, provided that a  written  agree-
    ment  containing  a  specific dale  for
    transfer of permit, responsibility, cov-
    erage,  and liability  between the cur-
    rent and new permittees lias been sub-
    mitted to the Director.
      (exl) Change the construction  sched-
    ule for a discharger which is  a new
    source. No such change shall affect a
    discharger's obligation to  have all pol-
    lution  control equipment installed and
    in operation prior to discharge under
    §122.29.
      (2) Delete a point source  outfall when
    the discharge from that outfall  is ter-
    minated and does not,  result  in  dis-
    charge  of pollutants from other out-
    falls except in accordance  with permit
    limits.
      (f) [Reserved]
      (gi Incorporate conditions of a  POTW
    pretreatment program  that,  has been
    approved in accordance with the proce-
    dures in 40  CFB 403.11 
    -------
    Pt.  122, App. C
               40 CFR Ch. I  (7-1-04 Edition)
    section 301
    -------
    Environmental Protection Agency
                                                                        Pt. 122, App. D
    TABLE   I— TESTING  REQUIREMENTS  FOR  OR-
      GANIC  Toxic  POLLUTANTS  BY  INDUSTRIAL
      CATEGORY  FOR  EXISTING  DISCHARGERS —
      Continued
                                              ;jA  pentachlorophenol
                                              10 A  phenol
                                              11A  2.4.6-t.fu;hlorophcnol
                            GC/MS Fraction'
      Industrial category
                     : Volatile
                   -f—•	  ••
                              Acid
    Printing and Pub-     i       -      i
      •sshing	 '-    :i       -'  \     ''      '*
    Pulp and Paper Mills  '•    -'       ••  !     '•"
    Rubber Processing ..-. ~-             ;
    Soap and Detergent
      Manufacturing 	     "-   :    '-
    Steam Eleclric Power  ,       i
      Plants	   '    -'   i    'J       *
    Textile Mills	',    :i   I    "  '     •'      -
    Timber Products     J       '•
      Processing	;       i    "  ;
    
      1 The toxic poilutants in each traction are listed in Taots il.
      2 Testing required
    
    TABLE  II-ORGANIC  Toxic  POI.MTANTS  IN
      EACH OF  FOUR FKArTioxs IN AXALY.-OM w
      GA> CHROMATOGKAJ'ii.Y MASS Sj-'BCTKi i-^Cni'V
      (GS MS)
     IV
     2V
     3V
     5V
     6V
     7V
     8V
     9V
    10V
    11V
    12V
    14V
    15V
    16V
    17V
    18V
    19V
    20V
    21V
    22V
    23V
    24V
    25V
    26V
    27V
    28V
    29V
    31V
     1A
     2A
     3A
     4A
     5A
     6A
     7A
     8A
    acrolein
    acrylonitrlle
    benzene
    Hromoform
    carbon tetrachloride
    chlorobenzene
    chlorodibromometliaiie
    chloroethane
    2-chloroethyl vinyl ether
    chlorolorrn
    dichlorohromomethane
    Ll-dichloroethane
    1.2-dichloroethane
    1 .l-dichloroethylene
    1.2-dichloropropane
    1.3-dichloropropylene
    ethylbenzene
    methyl  bromide
    methyl  chloride
    methylene chloride
    1.1.2.2-tetrachloroethane
    tetrachloroetliylene
    toluene
    1.2-trans-dichloroethylene
    1.1,1-trichloroethane
    1.1,2-trtchloroet-hane
    crichloroethylene
    vinyl chloride
    2-chlorophenol
    2.4-dichlorophenol
    2.4-dimethylphenol
    4,6-dinitro-o-cresol
    2.4-dinltrophenol
    2-nitrophenol
    4-nit.rophenol
    p-ehloro-m-eresol
    ;B
    2B
    3B
    IB
    5B
    6B
    7B
    3B
    9B
    LOB
    LIB
    12B
    13B
    11B
    15B
    16B
    17B
    18B
    19B
    20B
    21B
    22B
    23B
    24B
    25B
    26B
    27B
    28B
    29B
    30B
    31B
    32B
    33 B
    34B
    35B
    36B
    37B
    38B
    39B
    4GB
    41B
    42B
    43B
    44B
    15B
    46B
    
    IP
    2P
    3P
    •IP
    5P
    6P
    7P
    8P
    9P
    10P
    UP
    12P
    13P
    acenaphUieiif
    acena phthylene
    anthraoKne
    bensiduiK
    benzo: a lant'hnu'eiK-1
    benzoi a ipyrnne
    3.4-beiizofluorantht'ne
    benzsi s'hi tperylene
    benzoi k >fluoranthene
    biaf 2-ehloroethoxy tmethane
    bis(2-cliloroethyl let-her
    bis(2-chloroisopropyl tether
    bis (2-ethylhfxyl (phthalate
    4-bromopheuyl phenyl ether
    butylbenzyl phthalate
    2-chloronaphthalene
    4-chloi'opheiiyl phenyl ^ther
    chrysene
    dibenzo(a.bianv.hilat.ien*r
    1.2-dichlorobenzene
    1.3-dkiiiorobeii2enr-
    1,4-dirhlorobenzene
    3.3'-dich)orobenzidine
    diethyl phthalafe
    dimethyl phthalate
    di-ii-buty] phthalate
    2.4-dinitro toluene
    2,6-dinit rotolucne
    iii-n-oi",yl phthalate
    1.2-diphenylhydrazin;» i.as azoV>enzenei
    fluroranthene
    Huorene
    hexachlorobenzene
    hexachlorobutacliene
    hexachiorocyclopentadiene
    hexachioroe thane
    iudenod.2.3-cdipyi-ene
    isophorone
    napthalene
    nitrobenzene
    N-nitroHodioie.thylamine
    N-nitrosodi-ti-propylamiiie
    N-nitrosodiphenylamir.e
    phenanthrenp
    pyrene
    l,2,4-tnch!orobenzene
    r'.'tticidcs
    alclrin
    aipha-BHC
    beta-BHC
    Kanima-BHC
    delta-BHO
    chlordane
    4.4'-DDT
    4,4'-DDE
    4.4'-DDD
    dieldriri
    alpha-end os tili'an
    beta-endosulfan
    endosulf:in sulfate
                                               233
    

    -------
    Pi 122, App. D
               40 CFR Ch. I (7-1-04 Edition)
    14P  endrin
    15P  endrin aldehyde
    16P  heptaehlor
    17P  heptachlor epoxide
    18P  PCB-1242
    19P  PCB-1254
    20P  PCB-1221
    21P  PCB-1232
    22P  PCB-1248
    23P  PCB-1260
    24P  PCB-1016
    25P  toxaphene
    TABLE III—OTHER Toxic  POLLUTANTS  i MET-
      ALS AND CYAXIDE) AND TOTAL PHKXOI.S
    Antimony, Total
    Arsenic. Total
    Beryllium. Total
    Cadmium, Total
    Chromium, Total
    Copper. Total
    Lead, Total
    Mercury, Total
    Nickel, Total
    Selenium, Total
    Silver, Total
    Thallium. Total
    Zinc, Total
    Cyanide, Total
    Phenols, Total
    TABLE IV—CONVENTIONAL AND  NOXCX>.NVKX-
      TIOKAL POLLUTANTS REQUIRED To BE TKKT-
      ED BY EXISTING DISCHARGER;-, IP EX:'ECTED
      TO BE PRESENT
    Bromide
    Chlorine. Total Residual
    Color
    Fecal Coliform
    Fluoride
    Nitrate-Nitrite
    Nitrogen. Total Organic
    Oil and Grease
    Phosphorus, Total
    Radi oac ti vi ty
    Sulfate
    Sulfide
    Sulfite
    Surfactants
    Aluminum, Total
    Barium. Total
    Boron. Total
    Cobalt, Total
    Iron, Total
    Magnesium, Total
    Molybdenum, Total
    Manganese. Total
    Tin.  Total
    Titanium. Total
    TABLE V—Toxic POIJ.VTAXTS AND H.XX.AHWH'S
      SUBSTANCES REQUIRED To BE IDENTIFIED nv
      EXISTING DISCHARGERS IF EXPKCTMI) To BK
      PHESKKT
    
                  Toxic Pollutants
    Asbestos
    
               Hazcirdous Substances
    
    Acetaldehyde
    Allyl alcohol
    Allyl chloride
    Amy! acetate
    Aniline
    Benzonitrile
    Benzyl chloride
    Butyl acetate
    Butylamine
    Captan
    Carbaryl
    Carbofuran
    Carbon disulfide
    Chlorpyrifos
    Coumaphos
    Cresol
    Crotonaldehyde
    Cyclohexane
    2,4-D (2.4-Dichlorophenoxy acetic acid)
    Diazinon
    Dicamba
    Dichlobenil
    Dichlone
    2,2-Dichloropropionic acid
    Dichlorvos
    Diethyl amine
    Dimethyl amine
    Dintrobenzene
    Diquat
    Disulfoton
    Diuron
    Bpichlorohydrin
    Ethion
    Ethylene diamine
    Ethylene di bromide
    Formaldehyde
    Furfural
    Guthion
    Isoprene
    Isopropanolamine Dodecylbenzenesulfonate
    Kelthane
    Kepone
    Malathion
    Mercaptodimethur
    MethoxychJor
    Methyl mercaptan
    Methyl methacrylat*
    Methyl pai'athion
    Mevinphos
    Mexacarbate
    Monoethyl amine
    Monomethyl a.mine
    Naled
    Napthenic acid
    Kitrotoluene
    Para t hi on
    Phenolsulfanate
    Phosgene
    Propartrtte
    Propylene oxide
    Pyi'ethrins
    Quinoline
    Re.sorcinol
    Strontium
    Strychnine
    Styrene
    2.4,5-T (2.4.5-Trichlorophenoxy acetic acid)
    TDE (Tetrachlorodiphenylethanei
                                            234
    

    -------
    Environmental Protection Agency
    
    2.-1.5-TP    [2-i2.15-Trichlorophenoxy)    pro-
      panoic acid]
    Tnchlarofan
    Triethanolamine dode.e-ylbenzenpsulfon.it-'1
    Trietliylamiiie
    Tri met hy lam ine-
    Uranium
    Vanadium
    Vinyl acetate
    Xylene
    Xylenol
    Zirconium
      [Note  1:  The  Environmental Protection
    Ag'encv has suspended  the requirements  of
    §122.2Iitt'S(7KiiKA) and Table I of Appendix D
    a.s  they  apply  to  certain  industrial  cat-
    egories. The suspensions ar« as follows:
     "a. At 46 FR 2046. Jan. B.  19B1.  the Environ-
    mental Protection  Agency suspended until
    further notice §122,2i(g KTKiinA) as it, applies
    to coal mines.
      b. At. -16 FR 22585. Apr. 20, 1981.  the Environ-
    mental Protection  AK'euc.y suspended until
    further notice (;122,2l!g'}(7)(ii)iA) and the cor-
    responding  portions  of Item  V-C  of the
    NPl.'ES application Form  2c  as they apply
    to:
      1. Testing and reporting' for  all  four or-
    ganic  fractions  in the Greise  Mills  Sub-
    cat v-gury of the Textile Mills  industry (Sub-
    part C—Low water us^  processing of '10  CFR
    par' 410), and  testing' and  reporting  lor the
    pesticide fraction in ail other subcatt'Hortes
    of this industrial catetror.v.
      2 Testing and reporting for  the  voUrile.
    base neutral and  pesticide  fractions  in tht
    Base and Precious Metals Sube.iteg'ory of the
    Ore Mining  and Dressing industry (subpart B
    of 40 CFR part 4-lOi. and  testing' and reporting'
    for all four fractions  in   all other  subcut-
    eg'ories of this industrial category.
      3. Testing and reporting' for all four GO MS
    fi-actions  ;.n the Porcelain  Enameling' indus-
    try.
      c. At 46 FR 35090. July 1,  1981.  the Environ-
    mental Protection  Agency suspended until
    further notice §]22.21(g')(7xii)(A) and the cor-
    responding  portions  of Item  V-C  of ihe
    NPDE/S application Form  2c  as they apply
    to:
      1. Testing' and reporting: for the pesticide
    fraction in  the Tall Oil Rosin  Subcates'ory
    tsubpart  D)  and  Rosin-Based  Derivatives
    Subcatetrory (subpart  F;   of  the  Gum and
    Wood Chemicals industry (40  CFR pan  454).
    and testing and reporting for the pesticide
    and base aetaral fractions in all  other  sub-
    categories of this industrial category.
      2. Testing and reporting for the pesticide
    fraction  in the  Leather Tanning and  Fin-
    1 shiny. Paint and fnk  Formulation, and Pho-
    tographic Supplies industrial categories-;.
      3. Testing and reporting for the  acid, base
    neutral and pesticide fractions in  the Petro-
    leum Refining industrial category.
      i. Testing and reporting for the pesticide
    fraction in  the  Papergrade  Sulfite  s-'ubcat-
                                  Pt. 122, App. D
    
        cK'orles (snhparts J and I!) of the Pulp  and
        Paper industry <-10 CFR part 130); testing  and
        : eportiag  for the base neutral and pesticide
        iractions  in  the  following  subcateg'ories:
        Deink isabptirt Qj. Dissolving Kraft < subpart
        F). and Paperboard from Waste Paper i sub-
        pit rt  E): testing' and reporting' for the vola-
        tile,  base neutral and  pesticide fractions in
        the  following  subcateg'ories,  BCT Bleached
        Kraft (subpart  Hi. Semi-Chemical isubparus
        B  and C). and NoriintegTated-Fine  Papers
        ' subpart Ri: and testing and reporting for the
        .uric!, base neutral  and pesticide fractions in
        the  following  sui.cate.aories:  Fine Bleached
        Kraft (sut'ipart  1:,  Dissolving  Suiiite Pulp
        • subpart Ki. G-ioundwooil-Fine  Papers (sub-
        part  Oi. Market Bleached Kraft (subpart Gi.
        Tissue from Wastepaper  isubpavt  T'..  and
        Xonintegratt-d-Tissue Papers ;subpart Si.
         5.  Testing and reporting for the base-neu-
        tral  fraction in the  Once-Through  Cooling
        Water. Fly  Ash and Bottom  Ash Transport
        Water- process  wastestreains  of the  Steam
        sjlpctric Pt.wer Plant, industrial  category.
        This ttfvisiiMi continues these suspension."-.!*
         For the duration of the suspensions, there-
        !:-re. Table 1 Affectively reads.
    
        TABLE  I—TESTING  REQUIREMENTS  FOR  OR-
         GANIC Toxic POLLUTANTS BY INDUSTRY CAT-
         EGORY
                                               Pes-
        Adhesiviis and sealants
        AJutTiinum forfiHig
        4uto and other lauridrieh .
        Battery manufaclnnng  . .
        Coal mining	
        Coil coating ...
        Copper forming  	
        Bectnc and elective
         compounds
        f:!ectroplating
        Explosives manufaotunrig
        Foundries	
        Gum and *vood ial; sub-
         parts except D and F)  .
        Subpart D—!a!> o^ rosfn
        Subpaft F—rosn-bssed
         derivatives
        Inorganic chemicals manu-
         facturing ...  .      . ..
        Iron and steei manufac-
         turing 	    	
        Leather tanning and fin
         ishing	
        Mechanical products man-
         ufacturing .
        Nonferrous metals rncinu-
         fsc*unng ...
        C!re mining (appi'es to the
         base aid precious fpet-
         als/Subpart Bi
         "Editorial Not-?: The words "Thih revision"
        refer Lo  the  document  published  at 48 FR
        141.53. Apr. 1. 1983.
    235
    

    -------
    Pt. 122,  App, E
    
    TABLE  I—TESTING  REQUIREMENTS  FOR   OR-
      GANIC Toxic POLLUTANTS BY INDUSTRY  CAT-
      EGORY—Continued
                                GC.'MS fractionl
        industry category
    Organic chemicals manu-
      facturing 	
    Paint and ink formulation ,.
    Pesticides 	
    Petroleum refining 	
    Pharmaceutical prepara-
      tions  	
    Photographic equipment
      and supplies	
    Plaslic and synthetic mate-
      rials manufacturing 	
    Piastic processing 	
    Porcelain enameling	
    Printing and publishing	
    Pulp and paperDoard      ;
      mills—see footnote3 	
    Rubber processing	
    Soap and detergent manu-
      facturing 	
    Steam electric power
      plants	-	
    Textile mills (Subpart C—
      Greige Mills are exempt
      train this table) 	
    Timber products proc-
      essing 	
    
      ' Testing required.
    Vola-
     tile
     C)
     n
    C1)
                 Neu-
                 tral
                                               Pes-
                                               ticide
                         C)
                                            40 CFR Ch. I  (7-1-04 Edition)
                                 •-The pollutants in each fraction are listed in Item V-C
                                 -" Pulp and Paperboard Mills:
                                                     '       GS/MS tractions
    
                                          Suboart •'    _               Base/ .'
                                                     J  VOA    Acid .  neu-
                                                     i             '•   tral
                                                                                                  Pes-
                                                                                                 ticides
                                     , D  	
                                     ' E 	
                                      F 	
                                      G 	
                                     _ H 	
    
                                     • J	
                                      K 	
                                      L 	
                                      M 	
                                      N 	
                                      O 	
                                      P 	__	
                                      Q 	
                                     . P 	
                                     -S  	
                                      T 	:   n   -.('•)'   :'  I  (
                                      u	^.^	:   n     n   i _n  [
    
                                 ° Must lest.
                                 * Do not last unless "reason to believe" it is discharged
                                 •-Subparls are defined in 40 CFP Part 430.
                                148  FR 14153, Apr. 1.  1983, as  amended at 49
                                FR 38050,  Sept. 26.  1981: 60 FR 6940. Feb. 19.
                                1985)
              APPKMDIX E TO PART 122— RAINFALL ZONE* OF THE UNITED STATKH
      Not Shown:  Alaska (Zone 7t: Hawaii  (Zone  7r. Northern  Mariana Islands (Zone  7): Guam
    (Zone 7); American  Samoa  (Zone 7);  Trust Territory of the Pacific Islands (Zone 7): Puerto
    Rico {Zone 3} Virgin Islands (Zone 3).
                                                   236
    

    -------
    Environmental Protection Agency
                                                              Pt. 122,  App, G
      i."i>i,'f(.<'' Methodology lor Analysis of Detention  Basins (ur Cyiitrol •:>( Urlmu Runoff Quality.
    prepared for U.S. Environmental Protection Aeency.  Oiiici-:  of Wjuer.  Nonpoint Souice Divi-
    si on. \Vashinglon. DC, 158ft.
    [55 PR 48073. Nov. 16. 1990]
       FKNDix   P  TO   PART  122-   INCUR-
         PORATKI) FLACKS  WITH POPULATION'S
         GHKATER  THAN  250.000  ACCORDING
         TO  THE  1990  DKC'KN'XiAL  CKNM/S  BY
         THE BKHKAT OF THI: CKX.ST.H
              State
    Alabama
    Arizona
    California
    Colorado  	
    District of Columbia..
    Fiorda  	
    Georgia	
    Illinois	
    Indiana 	
    Kansas 	
    Kentucky 	
    Louisiana 	
    Maryland 	
    Massachusetts
    Michigan  	
    Minnesota . . , .
    
    Missouri 	
    
    Nebraska	
    New Jersey	
    New Mexico  ...
    Naw York	
    North Carolina
    Ohio	
    CMahoma 	
    
    Oregon  	
    Pennsylvania  .
    
    Tennessee . . ..
    
    Texas  	
    Virginia  	
    
    Washington 	
    Wisconsin 	
           inoorpo'ated Plact
    
     . Birmingham.
    . • Phoenix.
      Tucson
      Long Beach
      Los Argeles
     . Oakland.
     •• Sacramento.
     ' San Diego.
      San Francisco.
      San Jose
      Denver.
    
    .  Jacksonville.
     ; Miami.
      Tampa.
    . • Atlanta
    . : Chicago.
     '• Indianapolis
    . ; Wichita.
    . i Louisville.
    .  New Orleans
    . . Baltimore.
     ; Boston.
    . , Detroit.
    . i Minneapolis.
      St Paul.
     • Kansas City
     ; St. Louis.
    .  Omaha.
     ; Newark.
    . j Albuquerque.
    . ! Buffalo.
     I Bronx Borough
     ! Brooklyn Borough.
     ' Manhattan Borough
     ; Queens Borough
     i Slaten island Borough.
     j Charlotte.
    . ' Cincinnati.
     ; Cleveland.
      Columbus.
      Toledo.
     ' Oklahoma  City.
     I Tulsa.
    . ! Portland.
    . j Philadelphia
      Pittsburgh
      Memphis
     [ Nashviile.-'Davidson.
    . : Austin.
     I Dailas.
     ! E! Paso.
     ' Fort Worth
     ; Houston
     - San Antonic.
      Non'olk.
     ! Virginia Beach.
     1 Seattle.
    ;')-! FK 68U--57.  Dec. 8, 1999. aB ymenuecl  it*  67
    V'Pv 17152. July 17. 2002!
    
    APPKXIHX    O   TO   PART    l2U--I\(.'un-
         !'ttH,ATr,i) I'l.AC'KS WlTf! P(>l'l'j.ATI(iX^
         Gui-..-\T!-:(-;  THAX   100.000  Err  LKSS
         THAN  250.000 ACOOHDIXG TO IHK 1990
         DKC/KXNI.AI,  CKNsrs  BY  THK  BI/KVA'
                                                       Alabama
                                                        Alaska  .
                                                        Arizona .
                                                       Colorado
                                                       Connecticut .
                                                        Florida
    Georgia
                                                        Idaho .
                                                        Illinois
                                                       Indiana 	
     Mobile.
    
     Anchooge.
     Mesa
    
     Little Rock
     Anaheim.
    ' BaKersfieid.
     Berkeley.
     Chula Vista
     Concord.
     El Monte.
     Escondido
     Fremont.
     Fresno
     Fullertor.
     Garden Grove.
     Gtendaie.
     Hayward
     Huntington Beacii.
     Inglewood.
     Irvine.
     Modesto.
     Moreno VaHey.
     Oceanside
     Ontario.
     Orange.
     Aurora.
     Colorado Springs
     Lakewood.
    i Pueblo,
    I Bridgeport.
    ': Hartford,
     New Haven-
     Stamford,
    • Waterbury.
    i Fort Lauderdale.
    ! Hialeah,
    i Hollywood
    : Orlando,
     31. PeEeisburg
     Tallahassee.
     Columbus
     Macun
    i Savannah
    : Boise City
     Peoria.
     Rocktord
    
     Fort Wayne
     Gary
     South Sertd.
     Cedar Rapids.
     Davenport.
                                                    237
    

    -------
    Pt.  122, App. H
                                          40 CFR Ch. I  (7-1-04 Edition)
    Massachusetts
    
    Michigan  	
    Mississippi ..
    Missouri .  ...
    
    Nebraska ..
    Nevada 	
    
    New Jersey
    New York
    North Carolina
    Oregon 	
    Pennsylvania ..
    
    Rhode Island ,
    Soulh Carolina
    Tennessee 	
    
    Texas 	
    Utah ....
    Virginia
    Washington
    
    Wisconsin
     Des Meines,
     Kansas City.
     TopeKa.
    • Lexington Favett
    j Baton Rouge,
    | Shrevepon
     Springfield.
     Worcester
     Ann Arbor.
    ! flint.
    ] Grand Rapids
    I Lansing.
     Livonia.
     Sterling Heights
    I Warren.
    I Jackson.
    ! Independence
     Springfield.
     Lincoln.
    I Las Vegas
    ; Reno,
    \ Elizabeth.
     Jersey City.
     Paferson.
    I Albany.
    I Rochester
    j Syracuse.
    '. Yonkers.
     Durham.
    ; Greensboro.
    ! Raleigh.
     Winston-Salem.
     Akror.
     Dayton.
     Youngstown.
     Eugene.
     Allentown
     Erie.
     Proyidence.
     Coiumbia.
     Chattanooga.
     Knoxviile.
    i Abilene.
    | Amaniio
    ' Arlington.
    , Beaumont.
    i Corpus Christ!.
     GarianG.
     Irving.
     Laredo.
     LuDbock.
     Mesquue.
     Pasadena.
     Piano.
     Waco.
    1 Salt Lake City.
    : Alexandria.
    ; Chesapeake.
    i Hampton.
    J Newport News.
    I Portsmouth
    I Richmond.
    • PoanoKe.
    ' Spokane.
     Taeoma.
     Madison.
                                                        t'KNhix  H   TO   PAKT   122—Cor.vnr.s
                                                         v.Ti'H   UNiNC'oju'ouATKri  UHBAMZKD
                                                         AKKA.-   WITH    A   POPIT.ATIOX   OF
                                                         250.000  OK  MORE ACCORDING TO THE
                                                         1990  DF.CKXXiAL CKXHl'H  BY THE Bl"-
                                                         HKAT OF THE
    
    State
    California 	
    Delaware . .. . , .......
    Florida . , ,-.. ..........
    Georgia . , 	
    Hawaii 	
    Marvfand 	 	
    Uninoo
    
    CG"ntv • P°ra'en ur"
    u * i banized pop-
    ; ulation
    Los Angeles , 	 886 780
    Sacramento 	 594.889
    San Diego 	 	 	 • 250,414
    Newcastle 	 '• 298.996
    Dade 	 • 1,014.504
    DeKalb 	 448.686
    Honolulu1 	 114
    506
    Anne Arundel 	 344. 65^
    Baltimore ,,,,...,, 	 i 527,593
    Texas
    Utah 	 	 	
    Virginia 	
    Washington 	
    Montgomery 	 •. 599,028
    Prince George's 	 ! 494,369
    Harris 	 72Q.206
    Salt Lake 	 270. 98S
    Fairfax 	 ; 760
    730
    King 	 | 520,468
      'County was previously listed in this appendix, however,
    population dropped to Below 250,000 in the 1990 Census.
    
    [64 FR 68848, Deo. 8, 19991
    
    APPENDIX  I  TO  PART  122—COCNTIES
        WITH  UNINCORPORATED  URBANIZED
        AREAS  GREATER THAN  100.000.  BUT
        LESS THAN  250,000  ACCORDING  TO
        THE 1990 DECENNIAL CENSUS  BY THE
        BrUKAL" OF  THE CENSUS
    [64 PR 68848. Dec. 8, 19991
    
    State
    
    	 ....
    Alabama ....
    Arizona 	 	
    California 	 , .....
    
    
    
    
    
    Colorado 	
    Florida 	 	
    
    
    
    
    
    
    
    
    
    
    
    Georgia 	
    
    
    
    
    Kentucky 	
    Louisiana 	
    
    Unincor-
    roiintv porated ur-
    uounty baoized pop-
    ulation
    	 	 	 i 	 	
    Jefferson 	 ' 78,608
    Pima 	 162.202
    Alameda 	 115,082
    Contra Costa 	 131,082
    Kern 	 : 128,503
    Orange 	 : 223.081
    Riverside 	 . 166,509
    San Bernardino 	 : 1S2.202
    Arapahoe 	 103.248
    Broward 	 	 • 142,329
    Escambia 	 	 i 167.463
    Hillsborough 	 | 398,593
    Lee 	 i 102,337
    Manatee 	 ; 123.828
    Orange 	 : 378,611
    Palm Beach 	 ' 360,553
    Paso 	 148,907
    Pinellas 	 ; 255,772
    Polk 	 '-• 121,528
    Sarasota 	 ; 172,600
    Seminole 	 127,873
    Clayton 	 133,237
    Cobb 	 322.595
    Fulton 	 I 127,776
    Gwinneft 	 j 237,305
    Richmond 	 	 	 ! 126.476
    Jefferson 	 239.430
    East Baton Rouge .. 102,539
    Parish 	 331.307
                                                 238
    

    -------
    Environmental Protection Agency
                              Pf. 122, App. J
    
    State
    Maryand 	
    North Carolina
    Nevada 	
    Oregon 	
    
    South Carolina
    
    Virginia 	
    
    
    
    Washington .
    
    ° County was
    I
    i County
    i Jefferson Parish 	
    	 j Howard 	
    	 	 i Cumberland 	
    	 I Clark 	
    	 | Multnomah ' 	
    | Washington 	
    	 : Greenville 	
    flichland 	
    . . . ; Arlington 	
    • Chesterfield 	
    j Henrico 	
    i Prince William 	
    	 | Pierce 	 	 ...
    j Snohomisn 	
    Unincor-
    porated ur-
    banized pop-
    157.972
    146.827
    327,618
    52,923
    116.687
    147.464
    130.589
    170.936
    174.488
    201.367
    157.131
    258,530
    157.2)8
    previously listed in this appendix: however.
    population dropped to below 100,000 in the f990 Census.
    164 FR 68849, Dec. 8, 1999]
    
    APPENDIX J TO PART 122—NPDES PKH-
        MIT   TESTING   REQUIREMENTS  FOR
        PUBLICLY     Owxro    TREATMENT
        WORKS (§i22.2K.m
    
     TABLE 1A— EFFU-F.NT PARAMETERS FOH ALL
                     POTWS
    
    Biochemical  oxygen  demand  (BOD -5  or
      CBOD-5)
    Fecal coliform
    Design Flow Rate
    pH
    Temperature
    Total suspended solids
    
    TABLK i—EFFT.THNT  PARAMETER!-:  KOK ALT.
      POTWS WITH A Fi.o\v EQUAL TO OK GREAT-
      ER THAX 0.1 MGD
    Ammonia (as N)
    Chlorine (total residual. TRC)
    Dissolved oxyg-en
    Nitrate-'Nitrlte
    Kjeldahl nitrogen
    Oil and grease
    Phosphorus
    Total dissolved solids
    
        TABLE 2—EFFLUENT PARAMETERS FOR
                 SELF.CTED POTWS
    Hardness
    Metals (total recoverable/,  cyanide  and total
      •phcnts'is
    Antimony
    Arsenic
    Beryllium
    Cadmium
    Chromium
    Copper
    Lead
    Mercury
    Nickel
    Selenium
    Silver
    Thallium
    Zinc
    Cyanide
    Total phenolic compounds
    Volatile organic compound?
    Aerolein
    Acrylonitrile
    Benzene
    Bromoforrn
    Carbon tetrachloride
    Chlorobeniwne
    C'hlorodibroaiome thane
    Chloroe thane
    2-chloroethylvinvi ether
    Chloroform
    Uichlorobromomet.hsJ.ne
    1.1-dichloi'oe thane
    1 .2-dic-hloroethane
    Trans-1.2-diohloroethylene
    1 .1-dic'hloroethylene
    1.2-diohloi'opropane
    1 .3-dichloropi'opvlene
    Ethylbenzene
    Methyl bromide
    Methyl chloride
    Methyleue chloride
    1.1, 2,2- tetrachloroe thane
    Tetrachloroethylene
    Toluene
    l.l.l-trichloi-oe thane
    1.1.2-trichloi'oethane
    Trich.loroethj'lene
    Vinyl chloride
    Acid-extruotalili*. compounds
    P-chloro-m-creso
    2-chlorophenol
    2.4-dichlorophennl
    2. 4-dimethyl phenol
    •1,6-dinitro-o-cresol
    2.4-diiiitrophenol
    2-nitrophenol
    4-nitrophenol
    Pentachlorophenol
    Phenol
    2.4,6- trichlorophenol
    Base-neutral compounds
    Acenaphthene
    Acenaphthylene
    Anthracene
    Benzidine
    Benzol a !antlirac:ene
    Benzo(a)pyrene
    3.4 benzofluovanthene
    Benzo(ghi)perylene
    Benzo(k)iluoranth.ene
    Bis (2-chloroethoxyi methane
    Bis (2-chloroet.hyl) ether
    Bis (2-chloroisopropyl) ether
    Bis (2-ethylhexyl) phthalate
    4-bromophPnyl phenyl ether
    Butyl benzj'l phthalate
    2-chloronaphthalene
    4-chlorophen.vl phenyl ether
    Di-n-butyl phthalate
    Di-n-octyl phthalate
    Dibenzo(,a.h (anthracene
    1,2-dichlorobenzene
                                             239
    

    -------
    Pt. 123
              40 CFR Ch. 1 (7-1-04 Edition)
    1.3-dichlorobenzene
    1.4-dichlorobenzene
    3.3-dicmorotoenzidine
    Diethyl phthalate
    Dimethyl phthalate
    2,4-dinitrotoluene
    2.6-dinitrotoluene
    1,2-diphenylhydrazine
    Fluoranthene
    Bluorene
    Bexachlorobenzene
    Hexachlorobutadiene
    Hexacalorocyelo-pentadieiie
    Hexaehloroethane
    Indeno(,l,2,3-cd)pyrene
    Isophorone
    Naphthalene
    Nitrobenzene
    N-nitrosodi-n-propylamine
    N-nitrosodimetnylamine
    N-nitrosodiphenylamine
    Phenanthrene
    Pyrene
    1.2.4,-triohlorobenzene
    [65 PR 42469, Aug. 4,
    
        PART 123—STATE PROGRAM
                REQUIREMENTS
    
               Subpart A—General
    
    Sec.
    123.1  Purpose and scope.
    123.2  Definitions.
    123,3  Coordination with other programs.
    
      Subpart B—State Program Submissions
    
    123.21  Elements of a program submission.
    123.22  Program description.
    123.23  Attorney General's statement.
    123.24  Memorandum of Agreement with the
        Regional Administrator.
    123.25  Requirements for permitting,
    123.26  Requirements for compliance evalua-
        tion programs,
    123.27  Requirements  for  enforcement  au-
        thority,
    123.28  Control of disposal of pollutants into
        wells.
    123.29  Prohibition.
    123.30  Judicial  review of approval or  denial
        of permits.
    123.31  Requirements for eligibility of  Indian
        Tribes.
    123.32  Request  by an Indian Tribe for a de-
        termination of eligibility.
    123.33  Procedures for  processing an  Indian
        Tribe's application.
    123.34  Provisions for  Tribal criminal  en-
        forcement authority.
    123.35  As the NPDES Permitting Authority
        for regulated small MS4s.  what  is my
        role?
    123.36 Establishment, of technical standards
       for concentrated  animal  feeding' oper-
       ations.
    
      Subpart C—Transfer of Information and
                 Permit Review
    
    123.41 Sharing of information.
    123,42 Receipt and use  of Federal informa-
       tion.
    123.43 Transmission of information to EPA.
    123,44 EPA  review  of and  objections  to
       State permits,
    123.45 Noncompliance and program  report-
       ing by the Director.
    123.46 Individual control strategies.
    
     Subpart D—Program Approval, Revision,
                 and Withdrawal
    
    123,61 Approval process.
    123.62 Procedures  for revision of  State pro-
       grams.
    123.63 Criteria for withdrawal of  State pro-
       grams.
    128.64 Procedures  for withdrawal of State
       programs.
      AUTHORITY: Clean Water Act. 33 U.S.C. 1251
    L'l HCij.
      SOURCE: 48  PR 14178,  Apr.  1, 1983, unless
    otherwise noted.
    
             Subpart A—General
    
    § 123.1  Purpose and scope.
      (a) This part specifies the procedures
    EPA will follow in approving, revising,
    and  withdrawing  State programs and
    the requirements State programs must
    meet to be  approved  by the  Adminis-
    trator under sections 318, 402. and 405(a)
    (National  Pollutant  Discharge Elimi-
    nation  System—NPDES)  of the CWA.
    This part  also specifies the procedures
    EPA will follow in approving, revising,
    and  withdrawing State programs under
    section 405{f) (sludge management pro-
    grams)  of the CWA. The requirements
    that a   State sewage sludge  manage-
    ment program must meet for approval
    by  the  Administrator  under  section
    405(f) are set out at 40 CFR part 501.
      (b) These  regulations  are  promul-
    gated under the authority of sections
    304d), 101(e), 405. and 518(e) of the CWA,
    and   implement  the  requirements  of
    those sections.
      
    -------
    Environmental Protection Agency
                                  §123.1
    State NPDES program will not be ap-
    proved by the Administrator under sec-
    tion 402 of CWA unless it has authority
    to control the discharges specified in
    sections 318 and 405(a) of CWA. Permit
    programs  under sections 318 and 405(a)
    will  not be  approved independent of a
    section 402 program.
      (d)(H Upon approval  of a State pro-
    gram, the Administrator shall suspend
    the  issuance  of Federal  permits for
    those activities subject to the  approved
    State program. After program approval
    EPA shall retain jurisdiction  over any
    permits  (including general  permits)
    which  it  has  issued  unless  arrange-
    ments have been made with the State
    in the Memorandum of Agreement for
    the State to assume responsibility for
    these permits   Retention of  jurisdic-
    tion shall  include the processing of any
    permit appeals, modification  requests.
    or variance requests; the conduct, of in-
    spections, and the receipt and  review of
    self-monitoring reports. If any  permit
    appeal,  modification request  or  vari-
    ance  request  is not  finally  resolved
    when the federally issued  permit ex-
    pires, EPA  may, with  the  consent of
    the State, retain jurisdiction  until the
    matter is resolved.
      (2) The  procedures  outlined  in the
    preceding  paragraph 
    -------
    §123.2
              40 CFR Ch.! (7-1-04 Edition)
    treatment  works,  these  permits are not
    NPDES permits.
    [48 PR  14178. Apr. 1. 1983.  as amended at  54
    FR 256, Jan, 4. 1989; 54 FR  18784. May 2. 1989:
    58 PR 67981. Dec. 22, 1993; 59 FR 64343. Dec. 14,
    1994; 63  FR 45122. Aug. 24. 1998]
    
    8 123.2   Definitions.
      The  definitions  in part 122 apply to
    all subparts of this part,
    [63 PR 45122, Aug. 24.
    
    § 123.3   Coordination with  other  pro-
       grams.
      Issuance  of State permits under this
    part may be coordinated with issuance
    of RCBAr UIC, NPDES.  and 404 permits
    whether they  are controlled by the
    State.  EPA.  or the Corps of Engineers.
    See §124.4.
    
         Subpart B—State Program
                 Submissions
    
    § 123,21  Elements of a program  sub-
       mission.
      (a) Any  State that seeks to  admin-
    ister a program under  this part shall
    submit to  the Administrator at least
    three copies of a program  submission.
    The  submission shall contain the fol-
    lowing:
      (1) A letter from the  Governor of the
    State (or in the case of an Indian Tribe
    in accordance with §123.33(b).  the Trib-
    al authority exercising'  powers substan-
    tially  similar to those  of a State Gov-
    ernor)  requesting program approval;
      (2) A complete program description.
    as required by §123.22,  describing how
    the State  intends to carry out  its re-
    sponsibilities under this part;
      (3) An Attorney General's statement
    as required "by §123.23;
      (4)  A  Memorandum  of  Agreement
    with the Regional Administrator as re-
    quired by § 123.24;
      (5) Copies of all applicable State stat-
    utes and regulations,  including those
    governing  State administrative  proce-
    dures;
      (b)
    -------
    Environmental Protection Agency
                                  §123,23
    dedicated to administering the Feder-
    ally required portion of the program.
      (1) A description of the State agency
    staff who will carry out the State pro-
    gram,  including the number, occupa-
    tions,  and general  duties of  the em-
    ployees.  The State need not submit
    complete job descriptions for every em-
    ployee carrying out the State program.
      12) An itemization of the estimated
    costs of establishing and administering
    the program  for  the  first two  years
    after  approval, including cost of  the
    personnel listed in  paragraph (bxl) of
    this section,  cost  of administrative
    support, and cost  of technical support.
      (3) An  itemization of the sources- and
    amounts of funding-, including an esti-
    mate of Federal grant money, available
    to the  State Director for the first two
    years after approval to meet the  costs
    listed  in paragraph (b><2) of this sec-
    tion,  identifying'  any  restrictions  or
    limitations upon this funding'.
      
    that the laws of the State, or an inter--
    state  compact,  provide  adequate  au-
    thority to carry out the program  de-
    scribed under §123.22 and to  meet  the
    requirements of  this part.  This state-
    ment shall include citations to the spe-
    cific statutes,  administrative  regula-
    tions, and, where appropriate, judicial
    decisions  which demonstrate adequate
    authority.  State statutes and  regula-
    tions cited by the State Attorney Gen-
    era) or independent legal counsel shall
    be in  the  form of lawfully adopted
    State statutes and regulations at  the
    time the statement is signed  and  shall
    be fully effective by the time the pro-
    gram is approved. To qualify  as "inde-
    pendent  legal  counsel"  the  attorney
    •signing" the statement, required by this
    section must have  full  authority to
    independently   represent-   the  State
    agency  in -court on  ail  matters  per-
    taining to the state program.
     NOTK. EPA will supply States ivuh an At-
    torney  General's  statement, format  on re-
    quest.
      (b) If a State (which is not  an Indian
    Tribe)  seeks authority over  activities
    on Indian  lands,  the  statement  shall
    contain an appropriate analysis of  the
    state's authority.
      (ci The Attorney General's statement
    shall certify that the  State has ade-
    quate lea:a' authority  to  issue and  en-
    force general permits if the  State seeks
    to implement the general permit  pro-
    gram under §122.28.
    
    (48 FR 14178, Apr. 1. 1983.  as amended at 58
    PR 67981. TJer 22  i'»3!
                                         243
    

    -------
    §123.24
              40 CFR Ch. I (7-1-04 Edition)
    § 123.24 Memorandum  of  Agreement
       with the Regional Administrator.
      (a.) Any State that seeks to admin-
    ister a program under  this part shall
    submit a  Memorandum of Agreement,
    The Memorandum of Agreement shall
    be executed by the State Director  and
    the Regional  Administrator and shall
    become effective when approved by the
    Administrator. In  addition  to meeting
    the requirements  of paragraph !b) of
    this   section,  the  Memorandum  of
    Agreement  may include  other  terms,
    conditions,  or agreements consistent
    with this  part and relevant to the ad-
    ministration  and  enforcement  of  the
    State's regulatory program.  The  Ad-
    ministrator  shall  not  approve   any
    Memorandum of Agreement which con-
    tains  provisions which restrict KPA's
    statutory oversight responsibility.
      (b) The Memorandum of  Agreement
    shall include the following;
      (l)(i) Provisions for the prompt trans-
    fer from EPA to the State of pending
    permit applications  and any other in-
    formation  relevant  to  program oper-
    ation  not already  in the  possession of
    the State Director (e.g.,  support files
    for permit  issuance,  compliance  re-
    ports,  etc.).  If  existing  permits  are
    transferred  from EPA to  the State for
    administration,  the  Memorandum of
    Agreement  shall  contain  provisions
    specifying a procedure for transferring
    the administration of these permits. If
    a State lacks the authority to directly
    administer permits issued by  the Fed-
    eral government,  a  procedure may be
    established  to transfer responsibility
    for these permits.
      NOTE: For example. EPA and the State and
    the permittee could agree that  the State
    would issue a permit(s) identical to the out-
    standing' Federal permit whiuh would simul-
    taneously be terminated.
      lii) Where a State has  been author-
    ized by EPA to issue permits in accord-
    ance with §123.23(b)  on  the  Federal In-
    dian reservation of the  Indian Tribe
    seeking program  approval, provisions
    describing how the transfer of pending
    permit applications, permits, and  any
    other information relevant  to the  pro-
    gram operation not alivady in the  pos-
    session of  the Indian  Tribe  (support
    files for permit issuance,  compliance
    reports, etc.) will be accomplished.
      (2) Provisions specifying classes and
    categories of permit applications, draft
    permits, and proposed permits that the
    State will send to the Regional Admin-
    istrator  for  review,  comment  and.
    where applicable, objection.
      (3)  Provisions specifying  the  fre-
    quency  and  content of reports,  docu-
    ments 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 en-
    forcement  of the  approved program.
    State reports may be combined  with
    grant reports where appropriate. These
    procedures  shall  implement  the  re-
    quirements of §123,43,
      (4) Provisions on  the State's compli-
    ance monitoring and enforcement pro-
    gram, including:
      (i)  Provisions  for coordination  of
    compliance   monitoring  activities by
    the  State  and  by  EPA.  These  may
    specify the basis on which the Regional
    Administrator  will select  facilities  or
    activities within the State for EPA in-
    spection. The Regional Administrator
    will normally notify the State at least
    7 days before any such inspection; and
      (ii) Procedures to assure coordination
    of enforcement activities.
      (5) When appropriate,  provisions for
    joint  processing of  permits  by  the
    State and EPA for facilities or activi-
    ties  which require  permits from  both
    EPA and the State  under different pro-
    grams. (See §124.4.)
      NOTE: To promote efficiency and to avoid
    duplication and inconsistency. States are en-
    couraged  to   enter  into  joint processing'
    agreements with EPA for permit  issuance.
    Likewise, States are encouraged (but not re-
    quired) to consider steps to  coordinate or
    consolidate their own permit  programs and
    activities.
      (6) Provisions for modification of the
    Memorandum of Agreement in accord-
    ance with this part.
      ic) The Memorandum of Agreement.
    the  annual  program  grant  and  the
    State/KPA  Agreement should  be  con-
    sistent. If the  State/EPA  Agreement
    indicates that a change is needed in the
    Memorandum of Agreement, the Mem-
    orandum of Agreement may be amend-
    ed through the procedures set  forth in
    this part.  The  State/EPA  Agreement
    may not override the Memorandum of
    Agreement.
                                         244
    

    -------
    Environmental Protection Agency
                                  §123,25
      NoTi:: Detailed prog-nun priori ties am! «pe-
    'rific  arrangements for EPA support  of tlw
    State program will change and are therefore
    wore appropriately negotiated  in the s on-
    text- of annual agreements rather than i:i the
    MOA. However, it may still be appropriate to
    specify  in the MOA  the basis foe such de-
    tailed agreements. K.K..  a provision  in. the
    MOA specifying- that EPA will select facili-
    ties in the State for inspection annual!" a.s
    part oi' the State EPA agreement.
      (d) The Memorandum of Agreement
    shall also specify the extent to which
    EPA will waive its right to review, ob-
    ject  to. or comment upon State-issuer!
    permits  under sect-ion 402(d)(3>.  Whenever  a waiver  is granted
    under paragraph (d) of this section, the
    Memorandum of Agreement shall con-
    tain:
      (1) A statement that  the Regional
    Administrator retains the right  to ter-
    minate the waiver as  to future permit
    actions,  in whole  or  in  part,  at any
    time  by  sending  the State  Director
    written notice of termination; and
    ! 58 FR 14178. Apr. 1. l!h>3: 50 FR 6941. Feb. 13.
    ifi«5. as ameudeJ at 51 FK 18784. May 2. 19B9:
    :,8 FK 67981 !)fc J2, 11B3; 63 PR 45122. Aug. 24.
    1998;
    
    § 123,25  Requirements for permitting,
      sa'i  All .State  Programs under  this
    i>art must have legal  authority to  im-
    plement each of  the following provi-
    sions  and muse hi1 administered in con-
    t'ormance with each, except that States
    are not precluded  from  omitting  or
    modifying any  provisions  to  impose
    more  stringent; requirements:
      (1)§ 122.4-'•( Prohibitions):
      (2)§122.5ia.)  and  (b)—(Effect  of  per-
    mit):
      (,3)§122.7(b) and ic)—(Confidential in-
    formation):
      (4)§122,21  •  (Applicable  permit condi-
    tions) (Indian Tribes  can satisfy  en-
    forcement  authority   requirements
    under §123.34);
      (13)§122.42—(Conditions applicable to
    specified categories of permits);
      i: 14) § 122.43	-(Establishing     permit
    conditions):
      (15) § 122.44--( Establishing    NPDES
    permit conditions);
      (16)§ 122.45 -(Calculating' permit  con-
    ditions);
      (17) §122.46—(Duration):
      (18)§ 122.47- -(Schedules of compli-
    ance):
      (19) § 122.48- - (Monitoring     require-
    ments):
      (20)§122.50-(Disposal into wells);
      (21)§ 122.61—(Permit transfer):
      (22) § 122.62—(Permit modification):
      (23) § 122.64	(Permit termination):
                                         245
    

    -------
    §123.2S
              40 CFR Cix I  (7-1-04 EdiHon)
      (25>§124,5  ;ai.  «;•>.  i.  and •. 0
    f i cation of permits i:
      (26)§12-16  (as.  (ci.  id),  and .  (d). and  it>>--( Public-
    notice):
      (29)§124,11—(Public comments and re-
    quests for healings);
      (30)§124.12(a)—(Public  hearing's): and
      (31)§124.17 (a) and H- requirement
    nior" lenient us a Tradeoff  for making an-
    C'ttoer reQulrtmwit more t-'friiiM'en': tor exam-
    ple, iiy requiring that public liearin.*s be held
    prior to  issuing' any permit while reducing
    the amount of advance notice oi such a heur-
    inx.
      Ss.at'..- programs may, if they have adequate
    iet'aJ authority, implement any of the provi-
    sions of  parts 122  and 124. See.  for example.
    §i22.5(d)  (continuation of permits! and §124.4
    i consolidation of permit processing,1.
      For  example, a State may  impose  more
    stringent requirements in an NPDES pro-
    gram  by omitting1  the  upset  provision of
    §122.41 or by requiring1 more prompt notice of
    aii upset.
      (b) State NPDES programs shall  have
    an approved continuing planning proc-
    ess under 40 CPR  130.5 and  shall assure
    that the approved planning process is
    at all times consistent with the CWA.
      cc) State  NPDES programs  shall en-
    sure that any board or body which ap-
    proves all or  portions of permits shall
    not include as  a member  any person
    who receives, or  has during  the pre-
    vious 2  years received,  a  significant
    portion of income directly or indirectly
    from permit holders or applicants  for a
    permit.
      (1)  For the purposes  of  this  para-
    graph:
      (i) Board  or body includes any  indi-
    vidual,  including the Director, who has
    cr shares authority  to approve all  or
    portions of permits either in the first
    instance, as modified or reissued, or on
    appeal.
      (ii) Significant portion of income means
    10 percent or more of gross personal in-
    come for a calendar year, except that it
    means 50 percent  or more of gross per-
    sonal income  for a calendar year if the
    recipient is over 60 years of age and is
    receiving that  portion  under  retire-
    ment, pension, or similar arrangement.
      (iii) Permit holders  or applicants  for a
    permit does  not include any department
    or agency of a State government,  such
    as a Department of Parks or a Depart-
    ment of Fish and Wildlife.
      (iv) Income includes retirement bene-
    fits, consultant  fees, and  stock  divi-
    dends.
      (2) For the  purposes of paragraph 
    -------
    Environmental Protection Agency
                                   §123,26
    Vfii niems I'OI  VYhii'h me rt:ci:>Vnt  dOi'S
    ,i(/i  c;:-ow the Klcntiiv of the ['>r!:;:.i:\
    -curcr-i of Hiconv,
    
    1 18 >H  i )]'.'•!. Anr. !. ia«3;  :>M PR t.-U'. }>>••;•  if).
    lyR5: ;'.() b'H 7912. i'eh. .JT. l;!i;fi. ah ,irr;i-':i:i",i at
    VI FH JM78I. May 2. 198»: -i.r; FR 48075 N--". !t>.
    1990. ;•'•;; FH 9411. Pel-  !9.  l'J'13: 5R l-'K «iT981.
    De-,-. i;'J. 19l«: 60 FH IfiSBfi.  Mar. 23. Wo: '•"! FR
    |:>I22. AUK J-l. !9U«: 6-1 PR 4J370.  Ant;, -i I&99;
    «4 FR '3H84y. Dee. «. IOSW: G;> KK 30909. .\;.iv 15.
    2000: («: FK 3!i8. Per IS. 1M)1 i
    
    S 123.26  Requirements  for compliance
        evaluation programs.
      (a i State programs shall have pi ore-
    (iui'os for receipt, evaluation, return.ion
    asK( investigation  for possible en!i>rce-
    metil  of all  notice.-;  and report.-,  re-
    quireil of permittees  and other  I'pyu-
    lat,ed persons land ftu  investigation for
    possible  enforcement, of failure- TO sub-
    mit, these notices and reports:.
      (bi Htate programs shall have inspr-c-
    t.ion and surveiilanoe procedures to cle-
    termine.  independent   of  information
    supplied by regulated  persons, compli-
    ance or noncomplianee with applii.-ablo
    program requireme-nls. The State shall
    maintain'
      (I)  A  program  which it> capabie  of
    making  comprehensive  surveys  of all
    facilities and activities  subject to  the
    State  Director's authority to identify
    persons subject to regulation woo have
    failed  to comply with permit applica-
    tion or  other  prouram requirements.
    Any compilation, index or invem.ory of
    such facilities  and activities  shall be
    made available to the Regional Admin-
    istrator upon request,;
      i2) A program for periodic inspections
    of the facilities and activities subject-
    to regulation, These inspections  .shall
    be conducted in a  manner designed to:
      (ii  Determine  compliance  or  non-
    compliance with