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                                                             U.S. EPA Headquarters Library
                                                                  Mail code 3201
                                                             1200 Pennsylvania Avenue NW
                                                               Washington DC 20460
                         PROSPECTS FOR REDUCING THE BACKLOG



                OF  EXPIRED MAJOR PERMITS IN NPDES-APPROVED STATES
                   U.S. Environmental Protection Agency


                        sree  -.W.                       "" Evaluation Division
                                 ..
                   Washington,  DC   20460               Office of Management Systems
                                                         and Evaluation

                                                     October 1984
                                                           —li a •

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                               -N> 1 —
BACKGROUND AND  PURPOSE OF THE PROJECT
        THE PROBLEM IS PERMIT ISSUANCE  RATES  HAVE NOT KEPT
        PACE WITH  PERMIT EXPIRATION RATES  IN  THE LAST FEW
        YEARS  AND  A LARGE NUMBER OF EXPIRED PERMITS HAVE
        ACCUMULATED IN THE NPDES STATES.
        IN ORDER TO RE-ISSUE THESE PERMITS,  STATES MUST
        MODIFY  THEM TO REQUIRE BAT/BCT AND  ADEQUATE PROTECTION
        OF WATER QUALITY.
        THE  BACKLOG,  AS DEFINED BY EPA,  CONSISTS OF PERMITS
        FOR  MAJOR FACILITIES IN NPDES-APPROVED STATES THAT
        ARE  EXPIRED NOW PLUS THOSE THAT WILL EXPIRE DURING FY'85,
        PROJECT  PHASE I:  ASSESSMENT  OF  PROBLEMS AND PROSPECTS
        FOR  ELIMINATING THE BACKLOG OF EXPIRED MAJOR PERMITS
        IN NPDES-APPROVED STATES BY THE  END  OF FY'85.
         PROJECT TASKS:

         -   ANALYSIS OF THE NUMBER AND  DISTRIBUTION OF THE EXPIRED
            MAJOR PERMITS AMONG THE NPDES-APPROVED STATES AS OF
            AUGUST 1,  1984.

            REGIONAL ASSESSMENT OF THE  PROBLEMS AND PROSPECTS
            FOR EACH STATE MEETING THE  FY'85 GOAL.

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                               -2-
GSNERAL FINDINGS  OF PHASE I
        AS  OF  AUG.  1,  50% OF EXPIRED MAJOR  PERMITS WERE
        CONCENTRATED IN SIX STATES: NJ,  NY,  PA,  IL, MI, OH.
        ANY  NATIONAL STRATEGY MUST ACCOUNT  FOR THE VARYING
        WORKLOAD  OF STATES.
        IF ALL  STATES ACHIEVE THEIR FY'85  SPMS  COMMITMENTS, THIS
        WILL  NOT  ELIMINATE THE BACKLOG  NATIONWIDE.
        THE MOST FREQUENTLY CITED BARRIER  TO  ELIMINATING THE
        BACKLOG  BY '85 IS A TOO LARGE AND  TECHNICALLY DIFFICULT
        WORKLOAD RELATIVE TO RESOURCES.
        KEEPING  MAJOR FACILITIES UNDER  CURRENT PERMITS IS A
        LONG  TERM PROBLEM THAT REQ?JIRES SHORT TERM ACTIONS
        AND LONG TERM SOLUTIONS;

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                               -3-
WHAT ARE NPDES  PERMITTING PROGRAM GOALS?
     0  THE PROGRAM GOAL IS TO SUBSTANTIALLY ELIMINATE  THE BACKLOG
        OF EXPIRED  MAJOR PERMITS BY THE END OF  FY'85,  BOTH IN THE
        APPROVED  NPDES  STATES AND IN THE EPA REGIONS  WITH PERMIT
        ISSUANCE  AUTHORITY.
        THE BACKLOG,  AS  DEFINED BY EPA, CONSISTS  OF  PERMITS FOR
        MAJOR FACILITIES THAT ARE EXPIRED NOW PLUS THOSE  THAT
        WILL EXPIRE  DURING FY'85.
     0  IN NUMERICAL  TERMS  THE NPDES STATE BACKLOG  IS:

           1876 MAJOR PERMITS EXPIRED AS OF 8/1/84

        +   971 MAJOR PERMITS EXPIRING BETWEEN 8/1/84 AND 9/30/85
           2847 MAJOR  PERMITS TO BE RE-ISSUED FROM  8/1/84  to  9/30/85
     0  THUS, THE  GOAL  IS  TO RE-ISSUE ALL MAJOR DIRECT  DISCHARGE
        PERMITS EXPIRED  PRIOR TO AND DURING FY'85 IN  FY»85.

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WHAT DOES THIS GOAL  MEAN IN OPERATIONAL TERMS?


     0  MEETING THE  '85  GOAL MEANS RE-ISSUING 2847 STATE PERMITS
        DURING THE 14  MONTHS BETWEEN AUGUST 84 AND SEPTEMBER  85.


     0  THIS MEANS GREATLY INCREASING THE RATES AT WHICH THE
        NPDSS-APPROVED STATES ISSUE PERMITS WITH TECHNOLOGY-BASED
        PERMIT LIMITATIONS USING THE BAT EFFLUENT GUIDELINES
        AND/OR BPJ;  TECHNOLOGY-BASED LIMITATIONS. USING THE  BCT
        COST TEST AND  POLICY; AND WATER QUALITY-BASED LIMITATIONS
        USING WASTELOAD  ALLOCATIONS FOR CONVENTIONAL AND
        TOXIC POLLUTANTS.


     0  ALTHOUGH 23  of 29  BAT EFFLUENT GUIDELINES FOR THE PRIMARY
        INDUSTRY CATEGORIES ARE FINAL; 6 IMPORTANT BAT GUIDELINES
        COVERING APPROXIMATELY 2,000 FACILITIES WITH TOXIC
        POLLUTANTS IN  THE  DISCHARGE ARE STILL UNDER DEVELOPMENT.


     0  POLICIES AND METHODS OF DEVELOPING WATER QUALITY-BASED
        PERMITS LIMITATIONS FOR TOXIC POLLUTANTS ARE NEW.


THERE ARE DESIRABLE  AND  UNDESIRABLE CONSEQUENCES OF MEETING THE  '85 GOAL


     0  SETTING THIS GOAL  MAY RESULT IN INCREASING STATE
        PERMIT ISSUANCE  RATES WITH NEEDED MODIFICATIONS FOR
        BAT/BCT AT LEAST THROUGH 1985.       ::  .


     8  MEETING THE  GOAL MAY CREATE WORKLOAD PROBLEMS IN
        1990-1991 FOR  MANY STATES.


     0  ALL PERMITS  ISSUED UNDER THIS CURRENT CRUNCH MAY NOT  BE
        MEETING BAT, BCT OR WATER QUALITY STANDARDS FOR CONVENTIONAL
        AND TOXIC POLLUTANTS.

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                              -5-
WILL ALL NPDES STATES MEET THE  '85 GOAL?
LOOKING AT SPMS COMMITMENTS
        ALTHOUGH MANY STATES ARE  PROMISING  BIG  IN  FY'85,
        THE SPMS COMMITMENTS DO NOT EQUAL THE BACKLOG.
        -  BACKLOG CONSISTS OF

        -  SPMS COMMITMENTS EQUAL

        -  EXPECTED SHORTFALL IS
2847 + 16 NEW MAJORS
          IN IL
2863

1721

1142 PERMITS
     0  THUS, EVEN IF ALL STATES  MEET THEIR  SPMS  COMMITMENTS,
        THIS WILL NOT ELIMINATE THE  BACKLOG  NATIONWIDE  BY THE
        END OF FY'85.
     0  FOR SOME STATES, THESE  COMMITMENTS  REPRESENT A SIX FOLD
        INCREASE IN PERMIT  ISSUANCE RATES OVER  '83  and '84.
LOOKING AT REGIONAL PREDICTIONS
     0  IN A RECENT SURVEY, THE REGIONS  PREDICTED THAT 12 STATES
        WILL NOT MEET THE  '85 GOAL,  BUT  THAT  24  STATES WILL MEET
        THE GOAL.                             :
     0  OF THE 24 STATES PREDICTED  TO MEET  THE  GOAL,  8 WILL WITH
        FEW OR NO PROBLEMS.  THESE  STATES ACCOUNT FOR 4.7% OF
        THE BACKLOG.  THE OTHER  16  STATES WILL  MEET THE '85
        GOAL FACING NUMEROUS PROBLEMS.   THESE STATES  ACCOUNT
        FOR 40.4% OF THE BACKLOG.
     0  THIS SURVEY CLEARLY  CONFIRMS  THAT  STATES VARY GREATLY
        IN THE AMOUNT OF WORK THEY  FACE  AND IN THEIR ABILITY
        TO MEET THE  '85 GOAL.

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                                         -6-
          WHERE IS THE PERMITTING WORK  AS  OF  8/1/84?
                  GROUPING THE PERMITTING  WORK BY REGION,  REGIONS II, III,
                  IV AND V ACCOUNT  FOR  MORE  THAN 80% OF THE EXPIRED MAJOR
                  PERMITS.
                  GROUPING THE PERMITTING  WORK BY STATE,  6 STATES (NJ, NY,
                  PA, IL, MI, AND OH)  IN THESE REGIONS ACCOUNT FOR MORE
                  THAN 50% OF THE EXPIRED  PERMITS.
                  THUS THE BACKLOG  PROBLEM IS  HIGHLY CONCENTRATED IN A
                  SMALL NUMBER OF STATES.   ANY NATIONAL STRATEGY HAS TO
                  TAKE THIS FACT INTO  ACCOUNT.
1

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                               -7-
WHERE IS THE WORK  GOING TO BE IN FY'85?
        802 MAJOR PERMITS EXPIRE DURING FY'85.
     0  SOME  STATES  FACE SIGNIFICANT NUMBERS  OF
        ADDITIONAL MAJOR PERMITS EXPIRING  IN  FY'85.
     0  THE NUMBER OF EXPIRED PERMITS IN A FEW  STATES,  SUCH
        AS CONNECTICUT,  JUMP GREATLY FROM 1984  TO 1985.

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                               -8-
WHY WON'T ALL STATES GET  ALL  THE  WORK DONE IN '85?
FROM THE REGIONAL PERSPECTIVE
     0  THERE ARE GENERAL  PROBLEMS  AFFECTING MANY STATES
        ABILITY TO MEET  THE  '85 GOAL AND SOME VERY SPECIFIC
        PROBLEMS HAMPERING A  FEW OTHER STATES.
     0  WORKLOAD AND  RESOURCES,  ARE THE HIGHEST RANKED AND
        MOST FREQUENTLY  CITED FACTORS.
     *>  AFTER WORKLOAD AND  RESOURCES,  REGIONS CITED EPA
        POLICY, GUIDANCE  AND REGULATIONS GOVERNING PERMITTING
        AS ANOTHER PROBLEM  AREA.
     0  A FEW STATES  HAVE  VERY SPECIFIC PROBLEMS IN MANAGEMENT,
        STATUTORY AUTHORITY,  AND PRIORITY OF THE NPDES PERMITTING
        PROGRAM.

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THESE PROBLEMS  ARE CHRONIC AND LONG TERM.
        WORKLOAD  PROBLEMS INCLUDE:
        -  TECHNICALLY COMPLEX AND CONTROVERSIAL PERMITS,
           BECAUSE OF WATER QUALITY PROBLEMS  AND TOXIC
           POLLUTANTS NOT ADDRESSED BY  BAT  EFFLUENT GUIDELINES,
        -   LARGE  WORKLOAD BECAUSE OF  THE  SIZE  OF THE EXISTING
            BACKLOG AND THE NUMBER OF MAJOR  PERMITS EXPIRING
            IN  FY'84 and FY'85.
        RESOURCE  PROBLEMS INCLUDE:
            INADEQUATE STAFF AND FUNDING  BECAUSE OF BUDGET
            CUT-BACKS, HIRING FREEZES, OR UNFILLED VACANCIES
           LACK  OF  PERMITTING STAFF WITH  CERTAIN NECESSARY
           TECHNICAL SKILLS
        -   SHIFT OF PERMITTING STAFF  TO  OTHER ACTIVITIES, SUCH
            AS  ENFORCEMENT, OR TO OTHER PROGRAMS  SUCH AS GROUND-
            WATER PROTECTION
        -   INEXPERIENCED OR LOW SKILLED  PERMIT WRITERS BECAUSE
            OF  HIGH TURNOVER, REDUCTIONS  IN  FORCE OR INABILITY
            TO  ATTRACT QUALIFIED STAFF
     0  EPA  REGULATORY, GUIDANCE AND POLICY  PROBLEMS INCLUDE:
        -   LACK OF  REMAINING BAT ELGS FOR  ORGANIC CHEMICALS,
            PESTICIDES AND OTHER PRIMARY  INDUSTRIES WILL REQUIRE
            BPJ  PERMITTING
        -   EVEN  FOR INDUSTRIES WHERE  BAT  ELGS  ARE FINAL, RELATED
            BPJ DECISIONS ARE SLOWING  PERMIT  ISSUANCE
        -   LACK  OF  FINAL BCT EFFLUENT GUIDELINES DELAY PERMITTING
            MAJOR SOURCES

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                       -10-
ALTHOUGH REGIONS CITED WORKLOAD,  RESOURCES,  AND POLICY
AS TOP PROBLEMS FOR MOST STATES WITH  BACKLOG,  THOSE
STATES WHO DID NOT HAVE THESE  PROBLEMS  HAD SPECIFIC
INDIVIDUAL PROBLEMS WITH STATUTORY AUTHORITY,  MANAGEMENT
OR PROGRAM PRIORITY.

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                               -11-
WORKLOAD PROBLEMS  WILL CONTINUE THROUGH 1989.
        APPROXIMATELY 500-1000 MAJOR PERMITS  WILL  EXPIRE
        ANNUALLY  THROUGH 1989, WITH MUNICIPAL PERMIT
        EXPIRATIONS  PEAKING NEXT YEAR AND  INDUSTRIAL PERMIT
        EXPIRATIONS  RISING THROUGH 1989.
        ASSUMING  A 200% IMPROVEMENT IN PERMIT  ISSUANCE RATES
        OF INDIVIDUAL STATES, SUSTAINED OVER THE  NEXT FIVE
        YEARS,  THERE WILL STILL BE A LARGE  NUMBER OF  EXPIRED
        MAJOR  PERMITS IN 1989.  (LINE •)
        ASSUMING  STATES WILL MEET THEIR SPMS  COMMITMENTS IN
        '85, AND  THEN ASSUMING A RETURN TO  PREVIOUS  PERFORMANCE
        THE  BACKLOG WILL DROP SIGNIFICANTLY  IN  '85  BUT WILL
        STEADILY  RISE THROUGH 1989.  (LINE  W )
        THIS  SHOWS  THAT SUSTAINED, LONG TERM  IMPROVEMENTS ARE
        ESSENTIAL TO  KEEP MAJOR FACILITIES OPERATING  UNDER
        CURRENT  PERMITS THAT ADEQUATELY PROTECT WATER QUALITY,
        CURRENTLY,  EPA AND STATES HAVE NOT  DEVELOPED  OR
        IMPLEMENTED A STRATEGY THAT WILL RESULT  IN PERMIT
        ISSUANCE  RATES KEEPING PACE WITH EXPIRATIONS  IN
        FUTURE  YEARS.

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                  PROJECTIONS OF EXRRED MAJOR PERMITS
                         IN THE DELEGATED STATES
                               FY 1985-89
    EXPIRED MAJOR PERMITS
1«00-
1400-
1200-
l&OO-j
40
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                               -12-
NEED SHORT TERM ACTIONS  BUT  LONG  TERM  SOLUTIONS
        THE SHORT TERM CHALLENGE  IS  FOR EPA AND STATES TO SHOW
        PROGRESS IN FY'85  EVEN  IF  THE  '85 GOAL IS NOT MET
        NATIONWIDE, BY INCREASING  PERMIT ISSUANCE RATES IN ALL
        STATES, BY REDUCING THE BACKLOG IN MANY STATES AND BY
        ELIMINATING THE BACKLOG IN SOME STATES.
        OFFICE OF WATER  LED BY  OWEP  DEVELOPS THE NEAR TERM
        STRATEGY OF ACHIEVING THESE  OBJECTIVES IN '85 AND '86.
        IDENTIFY KEY STATES WITH  HIGHEST WORKLOAD AND SPMS
        COMMITMENTS AND TARGET  ANY ADDITIONAL RESOURCES AND
        ASSISTANCE TO SPECIFIC  PERMITS  IN THOSE STATES, WITH
        THEIR AGREEMENT.
        -  USE CONTRACTOR ASSISTANCE  FOR PERMIT DEVELOPMENT
           TO THE MAXIMUM EXTENT  FEASIBLE IN FY'85 and FY'86.

        -  TARGET TECHNICAL ASSISTANCE  TO SPECIFIC PROBLEMS FOR
           SELECTED PERMITS BUT REMEMBER IT IS  NOT A PANACEA
           IN THE SHORT RUN.

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                               -13-
WHAT TO DO  IN  THE  LONG TERM?
        THE LONG  TERM CHALLENGE IS TO KEEP FACILITIES OPERATING
        UNDER  CURRENT PERMITS REFLECTING BAT,  BCT  AND WATER
        QUALITY STANDARDS,  AS NEEDED.
        ENSURE  THAT  ALL NPDES-APPROVED STATES HAVE  A PERMIT SYSTEM
        THAT  CAN  KEEP  PACE WITH THE RATES OF PERMIT EXPIRATION
        ON AN ANNUAL BASIS,  AND THAT IS ADEQUATELY  FUNDED.
        EVEN  OUT  THE  ANNUAL PERMIT EXPIRATION  RATES  OVER TIME
        SUCH  THAT PERMITS FOR ALL MAJOR FACILITIES EXPIRE
        EVENLY  OVER A FIVE YEAR PERIOD.
        ISSUE MAJOR  EPA POLICY, GUIDANCE AND REGULATIONS  ON
        SCHEDULE  AS  DELAYS IN THIS AREA HAVE CONTRIBUTED  TO
        CREATION  OF  THE BACKLOG.
        IDENTIFY  THE  MOST ENVIRONMENTALLY SIGNIFICANT PERMITS
        AND ENSURE  THAT THESE PERMITS GET THE TECHNICAL AND
        LEGAL  RESOURCES THEY DESERVE AND ARE NEGOTIATED PROMPTLY,
        ASSURE  THAT  STATES WITH FACILITIES CONTRIBUTING TO WATER
        QUALITY  PROBLEMS AFTER BAT LIMITATIONS  ARE  IMPLEMENTED
        HAVE THE  TOOLS,  INFORMATION AND CAPABILITY  TO  ISSUE,
        WATER QUALITY-BASED PERMITS.


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                                -14-
WHAT WORK  IS NEEDED TO ACCOMPLISH THESE LONG TERM OBJECTIVES?




(UNDER DEVELOPMENT WITH OWEP AS  PHASE II OF THIS  STUDY)
                                                                  Agency
Street. S.
                                                      "I PM-211-A.
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                                                       20460

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