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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
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Washington, DC 20460 Office of Management Systems
and Evaluation
October 1984
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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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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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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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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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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.
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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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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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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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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-
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40
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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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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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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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rf.
20460
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