Wafer _
Fedei
Preserving & Enhancing : ,,
the Global Water Environment
The Pretreatment
Training Course
Sponsored by:
.*.
U.S. Environmental Protection Agency
Office of Water
&
Water Environment Federation
Four Points Hotel
4501Creedmoor Rd, US 70 West
Raleigh, NC 27612
July 20 & 21,1998
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The Pretreatment Training Course Table of Contents
Table of Contents
Agenda
Glossary of Common Terminology
Module 1 The National Pretreatment Program
» Slide Presentation
» Narrative
> Appendix: Pretreatment Quiz
Appendix: 40 CFR Part 403
-- Appendix: 40 CFR Part 122
> Appendix: CWA - §§ 101,212,301,307,308,309, 402,502
(U.S.C.-§§1251,1292,1311,1317,1318,1319,1342,1362)
Module 2 Pretreatment Program Regulations: Legal Authority
Slide Presentation
* Narrative
> Appendix: Industrial Pretreatment Ordinance (Muncie, IN)
Module 3 Industrial User Identification and Classification
» Slide Presentation
» Narrative
Appendix: Classifying Industrial Users Exercise
» Appendix: Industrial Permit Application Form (Muncie, IN)
Module 4 Industrial User Permitting
» Slide Presentation
» Narrative
Sample Transmittal Letter
Contents of an Industrial User Permit
Module 5 Pretreatment Standards: Prohibitions and Categorical Standards
» Slide Presentation
» Narrative
» Appendix: Effluent Guidelines Plan, October 7,1996
> Appendix: Fact Sheet Modification to Effluent Guidelines Consent Decree,
February 7,1997
Appendix: Industrial Wastewater Contacts in the Effluent Guidelines Program
« Appendix: Summary Status of National Categorical Pretreatment Standards:
Milestone Dates
Module 6 Pretreatment Standards: Local Limits
- Slide Presentation
» Narrative
Student Manual Pagel
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Table of Contents
The Pretreatment Training Course
Module 7
Permitting Exercise
» Exercise
Modules Inspections and POTWMonitoring
» Slide Presentation
» Narrative
» Appendix* Assorted Blank Forms
* Appendix: Example Chain of Custody Record Form
* Appendix* Example Field Measurement Record Form
Module 9 Reporting Requirements
Slide Presentation
* Narrative
" Appendix: Example Lab Report Form for Periodic Compliance Reports
* Appendix: Example Certification Form for Periodic Compliance Reports
Module 10 Data Management and Compliance Evaluation
» Slide Presentation
Narrative
« Appendix: Periodic Compliance Report Evaluation Exercise
> Appendix: 40 CFR Part 433, Metal Finishing Point Source Category
Appendix: 40 CFR Part 136 (without Appendices)
Module 11 Enforcement
* Slide Presentation
* Narrative
* Appendix: Enforcement Response Guide (Muncie, IN)
Module 12 Resources and Funding
» Slide Presentation
Narrative
Module 13 Pretreatment Program Quiz
Quiz -
Module 14 Pollution Prevention in the Pretreatment Program
Slide Presentation
» Narrative
Module 15 Pretreatment Update
Slide Presentation
» Appendix: List of Regional EPA and State Pretreatment Program Contacts
Bibliography: Available Reference Materials
Page 2
Student Manual
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The Pretreatment Training Course
Agenda
Agenda: The Pretreatment Training Course
In October 1996, as part of the Metal Finishing Sector of the Common Sense Initiative (CSI),
EPA published "Improving Industrial Pretreatment: Success Factors, Challenges, and Project Ideas."
The report identified a need for more training options related to the Pretreatment Program. To
address this need, EPA and WEF have produced this course.
The objective of this training course is to provide the basic regulatory framework and
technical considerations that support the development and implementation of pretreatment programs
under the National Pollutant Discharge Elimination System (NPDES) Permitting Program and the
Clean Water Act (CWA).
This course is designed and recommended for environmental professionals responsible for
implementing the Pretreatment Program at the local level, industrial dischargers, consultants, and
especially individuals that are new to the program.
DAY1
7:30 Registration
8:30 Welcome
8:40 Pretreatment Quiz
8:50 (1) Overview of the National
Pretreatment Program
10:00 Break
10:10 (2) Pretreatment Program
Regulations: Legal Authority
11:20 (3) Industrial User Identification and
Classification
12:00 Lunch
1:15 (4) Industrial User Permitting
2:15 Break
2:30 (5) Pretreatment Standards:
Prohibitions and Categorical
Standards
3:45 (6) Pretreatment Standards: Local
Limits
4:30 Adjourn
DAY 2
8:30 Quiz#1 Review
(7) Permitting Exercise
9:20 (8) Inspections and POTW
Monitoring
10:30 Break
10:45 (9) Reporting Requirements
11:30 (10) Data Management and
Compliance Evaluation
12:15 Lunch
1:30 (11) Enforcement
2:20 (12) Resources and Funding
2:45 Break
3:00 (13) Pretreatment Program Quiz
3:15 (14) Pollution Prevention in the
Pretreatment Program
3:45 (15) Pretreatment Update
4:30 Adjourn
Instructor's Manual
Page 1
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77>e Pretreatment Training Course Glossary of Common Terminology
Glossary of Common Terminology
Abbreviations
AA Approval Authority or Atomic Absorption
BAT Best Available Technology Economically Achievable (applies to non-conventional and toxic pollutants)
BCT Best Conventional Pollutant Control Technology (applies to conventional pollutants)
BMP Best Management Practices
BMR Baseline Monitoring Report
BODS 5-day Biochemical Oxygen Demand
BPJ Best Professional Judgment
BPT Best Practicable Control Technology Currently Available (generally applies to conventional pollutants and some
metals)
CA Control Authority
CFR Code of Federal Regulations
CIU Categorical Industrial User
COD Chemical Oxygen Demand
CSO Combined Sewer Overflow
CWA Clean Water Act (formerly referred to as the Federal Water Pollution Control Act or Federal Water Pollution
Control Act Amendments-of 1972) Pub. L 92-500, as amended by Pub. L 95-217, Pub. L 95-576, Pub. L 96-
483, Pub. L 97-117, and Pub. L. 100-4,33 U.S.C. 1251 et seg.
CWF Combined Wastestream Formula
CWT Centralized Waste Treater
D.O. Dissolved Oxygen
DMR Discharge Monitoring Report
DSS Domestic Sewage Study
ELG Effluent Limitations Guidelines
EPA Environmental Protection Agency
EPCRA Emergency Preparedness and Community Right to Know Act
ERP Enforcement Response Plan
FDF Fundamentally Different Factors
FR Federal Register
FWA Flow Weighted Average
GC Gas Chromatograph
GC/MS Gas Chromatograph/Mass Spectrometer
gpd Gallons per Day
IU Industrial User
LEL Lower Explosive Limit
MAHL Maximum Allowable Headwords Loading
MAIL Maximum Allowable Industrial Loading
MGD Million Gallons per Day
MSDS Material Safety Data Sheet
NOV Notice of Violation
NPDES National Pollutant Discharge Elimination System
NRDC Natural Resources Defense Council
NSPS New Source Performance Standard
O&G Oil and Grease
O&M Operations and Maintenance
OCPSF Organic Chemicals, Plastics, and Synthetic Fibers
P2 Pollution Prevention
PCI Pretreatment Compliance Inspection
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Glossary of Common Terminology The Pretreatment Training Course
PCS Permit Compliance System
PIRT Pretreatment Implementation Review Task Force
POTW Publicly Owned Treatment Works
PSES Pretreatment Standards for Existing Sources
PSNS Pretreatment Standards for New Sources
QA/QC Quality Assurance/Quality Control
RBC Rotating Biological Contactor
RCRA Resource Conservation and Recovery Act
SIC Standard Industrial Classification
SIU Significant Industrial User
SPCC Spill Prevention Control and Countermeasures
SNC Significant Noncompliance
SSO Sanitary Sewer Overflow
SUO Sewer Use Ordinance
TCLP Toxicity Characteristic Leaching Procedure
TOMP Toxic Organic Management Program
TRE Toxicity Reduction Evaluation
TRI Toxic Release Inventory
TSS Total Suspended Solids
TTO Total Toxic Organics
USC United States Code
UST Underground Storage Tank
WET Whole Effluent Toxicity
WWTP Wastewater Treatment Plant
Page 2 Student Manual
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The Pretreatment Training Course Glossary of Common Terminology
Definitions
Act or "the Act"
The Federal Water Pollution Control Act, also known as the Clean Water Act, as amended, 33 U.S.C. 1251 ef.seq.
Approval Authority
The Director in an NPDES State with an approved State Pretreatment Program and the appropriate EPA Regional
Administrator in a State that has not received approval for their Pretreatment Program.
Approved/Authorized Program or Approved State
A State or interstate program which has been approved or authorized by EPA under Part 123.
Baseline Monitoring Report (BMR)
A report submitted by categorical industrial users (ClUs) within 180 days after the effective date of an applicable
categorical standard which indicates the compliance status of the user with the applicable categorical standard [40 CFR
§403.12(b)].
Best Available Technology (BAT)
A level of technology based on the very best(state of the art) control and treatment measures that have been
developed or are capable of being developed and that are economically achievable within the appropriate industrial
category.
Best Management Practices (BMPs)
Schedules of activities, prohibitions of practices, maintenance procedures, and other management practices to prevent
or reduce the pollution of waters of the U.S. BMPs also include treatment requirements, operating procedures and
practices to control plant site runoff, spillage or leaks, sludge or waste disposal, or drainage from raw material storage.
Best Practicable Control Technology (BPT)
A level of technology represented by the average of the best existing wastewater treatment performance levels within the
industrial category.
Best Professional Judgment (BPJ)
The highest quality technical opinion developed by a permit writer after consideration of all reasonable available and
pertinent data or information which forms the basis for the terms and conditions of a permit.
Slowdown
The discharge of water with high concentrations of accumulated solids from boilers to prevent plugging of the boiler
tubes and/or steam lines. In cooling towers, blowdown is discharged to reduce the concentration of dissolved salts in the
recirculating cooling water.
Bypass
The intentional diversion of wastestreams from any portion of a treatment (or pretreatment) facility.
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Glossary of Common Terminology _- The Pretreatment Training Course
Categorical Industrial User (CIU)
An industrial user subject to National categorical pretreatment standards.
Categorical Pretreatment Standards
Limitations on pollutant discharges to POTWs promulgated by EPA in accordance with Section 307 of the Clean Water
Act, that apply to specific process wastewater discharges of particular industrial categories [40 CFR § 403.6 and 40 CFR
Parts 405-471].
Chain of Custody(COC)
A record of each person involved in the possession of a sample from the person who collects the sample to the person who
receives ft in the laboratory.
Chronic
A stimulus that lingers or continues for a relatively bng period of time, often one-tenth of the life span or more. Chronic
should be considered a relative term depending on the life span of an organism. The measurement of chronic effect can
be reduced growth, reduced reproduction, etc., in addition to lethality.
Clean Water Act (CWA)
Public law 92-500; 33 U.S.C. 1251 ej seq.: legislation which provides statutory authority for both NPDES and
Pretreatment programs. Also known as the Federal Water Pollution Control Act.
Code of Federal Regulations (CFR)
Title 40 of the Code of Federal Regulations published in a U.S. Government publication, the Federal Register, which
contains environmental regulations.
Combined Sewer Overflow (CSO)
A discharge of untreated wastewater from a combined sewer system at a point prior to the headworks of a publicly
owned treatment works. CSOs generally occur during wet weather (rainfall or snowfall). During periods of wet weather,
these systems become overloaded, bypass treatment works, and discharge directly to receiving waters.
Combined Wastestream Formula (CWF)
Procedure for calculating alternative discharge limits at industrial facilities where a regulated wastestream from a
categorical industrial user is combined with other wastestreams prior to treatment [40 CFR §403.6(e)].
Compliance Schedule
A schedule of remedial measures included in a permit or an enforcement order, including a sequence of interim
requirements (for example, actions, operations, or milestone events) that lead to compliance with the CWA and regulations.
Composite Sample
Sample composed of two or more discrete samples. The aggregate sample will reflect the average water quality
covering the compositing or sample period.
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The Pretreatment Training Course Glossary of Common Terminology
Concentration-based Limit
A limit based upon the relative strength of a pollutant in a wastestream, usually expressed in mg/1.
Continuous Discharge
A discharge which occurs without interruption throughout the operating hours of the facility, except for infrequent
shutdowns for maintenance, process changes or other similar activities.
Control Authority
A POTW with an approved pretreatment program or the approval authority in the absence of a POTW pretreatment
program [40 CFR §403.12(a)].
Conventional Pollutants
BOD, TSS, fecal coliform, oil and grease, and pH
Daily Maximum Limitations
The maximum allowable discharge of pollutants during a 24 hour period. Where dairy maximum limitations are
expressed in units of mass, the daily discharge is the total mass discharged over the course of the day. Where daily
maximum limitations are expressed in terms of a concentration, the daily discharge is the arithmetic average measurement
of the pollutant concentration derived from all measurements taken that day.
Detection Limit
The minimum concentration of an analyte(substance) that can be measured and reported with a 99% confidence that
the analyte concentration is greater than zero as determined by the procedure set forth in 40 CFR Part 136, Appendix B.
Development Document
Detailed report of studies conducted by the U.S. EPA for the purpose of establishing effluent guidelines and categorical
pretreatment standards.
Dilute Wastestream
For purposes of the combined wastestream formula, the average daily flow (at least a 30-day average) from: (a) boiler
blowdown streams, non-contact cooling streams, storm water streams, and demineralized backwash streams; provided,
however, that where such streams contain a significant amount of a pollutant, and the combination of such streams, prior
to treatment, with an industrial user's regulated process wastestream(s) will result in a substantial reduction of that pollutant
the Control Authority, upon application of the industrial user, may exercise its discretion to determine whether such
stream(s) should be classified as diluted or unregulated. In its application to the control authority, the industrial user must
provide engineering, production, sampling and analysis, and such other information so the control authority can make its
determination; or(b) sanitary wastestreams where such streams are not regulated by a categorical pretreatment standard;
or (c) from any process wastestreams which were, or could have been, entirely exempted from categorical pretreatment
standards pursuant to paragraph 8 of the NRDC v. Costle Consent Decree (12 ERC 1833) for one more of the following
reasons (see Appendix D of 40 CFR Part 403):
a. the pollutants of concern are not detectable in the effluent from the industrial user (paragraph (8)(a)(iii));
b. the pollutants of concern are present only in trace amounts and are neither causing nor likely to cause toxic effects
(paragraph (8)(a)(iii));
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Glossary of Common Terminology The Pretreatment Training Course
c. the pollutants of concern are present in amounts too small to be effectively deduced by technologies known to the
Administrator (paragraph (8)(a)(iii)); or
d. the wastestream contains only pollutants which are compatible with the POTW (paragraph (8)(b)(i)).
Discharge Monitoring Report
The EPA uniform National form, including any subsequent additions, revisions or modifications for reporting of self-
monitoring results by permittees. The form must be used by approved States as well as by EPA.
Effluent Limitation Guideline
Regulations published to adopt or revise a national standard prescribing limits on specific pollutants (in Ibs/day or mg/1)
from point sources in a particular industrial category (e.g., metal finishing, metal molding and casting, etc.)
Enforcement Response Plan
Step-by-step enforcement procedures followed by Control Authority staff to identify, document, and respond to
violations.
Existing Source
Any source of discharge, the construction or operation of which commenced prior to the publication by the EPA of
proposed categorical pretreatment standards, which will be applicable to such source if the standard is thereafter
promulgated in accordance with Section 307 of the Act.
Flow Weighted Average Formula (FWA)
A procedure used to calculate alternative limits where wastestreams regulated by a categorical pretreatment standard
and nonregulated wastestreams combine after treatment but prior to the monitoring point
Flow Proportional Composite Sample
Combination of individual samples proportional to the flow of the wastestream at the time of sampling.
*
Fundamentally Different Factors
Case-by-case variance from categorical pretreatment standards based on the factors considered by EPA in developing
the applicable category/subcategory being fundamentally different than factors relating to a specific industrial user.
General Prohibitions
No user shall introduce into a POTW any pollutant(s) which cause pass through or interference.[40 CFR § 403.5(a)J
Grab Sample
A sample which is taken from a wastestream on a one-time basis with no regard to the flow of the wastestream and
without consideration of time.
Indirect Discharger
A nondomestic discharger introducing pollutants to a publicly owned treatment works.
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The Pretreatment Training Course [ Glossary of Common Terminology
Industrial User (IU) or User
A source of nondomestic waste. Any nondomestic source discharging pollutants to a POTW.
Industrial Waste Survey
The process of identifying and locating of industrial users and characterizing their industrial discharge.
Inhibition Concentration
Point estimate of the toxicant concentration that would cause a given percent reduction (e.g., IC25) in a nonlethal
biological measurement of the test organisms, such as reproduction or growth.
Interference
A discharge which, alone or in conjunction with a discharge or discharges from other sources, both: (1) inhibits or
disrupts the POTW, its treatment processes or operations, or its sludge processes, use or disposal; and (2) therefore is a
cause of a violation of any requirement of the POTW's NPDES permit (including an increase in the magnitude or duration
of a violation) or of the prevention of sewage sludge use or disposal in compliance with... [applicable] statutory provisions
and regulations or permits issued thereunder (or more stringent State or local regulations)...
Local Limits
Conditional discharge limits imposed by municipalities upon industrial or commercial facilities that discharge to the
municipal sewage treatment system.
Monthly Average
The arithmetic average value of all samples taken in a calendar month for an individual pollutant parameter. The
monthly average may be the average of all grab samples taken in a given calendar month, or the average of all composite
samples taken in a given calendar month.
National Pollutant Discharge Elimination System (NPDES)
The national 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 the'CWA. This includes
an approved program.
National Pretreatment Standard or Pretreatment Standard
Limitations on pollutant discharges to POTWs promulgated by EPA in accordance with Section 307 of the Clean Water
Act, that appry to specific process wastewater discharges of particular industrial categories [40 CFR § 403.6 and 40 CFR
Parts 405-471]. This term also includes the prohibited discharge standards under 40 CFR § 403.5, including local limits.
New Source
Any building, structure, facility or installation from which there is (or may be) a discharge of pollutants, the construction
of which commenced after the publication of proposed pretreatment standards under Section 307(c) of the Act which will
be applicable to such source if such standards are thereafter promulgated in accordance with that section provided that
(a) The building, structure, facility or installation is constructed at a site at which no other discharge source is located;
or
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Glossary of Common Terminology The Pretreatment Training Course
(b) The building, structure, facility or installation totally replaces the process or production equipment that causes the
discharge of pollutants at an existing source; or
(c) The production or wastewater generating processes of the building, structure, facility, or installation are
substantially independent of an existing source at the same site. In determining whether these are substantially
independent, factors such as the extent to which the new facility is integrated with the existing plant, and the
extent to which the new facility is engaged in the same general type of activity as the existing source, should be
considered.
90-Day Final Compliance Report
A report submitted by categorical industrial users within 90 days following the date for final compliance with the
standards. This report must contain flow measurement (of regulated process streams and other streams), measurement
of pollutants, and a certification as to whether the categorical standards are being met
Nonconventional Pollutants
Any pollutant that is neither a toxic pollutant nor a conventional pollutant (e.g., manganese, ammonia, etc.)
Non-Contact Cooling Water
Water used for cooling which does not come into direct contact with any raw material, intermediate product, waste
product, or finished product The only pollutant contributed from the discharge is heat.
Non-Regulated Wastestream
Unregulated and dilute wastestreams.
Pass Through
A discharge which exits the POTW into waters of the United States in quantities or concentrations which, alone or in
conjunction with a discharge or discharges from other sources, is a cause of a violation of any requirement of the POTW's
NPDES permit (including an increase in the magnitude or duration of a violation)
Periodic Compliance Report
A report on compliance status submitted by the categorical user to the control authority at least semiannually [40 CFR
§403.12(e)].
Point Source
Any discernible, confined, and discrete conveyance, including but not limited to any pipe, ditch, channel, tunnel,
conduit, well, discrete fixture, container, rolling stock concentrated animal feeding operation vessel, or other floating craft
from which pollutants are or may be discharged.
Pollutant
Dredged spoil, solid waste, incinerator residue, filter backwash, sewage, garbage, sewage sludge, munitions, chemical
wastes, biological materials, radioactive materials (except those regulated under the Atomic Energy Act of 1954, as
amended (42 U.S.C. 2011 etseq.)), heat wrecked or discarded equipment, rock, sand, cellar dirt, and industrial, municipal
and agricultural waste discharged into water.
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The Pretreatment Training Course Glossary of Common Terminology
Pretreatment
The reduction of the amount of pollutants, the elimination of pollutants, or the alteration of the nature of pollutant
properties in wastewater prior to or in lieu of discharging or otherwise introducing such pollutants into a POTW.
Pretreatment Standards for Existing Sources (PSES)
Categorical Standards and requirements applicable to industrial sources that began construction prior to the
publication of the proposed pretreatment standards for that industrial category.(see individual standards at 40 CFR Parts
405-471.)
Pretreatment Standards for New Sources (PSNS)
Categorical Standards and requirements applicable to industrial sources that began construction after the publication
of the proposed pretreatment standards for that industrial category, (see individual standards at 40 CFR Parts 405-471.)
Priority Pollutant
Pollutant listed by the Administrator of EPA under Clean Water Act 307(a). The list of the current 126 Priority
Pollutants can be found in 40 CFR Part 423 Appendix A.
Process Wastewater
Any water which, during manufacturing or processing, comes into contact with or results from the production or use
of any raw material, intermediate product, finished product, byproduct, or waste product
Production-Based Standards
A discharge standard expressed in terms of pollutant mass allowed in a discharge per unit of product manufactured.
Publicly Owned Treatment Works (POTW)
Any device or system used in the treatment (including recycling and reclamation) of municipal sewage or industrial
wastes of a liquid nature which is owned by a State or municipality. This includes sewers, pipes or other conveyances only
if they convey wastewater to a POTW providing treatment
Regulated Wastestream
A wastestream from an industrial process that is regulated by a categorical standard.
Removal Credits
Variance from a pollutant limit specified in a categorical pretreatment standard to reflect removal by the POTW of said
pollutant [40 CFR § 403.7].
Representative Sample
A sample from a wastestream that is as nearly identical in composition to that in the larger volume of wastewater being
discharged and typical of the discharge from the facility on a normal operating day.
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Glossary of Common Terminology The Pretreatment Training Course
Sanitary Sewer Overflow (SSO)
Untreated or partially treated sewage overflows from a sanitary sewer collection system.
Self-Monitoring
Sampling and analyses performed by a facility to ensure compliance with a permit or other regulatory requirements.
Sewer Use Ordinance (SUO)
A legal instrument implemented by a local government entity which sets out all the requirements for the discharge of
pollutants into a publicly owned treatment works.
Significant Industrial User (SIU)
EPA defines a significant industrial user to be a. Any user subject to a categorical pretreatment standard (national
effluent guidelines); b. Any user that discharges an average of 25,000 gallons per day or more of process wastewater,
or that contributes a process wastestream making up 5 percent or more of the average dry weather hydraulic or organic
capacity of the POTW treatment plant or c. Any other user designated by the control authority (POTW) to be a significant
industrial user [40 CFR § 403.3(t)].
Significant Noncompliance(SNC)
[40 CFR § 403.8(f)(2)(vii)] Industrial user violations meeting one or more of the following criteria:
1) Chronic violations of wastewater discharge limits, defined here as those in which sixty-six percent or more
of all of the measurements taken during a six month period exceed (by any magnitude) the daily maximum limit
or the average limit for the same pollutant parameter;
2) Technical Review Criteria (TRC) violations, defined here as those in which thirty-three percent or more of
all of the measurements for each pollutants parameter taken during a six-month period equal or exceed the
product of the daily maximum limit or the average limit multiplied by the applicable TRC (TRC=1.4 for BOD, TSS,
fats, oil, and grease, and 1.2 for all other pollutants except pH);
3) Any other violation of a pretreatment effluent limit (daily maximum or longer-term average) that the Control
Authority determines has caused, alone or in combination with other dischargers, interference or pass through
. (including endangering the health of POTW personnel or the general public);
4) Any discharge of a pollutant that has caused imminent endangerment to human health, welfare or to the
environment or has resulted in the POTW's exercise of its emergency authority under paragraph (f)(1)(vi)(B) of.
this section to halt or prevent such a discharge;
5) Failure to meet, within 90 days after the schedule date, a compliance schedule milestone contained in a local
control mechanism or enforcement order for starting construction, completing construction, or attaining final
compliance;
6) Failure to provide, within 30 days after the due date, required reports such as baseline monitoring reports,
90-day compliance reports, periodic self-monitoring reports, and reports on compliance with compliance
schedules;
7) Failure to accurately report noncompliance;
8) Any other violation or group of violations which the Control Authority determines will adversely affect the
operation or implementation of the local pretreatment program.
Slug Discharge
Any discharge of a non-routine, episodic nature, including but not limited to, an accidental spill or a noncustomary
batch discharge.
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The Preteatment Training Course Glossary of Common Terminology
Specific Prohibitions
No user shall introduce into a POTW:
1) Pollutants which create a fire or explosion hazard in the POTW, including but not limited to, wastestreams
with a closed cup flashpoint of less than 140 degrees Fahrenheit or 60 degrees Centigrade using the test
methods specified in 40 CFR Part 261.21;
2) Pollutants which will cause corrosive structural damage to the POTW, but in no case discharges with pH
lower than 5.0, unless the works is specifically designed to accommodate such discharges;
3) Solid or viscous pollutants in amounts which will cause obstruction to the flow in the POTW resulting in
interference;
4) Any pollutant including oxygen demanding pollutants(BOD, etc.) Released in a discharge at a flow rate a-
nd/or concentration which will cause interference with the POTW;
5) Heat in amounts which will inhibit biological activity in the POTW resulting in interference, but in no case heat
in such quantities that the temperature at the POTW treatment plant exceeds 40°C(104°F) unless the Approval
Authority, upon request of the POTW, approves alternative temperature limits;
6) Petroleum oil, nonbiodegradable cutting oil, or products of mineral oil origin in amounts that will cause
interference or pass through;
7) Pollutants which result in the presence of toxic gases, vapors, or fumes within the POTW in a quantity that
may cause acute worker health and safety problems;
8) Any trucked or hauled pollutants, except at discharge points designated by the POTW.
Standard Industrial Classification(SIC)
A system used to identify various types of industries.
Storm Water
Rain water, snow melt, and surface drainage.
Time Proportional Composite Sample
A sample consisting of a series of aliquols collected from a representative point in the discharge stream at equal times
intervals over the entire discharge period on the sampling day.
Toxic Pollutant
Any pollutant listed as toxic under section 307(a)(1) of the CWA, or in the case of sludge use or disposal practices,
any pollutant identified in regulations implementing section 405(d) of the CWA.
Toxicity Reduction Evaluation
A site-specific study conducted in a stepwise process designed to identify the causative agents of effluent toxicity,
isolate the sources of toxicity, evaluate the effectiveness of toxicity control options, and then confirm the reduction in effluent
toxicity.
Toxicity Identification Evaluation
Set of procedures to identify the specific chemicals responsible for effluent toxicity.
Unregulated Wastestream
A wastestream not regulated by a categorical standard nor considered a dilute wastestream.
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Glossary of Common Terminology The Pretreatment Training Course
Upset
An exceptional incident in which there is unintentional and temporary noncompliance with permit limits because of
factors beyond the reasonable control of the discharger. An upset does not include noncompliance to the extent caused
by operational error, improperly designed treatment facilities, inadequate treatment facilities, lack of preventative
maintenance, or careless or improper operation.
Water Quality Criteria
Comprised of numeric and narrative criteria. Numeric criteria are scientifically derived ambient concentrations
developed by EPA or States for various pollutants of concern to protect human health and aquatic life. Narrative criteria
are statements that describe the desired water quality goal.
Water Qualify Standard
A law or regulation that consists of the beneficial designated use or uses of a waterbody, the numeric and narrative
water quality criteria that are necessary to protect the use or uses of that particular waterbody, and an antidegradation
statement
Whole Effluent Toxiclty
The total toxic effect of an effluent measured directly with a toxicity test.
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The Pretreatment Training Course
The National Pretreatment Program
EPA's Pretreatment
Training Course
Sponsored by
U.S. Environmental Protection Agency
Office of Water
and
Water Environment Federation
"The National
Pretreatment Program
and You"
Quiz Time
Module 1
Slide Presentation - Page 1
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T?7e Pretreatment Training Course
The National Pretreatment Program
History of Water Protection
1899 Rivers and Harbors Act
1956 Federal Water Pollution Control Act
1963 Rachel Carson's Silent Spring
1963 Robert Zimmerman changed his name to?
1965 Water Quality Act
History of Water Protection, cont.
1970 EPA established through an executive order
1972 FWPCA Amendments create NPDES Program
1977 Clean Water Act
1987 Water Quality Act
199? Clean Water Act Reauthorization
How Acts Are Implemented
Act passed/signed
Federal Register notice
Regulations into effect
Appropriate Entities act out provisions
Module 1
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77>e Pretreatment Training Course
The National Pretreatment Program
Statutory Basis
Clean Water Act
[33U.S.C. 1251,etseq.)
101 308
212 309
301 402
307 502
National Pollutant Discharge
Elimination System("NPDES")
[40CFR Part 122]
NPDES applies to all 'point sources discharging
pollutants' into "waters of the United States'
point sources must obtain an NPDES permit
from EPA or their delegated State
NPDES permits require development of
Pretreatment Programs
The connection: 40 CFR Part 122
Module 1
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The National Pretreatment Program
Evolution of Pretreatment Regulations
1973-40 CFR Part 128 promulgated
1978-40 CFR Part 403 promulgated
1983 - POTW program approval deadline
1985 - Pretreatment Implementation Review Task
Forcef PIRT) report released
1986 - Domestic Sewage Study(DSS) Report to Congress
1988 - PIRT Rules promulgated
1990 - DSS regulations promulgated
1993 - Removal credit/pollutant eligibility revised
40 CFR Part 403
i U.S. Code of Federal Regulations(CFR)
-Title 40 - Protection of the Environment
«Chapter I - Environmental Protection Agency
-Subchapter N - Effluent Guidelines and
Standards
Part 403 - General Pretreatment
Regulations for Existing and New Sources
of Pollution
Module 1
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40 CFR Part 403 Objectives
To prevent the introduction of pollutants
into POTWs which will:
- interfere,
- pass through, and/or
- be incompatible.
To improve opportunities to recycle and
reclaim wastewaters and sludges.
To protect POTW workers.
Slide Show
Presentation
Who Must Develop a Program?
POTWs with:
- combined design flow > 5 MGD, and
- receiving flow from ClUs, and/or
- receiving pollutants which pass through
or interfere.
Approval Authority may require program
be developed, regardless.
NPDES State's may assume
responsibility.
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Approval Authority
vs.
Control Authority
Delegated States
StaaTl
- Approvil & Control Authority [1] - Induitrlal User In approved program
Approval Authority M Control Authority H Industrial User
Non-Delegated States
SPA
Approval & Control Authority |||] - Induttrial User In approved program
Control Authority [§] Industrial Ut«r g - Non-Delegated States
Modu/e
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40 CFR§ 403.10(e), States
Approval Authority
Control Authority HI Industrial Uttr
- no pretriatment program
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The National Pretreatment Program
Overview of maior legislative, regulatory, and judicial events affecting the Pretreatment Program.
Congress's first step in protecting the national waters was the passage of the 1899 Rivers and Harbors Act, 33 United States
Code (U.S.C.) Part 407 ej sea, (commonly known as the "Refuse Act'). The Refuse Act, which was originally intended to protect
navigation, prohibited the discharge from a ship or shore installation into navigable waters of the United States of 'any refuse matter
of any kind or description whatever other than that flowing from streets and sewers and passing therefrom in a liquid state without a
permit' The first direct consideration given by the legislature to the control of water pollution did not occur until 1948 with the passage
of (he Water Pollution Control Act (WPCA). Although the WPCA established no Federal goals or guidelines, it did provide limited funding
for State and bcal governments to address their water pollution control problems. Controlling industrial water pollution was limited to
providing funding to study it The WPCA gave the U.S. Surgeon General the responsibility of developing a program to control interstate
water pollution but provided minimal Federal enforcement authority.
In 1956, the passage of the Federal Water Pollution Control Act (FWPCA) provided additional funding to State and local
governments and clarified some requirements through enforcement actions. The 1961 amendments to the FWPCA allowed citizen
suits but only through written consent of the Governor. The Water Quality Act of 1965 required States to establish water quality
standards for aH interstate waters. This Act also created the Federal Water Pollution Control Administration which was empowered to
develop water quality standards for States who failed to do so. Again, the Federal government's role was limited to assisting local
governments address their water pollution control problems. Insufficient data, lack of water quality standards, and the burden of proof
of demonstrating a discharge had caused a violation of a standard impeded enforcement actions being taken.
As a result of the lack of success in developing water quality standards programs and ineffective enforcement of the FWPCA,
the Refuse Act of 1899 was revived and from 1969-1971, the Army Corp of Engineers was empowered to issue discharge permits.
As a result of an apparent conflict with a requirement of the 1969 National Environmental Policy Act, and that the Refuse Act had been
revived without congressional authorization, on October 18,1972, amendments to the FWPCA were enacted.
The FWPCA Amendments of 1972 set up a comprehensive regulatory scheme for controlling water pollution discharges and
resolved the differences between the water quality standards approach of the 1965 Water Quality Act and the effluent standards
approach of the Refuse Act The 1972 amendments to the FWPCA set a National goal of eliminating the discharge of pollutants into
the navigable waters by 1985. The amendments also abandoned water quality as the primary regulatory approach in favor of EPA-
promulgated, industry-by-industry, technology-based effluent limitations and extended Federal jurisdiction to all waters of the United
States.
The National PoDutant Discharge Elimination System (NPDES) permit program was also established (Section 402) under the 1972
amendments to implement these 'technology-forcing' standards. This was to supersede the Refuse Act permitting program. Under
this scheme, a permit is required for any discharge into the waters of the United States. The permit cannot be issued unless the
discharge meets Federal effluent guidelines or. where no guidelines exist, the issuing Agency's best professional judgment on how to
meet statutory requirements. The Act further required more stringent permit limitations based on State water quality standards and
criteria. It also requred EPA to promulgate pretreatment standards for pollutants not susceptible to treatment by POTWs and authorized
EPA to establish standards for toxic pollutants from existing and new sources. In addition, the amendments provided EPA with
extensive enforcement authority, including issuance of Administrative Orders, and established civil penalties of up to $10,000 per day
of violation and criminal penalties of up to $25,000 per day of violation and 1 year in prison.
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EPA promulgated the initial regulations for State NPOES programs on December 22,1972. (37 FR 28391) and promulgated
substantive NPDES permitting requirements on May 22,1973 (38 FR 13528). In the initial, or first-round,' permitting effort, EPA and
States with NPOES program authority issued over 65,000 NPOES permits. EPA issued the vast majority of these permits prior b
promulgation of Best Practicable Control Technology (BPT) effluent guidelines by relying on its authority under Section 402(a)(1) of
the Act to issue permits with 'such conditions as the Administrator determines to be necessary to carry out the provisions of this Act*
In response to the statutory amendments, EPA promulgated 40 CFR Part 128 Pretreatment Standards in late 1973. This
regulation contained general prohibitions against interference with treatment plant operation and pass through of pollutants to receiving
waters. It also established pretreatment standards for the discharge of incompatible pollutants from specific categories of industries.
EPA's development of BPT National effluent guidelines focused largely on conventional pollutants such as Biochemical Oxygen
Demand (BOD), suspended solids, and acidity and alkalinity. In 1975, the Natural Resources Defense Council (NROC) and several
other environmental groups filed suit against EPA challenging: (1) EPA's criteria for identifying toxic pollutants under Section 307(a)
of the FWPCA, and EPA's failure to promulgate effluent standards under this section; and (2) EPA's failure to promulgate pretreatment
standards under Section 307(b) of the Act for numerous industrial categories and pollutants. In settling this litigation, EPA and NROC
entered into a consent agreement whereby EPA was to regulate toxic pollutants through effluent guidelines and standards. [NRDC
vs. Train. 8 ERC 2120 (D. D.C. 1976)].
The consent agreement required EPA to regulate the discharge of 65 categories of priority pollutants (which included 129
chemical substances) from 21 industrial categories. The decree required adoption of Best Available Technology (BAT) effluent limitation
guidelines in each category by June 30,1983, and set similar requirements for new sources and indirect dischargers. NPDES permits
issued or renewed after January 1.1976, had to be modified to reflect these new effluent standards. (On March 9.1979, the consent
agreement was modified (12 ERC 1833) to adopt the 1977 amendments to the Act This included adopting a BAT compliance deadline
of June 30,1984 extending the deadline for developing technology-based effluent limitations for toxics, and regrouping the 21 primary
industrial categories into 34 categories.)
In February, 1977, EPA published proposed General Pretreatment Regulations (40 CFR Part 403). This package proposed four
major options for creating the framework to deal with the problems of pollution from indirect dischargers. The 1977 proposal generated
extensive public and congressional debate. EPA held numerous public meetings and hearings which produced testimony or written
comments from 400 individuals or groups.
In December, 1977, Congress developed amendments to the FWPCA. Under these amendments, known formally as the Clean
Water Act Congress incorporated much of the NRDC consent agreement to:
Adopt the list of priority pollutants as the list of toxic pollutants to be regulated by EPA
Require establishment of BAT effluent limitation guidelines by July 1,1980
Require compliance with BAT effluent limitations by July 1,1984
Allow EPA to add to or delete from the list of toxic pollutants.
The amendments also added significant pretreatment provisions.
EPA was given the authority to take enforcement actions in a State with NPDES program approval to prevent the
introduction of pollutants into a POTW that is discharging pollutants in violation of its permits (EPA previously had this
authority only in unapproved States).
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EPA was authorized to take a civil action against an indirect discharger for violating any pretreatment standard and against
the receiving POTW if that POTW does not begin enforcement action within 30 days following notice from the Administrator.
EPA was authorized to require POTWs to submit pretreatment programs for agency approval.
States were requred to include conditions in NPDES permits that ensure the identification of sources introducing pollutants
to POTWs and to implement a program to ensure compliance with pretreatment standards by each such source.
On June 26,1978, the Agency promulgated the General Pretreatment Regulations (40 CFR Part 403) which established
mechanisms and procedures for applying National pretreatment standards and for establishing State and local programs. The regula-
tions complied with the new pretreatment mandates set forth in the Clean Water Act The General Pretreatment Regulations (40 CFR
Part 403) replaced the previous pretreatment requirements contained in 40 CFR Part 128. In the subsequent fiscal year, EPA for the
first time allocated significant Agency resources to implement the National Pretreatment Program.
In August of 1978, the Chemical Manufacturers Association (CMA), the U.S. Brewers Association, the Pacific Legal Foundation
and the Natural Resources Defense Council brought actions challenging various aspects of the regulations. On May 31,1979, EPA
entered into an agreement with the industrial petitioners which sought to settle most of the issues raised by these parties during
litigation. Accordingly, the Agency published proposed amendments to the General Pretreatment Regulations on October 29,1979.
The parlies to the settlement agreed not to litigate the issues covered by the agreement if the language of the final amended regulations
did not differ significantly from the October proposal.
The proposed amendments to the General Pretreatment Regulations centered on simplifying and easing the requirements for
a POTW to grant removal credits altering the categorical discharge limits applicable to its industrial users. In addition to changes
proposed pursuant to the settlement agreement the proposed amendments included changes initiated by EPA to resolve inconsis-
tencies and to clarify ambiguous provisions of the June 1978 regulations.
On January 28,1981, EPA promulgated amendments to the General Pretreatment Regulations (40 CFR Part 403) which were
to take effect on March 13,1981. However, the President's regulation freeze issued on January 29,1981, delayed the effective date
until March 30.1981. On April 2.1981, a notice in the Federal Register indefinitely postponed the effective date of the amendments
pending a decision by. the President!s Task Force on Regulatory Relief of the Office of Management and Budget
On July 8,1981, the United States Court of Appeals for the Third Crcuit issued an opinion finding that the indefinite postponement
of the amendments to the General Pretreatment Regulations contradicted the notice and comment provisions of the Administrative
Procedures Act To remedy this violation, the Court directed the Agency to retroactively reinstate all of the amendments, effective March
30,1981.
Various parties challenged the pretreatment regulations and the electroplating categorical pretreatment standards. All the cases
were consoDdated in National Association of Metal Finishers (NAMF) et al. vs. EPA in the United States Court of Appeals for the Third
Circuit The pretreatment provisions challenged in the litigation included:
Definitions of "new source," "interference," and "pass through"
Combined wastestream formula (CWF)
Removal credits provision
Fundamentally different factors (FDF) variance provision.
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In its ruling issued on September 20,1983, the Third Circuit Court of Appeals upheld the electroplating standards, the CWF, and
the removal credits provision. However, the court remanded to EPA the challenged definitions and the PDF provision of the General
Pretreatment Regulations. As a result of these decisions, on February 10,1984, EPA suspended the regulatory definitions of the terms
in question and modified the PDF provision so that an PDF variance was not available for toxic pollutants. However, in February 1985,
the Supreme Court reversed the judgment of the Third Circuit Court of Appeals with regards to the challenged PDF provisions. There-
fore, EPA continues to have the authority to grant PDF variances from pretreatment standards for conventional, nonconventional. and
toxic pollutants.
On February 3,1984, the EPA Administrator established the Pretreatment Implementation Review Task Force (PIRT) to evaluate
problems experienced by States, municipalities, and industries during the implementation of pretreatment program requirements. PIRT
reviewed program development approval and implementation regulations and procedures. In a report titled Pretreatment
Implementation Review Task Force Final Report to the Administrator, dated January 30, 1985, PIRT submitted its findings and
recommendations. PIRT recommended that EPA:
* Develop guidance to simplify and clarify the pretreatment program requirements
Expedite issuance of water quality standards
Expeditiously develop sludge management and disposal requirements
Publish guidance on regulation of research and development and Federal facilities
Provide guidance on industrial monitoring frequencies
Develop an Inspection Training Program for Control Authorities
Develop a uniform data reporting format for the annual Control Authority report
Step up enforcement actions against Control Authorities without program approval
Step up enforcement actions against industrial users not submitting baseline monitoring reports and those not in
compliance with categorical standards
Increase the resources available to implement the National Pretreatment Program by increasing manpower at EPA and
increasing grant funding to States and Control Authorities
Define roles and relationships between EPA, States and Control Authorities.
PIRT also suggested a number of regulatory revisions which included changes to the definitions of "interference,* 'pass through,"
and 'new source* and to various other provisions of the 40 CFR Part 403 regulations.
On July 10,1984, in response to PIRTs recommendations, EPA promulgated a revised definition of 'new source* to replace the
definition previously remanded as part of the Third Circuit Court of Appeals' decision in NAMF et a/, vs. EPA. In addition, on January
14,1987, EPA promulgated revised definitions of 'interference* and "pass through* to replace those also suspended pursuant to that
decision. (The definitions of pass through and interference are important for use during determinations of industrial user violations of
the general or specific prohibitions and during evaluations of a Control Authority's need to develop local limits.)
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In August 1984, EPA promulgated revisions to the removal credit provision. However, on April 30,1986, in the case of NRDC
vs. EPA. 16 ELR 20693 (3rd Cir. 1986) the Court held that EPA could not grant removal-credits authority to POTWs primarily due to
the absence of technical sludge regulations (i.e., regulations outlining the specific criteria for sludge disposal).
In an effort to clarify the General Pretreatment Regulations, to remove inconsistencies, and to correct errors, erroneous references
and inadvertent omissions, EPA promulgated amendments to 40 CFR Part 403 on June 4, 1986. In response to a PIRT
recommendation, EPA promulgated updated versions of Appendices B and C in the June 4,1986 ruling. A revised Appendix 0 was
promulgated on October 9,1986.
In February, 1987, Congress passed the Water Quality Act of 1987. These amendments:
Revised Section 301 (h) to require POTWs serving populations greater than 50,000 and holding a waiver from secondary
treatment requirements for discharge to marine waters to enforce pretreatment standards and requirements
Revised Section 301 (n) to recognize that categorical industries may be eligible for FOP variances
Revised Section 304(1) to require States to identify water bodies which remain impaired due to toxicity after imposition of
BAT/BCT controls, and develop additional controls to eliminate the toxicity
Revised Section 307(e) to extend categorical standard compliance deadlines for innovative technology
Revised Section 309(c) to designate knowing and/or negligent violations of requirements as Federal criminal offenses .
Revised Section 402(m) to prohibit EPA from requiring additional pretreatment of conventional pollutants as a substitute
for the POTW's inadequate treatment of such wastes
In addition, Congress reaffirmed NRDC vs. EPA. 16 ELR 20693 (3rd Cir. 1986) which held that EPA could not approve
POTW requests for removal credits due to, among other reasons, the lack of Federal technical sludge standards.
White these Amendments affected EPA resources, they did not require the Agency to make major revisions to existing regulations or
policies.
*
EPA promulgated further significant revisions to the General Pretreatment Regulations on October 17,1988 (53 FR 40562).
These revisions clarified existing regulations, addressed additional PIRT recommendations, and provided conformity with the NPDES
regulations. In general, these revisions involved new or modified requirements regarding: (1) pretreatment standards and requirements
- local limits, (2) Control Authority program requirements - enforcement remedies, (3) Control Authority and State program approvals,
and (4) industrial user and Control Authority compliance monitoring and reporting requirements.
Another study impacting the Pretreatment Program was the Domestic Sewage Study (OSS). The study was submitted to
Congress by EPA in response to Section 3018(a) of the Resource Conservation and Recovery Act (RCRA). That provision directed
the Agency to report to Congress on wastes discharged to POTWs through sewer systems that are exempt from regulation under RCRA
as a result of the Domestic Sewage Exclusion. On June 22, 1987, EPA issued a Federal Register notice (52 FR 23477) which
summarized the principal public comments on the Agency's preliminary approaches to fulfilling the recommendations of the DSS. This
notice also discussed the program and research activities which EPA had underway to aid in this effort Changes to the General
Pretreatment Regulations to implement some DSS recommendations were proposed in the Federal Register on November 23,1988
(53 FR 47632). These regulations were subsequently promulgated in the Federal Register on July 24,1990 (55 FR 30082). The DSS
regulations generally included revisions regarding the following new or modified requirements: (1) whole effluent toxicity testing, (2)
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specific discharge prohibitions. (3) local dscharge Emits, (4) notification of hazardous waste discharges, (5) controls for spills and batch
discharges, (6) industrial user control mechanisms, and (7) monitoring and enforcement
In 1987, Section 405(d) of the Clean Water Act was amended b require EPA to establish standards that adequately protect public
health and the environment from any reasonably anticipated adverse effects of pollutants in sewage sludge that is used or disposed.
These amendments also required that any NPDES permit include sewage sludge use or disposal standards unless these requirements
are included in another permit In addition, the amendments expanded the regulated universe to include all 'treatment works treating
domestic sewage* (TWTDS). even those not needing an NPDES permit TWTDS include all sewage sludge or wastewater treatment
systems used to store, treat recycle, and reclaim municipal or domestic sewage.
In response to these sewage sludge statutory mandates, EPA has undertaken several rulemakings. On May 2.1989 (54 PR
19716). EPA revised 40 CFR Parts 122 and 124 to establish procedures and requirements to integrate sewage sludge management
into NPDES permits. At the same time, the Agency revised 40 CFR Part 123 governing the approval of State NPDES programs and
promulgated a new part 40 CFR Part 501 (State Management Program Regulations), that established program requirements and
procedures for States to seek approval of non-NPDES sewage sludge management programs. On February 19,1993, EPA published
regulations at 40 CFR Part 503 (58 FR 9248). Standards for the Use or Disposal of Sewage Sludge, that address the standards
mentioned in Section 405(d). Part 503 contains requirements for the use/disposal of sewage sludge when it is:
Applied to land for a beneficial purpose (land application)
Placed on a surface disposal site (surface disposal)
Fired in a sewage sludge incinerator (incineration)
Placed in a municipal solid waste landfill (MSWLF).
Fa each of the first three use/disposal practices. Part 503 presents general requirements, specifies numeric limits on pollutant
concentrations in sewage sludge, describes management practices and, in some cases, details operational requirements. It also
includes monitoring, record keeping, and reporting requirements.
Specific requrements for sewage sludge disposed of in an MSWLF do not appear in Part 503. Rather, these requirements are
found in 40 CFR Part258. which was jointly promulgated under the CWA and the Resource Conservation and Recovery Act Part 503
requires compliance with criteria in 40 CFR Part 258. If a municipal wastewater treatment works uses a MSWLF to dispose of its
sewage sludge, the treatment works must ensure that the sludge is nonhazardous and passes the Paint Filter Liquid Test
Part 503 also affected the National Pretreatment Program. Treatment works with sewage sludge not meeting the sludge quality
standards in 40 CFR Part 503 for a particular use/disposal practice must clean up the influent by establishing more stringent local limits
on industrial users. In addition, at the same time that it promulgated Part 503, EPA took the opportunity to publish revisions to 40 CFR
§ 403.7, the removal credits provision. This amendment to the General Pretreatment Regulations contains an appendix with two lists
of pollutants eligible for a removal credit with respect to the use or disposal of sewage sludge.
Pretreatment Program Objectives. Organizational Structure, and Responsibilities
The National Pretreatment Program is designed to .reduce the amount of pollutants discharged by industry and other non-
domestic wastewater sources into municipal sewer systems, and thereby, reduce the amount of pollutants released into the
environment from wastewater treatment plants. The program is a cooperative effort of Federal, State, and local regulatory environmental
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agencies established to protect water quality. The term "pretreatmenf refers to pollutant control requirements for non-domestic sources
discharging wastewater to sewer systems that are connected to POTWs. Limits on the arriount of pollutants allowed to be discharged
are established by EPA, the State, or the local authority. Pretreatment limits may be met by the industry through pollution
prevention/waste minimization (e.g., production substitution, recycling and reuse of materials) or treatment of the wastewater.
The requirement for development of a POTW pretreatment program is included as a condition of a POTW's NPOES permit
POTWs required to develop programs to include those:
with combined design flows of greater than five(5) million gallons per day ("MGD"), and
receiving pollutants from categorical industrial users, and/or
receiving pollutants which pass through the POTW treatment plant or interfere with POTW operations.
POTWs with design flows less than or equal to five (5) MGD may be required to develop a program if necessary to prevent interference
or pass through. States with approved pretreatment programs may choose to assume responsibility for a local program as provided
for in 40 CFR Part 403.10(e).
Industrial Users are regulated by the National Pretreatment Program through three types of regulatory entities: EPA, Approval
Authorities, and Control Authorities. Approval Authorities oversee Control Authorities while Control Authorities regulate industrial users.
An Approval Authority can denote the EPA or a delegated State while a Control Authority can denote EPA, a delegated State, or a
POTW. General responsibilities of each of these regulatory entities are as follows:
EPA
Headquarters
Oversee program implementation at all levels
Develop and modify regulations for the pretreatment program
Develop policies to clarify and further define the program
Develop technical guidance for program implementation
Initiate enforcement actions as appropriate
Regions
Fulfill Approval Authority responsibilities for States without program delegation
Oversee State program implementation
Initiate enforcement actions as appropriate.
Approval Authorities
Notify POTWs of their responsibilities
Review and approve POTW pretreatment programs
Review modifications to categorical pretreatment standards
Oversee POTW program implementation
- Provide technical guidance to POTWs
Regulate industries in POTWs without pretreatment programs
Initiate enforcement actions, against noncompliant POTWs or industries.
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Control Authorities
Develop and maintain an approved pretreatment program
Evaluate compliance of regulated industrial users
Initiate enforcement action against industries as appropriate
Submit reports to approval authority
Develop local limits (or demonstrate why they are not needed)
Develop and implement an enforcement response plan.
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Pretreatment Quiz
1. Where are the General Pretreatment Regulations found? 40 CFR Part
2. According to the General Pretreatment Regulations, what size POTWs (based on
gallons per day design flow) must be evaluated to determine the need to develop and
implement a pretreatment program?
3. Define Interference and Pass Through: ;
4. What year was EPA established?
5. List three criteria that are used to determine if an industrial user should be considered
a significant industrial user?
a.
b.
c.
6. Name all the EPA Administrators starting with the current Administrator.
7. List the pollutants that EPA policy dictates must be evaluated for the need for local
limits:
8. What is the Internet address for EPA's home page on the world wide web?
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9. According to the Genera! Pretreatment Regulations, how .often (at a minimum) must a
POTW inspect and sample each of their significant industrial users?
10. Cross media transfers refer to: (circle all that apply)
a. irritable news reporters on assignment
b. a biological experiment on cloning
c. EPA's reorganizational approach
d. none of the above, actually it means
11. How many years must POTWs and industries retain their records and test results?
12. True OR False : Enforcement response plans are required for POTWs with approved
programs.
13. Name the EPA region we are currently in, and the name of the Pretreatment
Coordinator for this region.
Region Coordinator
14. An electroplating firm that discharges to the local POTW, owns 60% of the metal that
it plates and has been in business at the same location since 1980. What categorical
standard(s) apply? 40 CFR and Category name
15. What is the Pollution Prevention Hierarchy as defined in The Pollution Prevention Act
of 1990?
16. Who is Bob Zimmerman more commonly known as?
Name
Remember... Valuable prizes will be offered for both accuracy and creativity!
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PART 403-GENERAL PRETREATMENT REGULATIONS FOR EXISTING AND
NEW SOURCES OF POLLUTION
Authority: 33 U.S.C. 1251 et seq.
Source: 46 FR 9439, Jan. 28, 1981; Amended 62 FR 38406, July 17, 1997, unless otherwise
noted.
Editorial Note: Nomenclature change to part 403 appears at 51 FR 20430, June 4, 1986.
§ 403.1 Purpose and applicability
(a) This part implements sections 204(b)(l)(C), 208(b)(2) (C)(iii), 301(b)(l)(A)(ii), 301(b)(2) (A)(ii),
301(h)(5) and 301(i)(2), 304 (e) and (g), 307, 308, 309, 402(b), 405, and 501 (a) of the Federal Water
Pollution Control Act as amended by the Clean Water Act of 1977 (Pub. L. 95-217) or "The Act". It
establishes responsibilities of Federal, State, and local government, industry and the public to implement
National Pretreatment Standards to control pollutants which pass through or interfere with treatment
processes in Publicly Owned Treatment Works (POTWs) or which may contaminate sewage sludge.
(b) This regulation applies:
(1) To pollutants from non-domestic sources covered by Pretreatment Standards which are indirectly
discharged into or transported by truck or rail or otherwise introduced into POTWs as defined below in §
403.3;
(2) To POTWs which receive wastewater from sources subject to National Pretreatment Standards;
(3) To States which have or are applying for National Pollutant Discharge Elimination System (NPDES)
programs approved in accordance with section 402 of the Act; and
(4) To any new or existing source subject to Pretreatment Standards. National Pretreatment Standards do
not apply to sources which Discharge to a sewer which is not connected to a POTW Treatment Plant.
[4$ FR 9439, Jan. 28, 1981, as amended at 48 FR 2776, Jan. 21, 1983; 60 FR 33926, June 29, 1995]
§403.2 Objectives of general pretreatment regulations
By establishing the responsibilities of government and industry to implement National Pretreatment
Standards this regulation fulfills three objectives:
(a) To prevent the introduction of pollutants into POTWs which will interfere with the. operation of a
POTW. including interference with its use or disposal of municipal sludge;
(b) To prevent the introduction of pollutants into POTWs which will pass through the treatment works or
otherwise be incompatible with such works: and
(c) To improve opportunities to recycle and reclaim municipal and industrial wastewaters and sludges.
§ 403.3 Definitions.
For the purposes of this part:
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(a) Except as discussed below, the general definitions, abbreviations, and methods of analysis set forth in 40
CFR part 401 shall apply to this regulation.
(b) The term Act means Federal Water Pollution Control Act, also known as the Clean Water Act, as
amended, 33 U.S.C. 1251, et seq.
(c) The term Approval Authority means the Director in an NPDES State with an approved State
pretreatment program and the appropriate Regional Administrator in a non-NPDES State or NPDES State
without an approved State pretreatment program.
(d) The term Approved POTW Pretreatment Program or Program or POTW Pretreatment Program means a
program administered by a POTW that meets the criteria established in this regulation (§§ 403.8 and 403.9)
and which has been approved by a Regional Administrator or State Director in accordance with § 403.11 of
this regulation.
(e) The term Director means the chief administrative officer of a State or Interstate water pollution control
agency with an NPDES permit program approved pursuant to section 402(b) of the Act and an approved
State pretreatment program.
(f) The term Water Management Division Director means one of the Directors of the Water Management
Divisions within the Regional offices of the Environmental Protection Agency or this person's delegated
representative.
(g) The term Indirect Discharge or Discharge means the introduction of pollutants into a POTW from any
non-domestic source regulated under section 307(b), (c) or (d) of the Act.
(h) The term Industrial User or User means a source of Indirect Discharge.
(i) The term Interference means a Discharge which, alone or in conjunction with a discharge or discharges
from other sources, both:
(1) Inhibits or disrupts the POTW, its treatment processes or operations, or its sludge processes, use or
disposal; and
(2) Therefore is a cause of a violation of any requirement of the POTW's NPDES permit (including an
increase in the magnitude or duration of a violation) or of the prevention of sewage sludge use or disposal in
compliance with the following statutory provisions and regulations or permits issued thereunder (or more
stringent State or local regulations): Section 405 of the Clean Water Act, the Solid Waste Disposal Act
(SWDA) (including title II, more commonly referred to as the Resource Conservation and Recovery Act
(RCRA), and including State regulations contained in any State sludge management plan prepared pursuant
to subtitle D of the SWDA), the Clean Air Act. the Toxic Substances Control Act, and the Marine Protection,
Research and Sanctuaries Act.
(j) The term National Pretreatment Standard. Pretreatment Standard, or Standard means any regulation
containing pollutant discharge limits promulgated by the EPA in accordance with section 307 (b) and (c) of
the Act, which applies to Industrial Users. This term includes prohibitive discharge limits established
pursuant to § 403.5.
(k)(l) The term 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 after the publication of proposed
Pretreatment Standards under section 307(c) of the Act which will be applicable to such source if such
Standards are thereafter promulgated in accordance with that section, provided that:
(i) The building, structure, facility or installation is constructed at a site at which no other source is located;
or
(ii) The building, structure, facility or installation totally replaces the process or production equipment that
causes the discharge of pollutants at an existing source; or
(iii) The production or wastewater generating processes of the building, structure, facility or installation are
substantially independent of an existing source at the same site. In determining whether these are
substantially independent, factors such as the extent to which the new facility is integrated with the existing
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plant, and the extent to which the new facility is engaged in the same general type of activity as the existing
source should be considered.
(2) Construction on a site at which an existing source is located results in a modification rather than a new
source if the construction does not create a new building, structure, facility or installation meeting the criteria
of paragraphs (k)(l)(ii), or (k)(l)(iii) of this section but otherwise alters, replaces, or adds to existing process
or production equipment.
(3) Construction of a new source as defined under this paragraph has commenced if the owner or operator
has:
(i) Begun, or caused to begin as part of a continuous onsite construction program:
(A) Any placement, assembly, or installation of facilities or equipment; or
(B) Significant site preparation work including clearing, excavation, or removal 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 contractual obligation for the purchase of facilities or equipment which are
intended to be used in its operation within a reasonable time. Options to purchase or contracts which can be
terminated or modified without substantial loss, and contracts for feasibility, engineering, and design studies
do not constitute a contractual obligation under this paragraph.
(1) The terms NPDES Permit or Permit means a permit issued to a POTW pursuant to section 402 of the
Act.
(m) The term NPDES State means a State (as defined in 40 CFR 122.2) or Interstate water pollution control
agency with an NPDES permit program approved pursuant to section 402(b) of the Act.
(n) The term Pass Through means a Discharge which exits the POTW into waters of the United States in
quantities or concentrations which, alone or in conjunction with a discharge or discharges from other sources,
is a cause of a violation of any requirement of the POTW's NPDES permit (including an increase in the
magnitude or duration of a violation).
(o) The term Publicly Owned Treatment Works or POTW means a treatment works as defined by section
212 of the Act. which is owned by a State or municipality (as defined by section 502(4) of the Act). This
definition includes any devices and systems used in the storage, treatment, recycling and reclamation of
municipal sewage or industrial wastes of a liquid nature. It also includes sewers, pipes and other conveyances
only if they convey wastewater to a POTW Treatment Plant. The term also means the municipality as defined
in section 502(4) of the Act, which has jurisdiction over the Indirect Discharges to and the discharges from
such a treatment works.
(p) The term POTW Treatment Plant means that portion of the POTW which is designed to provide
treatment (including recycling and reclamation) of municipal sewage and industrial waste.
(q) The term Pretreatment means the reduction of the amount of pollutants, the elimination of pollutants, or
the alteration of the nature of pollutant properties in wastewater prior to or in lieu of discharging or otherwise
introducing such pollutants into a POTW. The reduction or alteration may be obtained by physical, chemical
or biological processes, process changes or by other means, except as prohibited by § 403.6(d). Appropriate
pretreatment technology includes control equipment, such as equalization tanks or facilities, for protection
against surges or slug loadings that might interfere with or otherwise be incompatible with the POTW.
However, where wastewater from a regulated process is mixed in an equalization facility with unregulated
wastewater or with wastewater from another regulated process, the effluent from the equalization facility
must meet an adjusted pretreatment limit calculated in accordance with § 403.6(e).
(r) The term Pretreatment requirements means any substantive or procedural requirement related to
Pretreatment. other than a National Pretreatment Standard, imposed on an Industrial User.
(s) The term Regional Administrator means the appropriate EPA Regional Administrator.
(t) Significant Industrial User. (1) Except as provided in paragraph (t)(2) of this section, the term Significant
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Industrial User means:
(i) All industrial users subject to Categorical Pretreatment Standards under 40 CFR 403.6 and 40 CFR
chapter I, subchapter N; and
(ii) Any other industrial user that: discharges an average of 25,000 gallons per day or more of process
wastewater to the POTW (excluding sanitary, noncontact cooling and boiler blowdown wastewater);
contributes a process wastestream which makes up 5 percent or more of the average dry weather hydraulic or
organic capacity of the POTW treatment plant; or is designated as such by the Control Authority as defined
in 40 CFR 403.12(a) on the basis that the industrial user has a reasonable potential for adversely affecting the
POTW's operation or for violating any pretreatment standard or requirement (in accordance with 40 CFR
403.8(f)(6)).
(2) Upon a finding that an industrial user meeting the criteria in paragraph (t)(l)(ii) of this section has no
reasonable potential for adversely affecting the POTW's operation or for violating any pretreatment standard
or requirement, the Control Authority (as defined in 40 CFR 403.12(a)) may at any time, on its own initiative
or in response to a petition received from an industrial user or POTW, and in accordance with 40 CFR
403.8(f)(6), determine that such industrial user is not a significant industrial user.
(u) The term Submission means:
(1) A request by a POTW for approval of a Pretreatment Program to the EPA or a Director;
(2) A request by a POTW to the EPA or a Director for authority to revise the discharge limits in categorical
Pretreatment Standards to reflect POTW pollutant removals; or
(3) A request to the EPA by an NPDES State for approval of its State pretreatment program.
[46 FR 9439, Jan. 28, 1981, as amended at 49 FR 5132, Feb. 10, 1984; 49 FR 28059, July 10, 1984;51FR
20430, June 4, 1986; 51 FR 23760, July 1, 1986; 52 FR 1600, Jan. 14, 1987; 53 FR 40610, Oct. 17, 1988;
55 FR 30129, July 24, 1990]
§ 403.4 State or local law.
Nothing in this regulation is intended to affect any Pretreatment Requirements, including any standards or
prohibitions, established by State or local law as long as the State or local requirements are not less stringent
than any set forth in National Pretreatment Standards, or any other requirements or prohibitions established
under the Act or this regulation. States with an NPDES permit program approved in accordance with section
402 (b) and (c) of the Act, or States requesting NPDES programs, are responsible for developing a State
pretreatment program in accordance with § 403.10 of this regulation.
§ 403.5 National pretreatment standards: Prohibited discharges.
(a)(l) General prohibitions. A User may not introduce into a POTW any pollutant(s) which cause Pass
Through or Interference. These general prohibitions and the specific prohibitions in paragraph (b) of this
section apply to each User introducing pollutants into a POTW whether or not the User is subject to other
National Pretreatment Standards or any national, State, or local Pretreatment Requirements.
(2) Affirmative Defenses. A User shall have an affirmative defense in any action brought against it alleging
a violation of the general prohibitions established in paragraph (a)( 1) of this section and the specific
prohibitions in paragraphs (b)(3); (b)(4), (b)(5), (b)(6), and (b)(7) of this section where the User can
demonstrate that:
(i) It did not know or have reason to know that its Discharge, alone or in conjunction with a discharge or
discharges from other sources, would cause Pass Through or Interference; and
(ii)(A) A local Imiit designed to prevent Pass Through and/or Interference, as the case may be, was
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developed in accordance with paragraph (c) of this section for each pollutant in the User's Discharge that
caused Pass Through or Interference, and the User was in compliance with each such local limit directly prior
to and during the Pass Through or Interference; or
(B) If a local limit designed to prevent Pass Through and/or Interference, as the case may be, has not been
developed in accordance with paragraph (c) of this section for the pollutant(s) that caused the Pass Through
or Interference, the User's Discharge directly prior to and during the Pass Through or Interference did not
change substantially in nature or constituents from the User's prior discharge activity when the POTW was
regularly in compliance with the POTW's NPDES permit requirements and, in the case of Interference,
applicable requirements for sewage sludge use or disposal.
(b) Specific prohibitions. In addition, the following pollutants shall not be introduced into a POTW:
(1) Pollutants which create a fire or explosion hazard in the POTW, including, but not limited to,
wastestreams with a closed cup flashpoint of less than MO degrees Farenheit or 60 degrees Centigrade using
the test methods specified in 40 CFR 261.21.
(2) Pollutants which will cause corrosive structural damage to the POTW, but in no case Discharges with
pH lower than 5.0, unless the works is specifically designed to accommodate such Discharges;
(3) Solid or viscous pollutants in amounts which will cause obstruction to the flow in the POTW resulting in
Interference;
(4) An>' pollutant, including oxygen demanding pollutants (BOD,
etc.) released in a Discharge at a flow rate and/or pollutant concentration which will cause Interference with
the POTW.
(5) Heat in amounts which will inhibit biological activity in the POTW resulting in Interference, but in no
case heat in such quantities that the temperature at the POTW Treatment Plant exceeds 40°C (104°F) unless
the Approval Authority, upon request of the POTW, approves alternate temperature limits.
(6) Petroleum oil, nonbiodegradable cutting oil, or products of mineral oil origin in amounts that will cause
interference or pass through;
(7) Pollutants which result in the presence of toxic gases, vapors, or fumes within the POTW in a quantity
that may cause acute worker health and safety problems;
(8) Any trucked or hauled pollutants, except at discharge points designated by the POTW.
(c) When specific limits must be developed by POTW.
(1) Each POTW developing a POTW Pretreatment Program pursuant to § 403.8 shall develop and enforce
specific limits to implement the prohibitions listed in paragraphs ,(a)(l) and (b) of this section. Each POTW
with an approved pretreatment program shall continue to develop these limits as necessary and effectively
enforce such limits.
(2) All other POTW's shall, in cases where pollutants contributed by User(s) result in Interference or
Pass-Through, and such violation is likely to recur, develop and enforce specific effluent limits for Industrial
User(s), and all other users, as appropriate, which, together with appropriate changes in the POTW Treatment
Plant's facilities or operation, are necessary to ensure renewed and continued compliance with the POTW's
NPDES permit or sludge use or disposal practices.
(3) Specific effluent limits shall not be developed and enforced without individual notice to persons or
groups who have requested such notice and an opportunity to respond.
(d) Local limits. Where specific prohibitions or limits on pollutants or pollutant parameters are developed by
a POTW in accordance with paragraph (c) above, such limits shall be deemed Pretreatment Standards for the
purposes of section 307(d) of the Act.
(e) EPA enforcement actions under section 309(f) of the Clean Water Act. If, within 30 days after notice of
an Interference or Pass Through violation has been sent by EPA to the POTW, and to persons or groups who
have requested such notice, the POTW fails to commence appropriate enforcement action to correct the
violation, EPA may take appropriate enforcement action under the authority provided in section 309(f) of the
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Clean Water Act.
[46 FR 9439, Jan. 28, 1981, as amended at 51 FR 20430, June 4, 1986; 52 FR 1600, Jan. 14, 1987; 55 FR
30129, July 24, 1990;
60 FR 33926, June 29, 1995]
§ 403.6 National pretreatment standards: Categorical standards.
National pretreatment standards specifying quantities or concentrations of pollutants or pollutant properties
which may be discharged to a POTW by existing or new industrial users in specific industrial subcategories
will be established as separate regulations under the appropriate subpart of 40 CFR chapter I, subchapter N.
These standards, unless specifically noted otherwise, shall be in addition to all applicable pretreatment
standards and requirements set forth in this part.
(a) Category Determination Request-(l) Application Deadline.
Within 60 days after the effective date of a Pretreatment Standard for a subcategory under which an Industrial
User may be included, the Industrial User or POTW may request that the Water Management Division
Director or Director, as appropriate, provide written certification on whether the Industrial User falls within
that particular subcategory. If an existing Industrial User adds or changes a process or operation which may
be included in a subcategory, the existing Industrial User must request this certification prior to commencing
discharge from the added or changed processes or operation. A New Source must request this certification
prior to commencing discharge. Where a request for certification is submitted by a POTW, the POTW shall
notify any affected Industrial User of such submission. The Industrial User may provide written comments on
the POTW submission to the Water Management Division Director or Director, as appropriate, within 30
days of notification.
(2) Contents of Application. Each request shall contain a statement:
(i) Describing which subcategories might be applicable; and
(ii) Citing evidence and reasons why a particular subcategory is applicable and why others are not
applicable. Any person signing the application statement submitted pursuant to this section shall make the
following certification:
I certify under penalty 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 gather and
evaluate the information submitted. Based on my inquiry of the person or persons who manage the system, or
those persons directly responsible for gathering the information, the information submitted is, to the best of
my knowledge and belief, true, accurate, and complete. I am aware that there are significant penalties for
submitting false information, including the possibility of fine and imprisonment for knowing violations.
(3) Deficient requests. The Water Management Division Director or Director will only act on written
requests for determinations that contain all of the information required. Persons who have
made incomplete submissions will be notified by the Water Management Division Director or Director that
their requests are deficient and. unless the time period is extended, will be given 30 days to correct the
deficiency. If the deficiency is not corrected within 30 days or within an extended period allowed by the Water
Management Division Director or the Director, the request for a determination shall be denied.
(4) Final decision, (i) When the Water Management Division Director or Director receives a submittal he or
she will, after determining that it contains all of the information required by paragraph (2) of this section,
consider the submission, any additional evidence that may have been requested, and any other available
information relevant to the request. The Water Management Division Director or Director will then make a
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written determination of the applicable subcategory and state the reasons for the determination.
(ii) Where the request is submitted to the Director, the Director shall forward the determination described in
this paragraph to the Water Management Division Director who may make a final determination. The Water
Management Division Director may waive receipt of these determinations. If the Water Management Division
Director does not modify the Director's decision within 60 days after receipt thereof, or if the Water
Management Division Director waives receipt of the determination, the Director's decision is final.
(iii) Where the request is submitted by the Industrial User or POTW to the Water Management Division
Director or where the Water Management Division Director elects to modify the Director's decision, the
Water Management Division Director's decision will be final.
(iv) The Water Management Division Director or Director, as appropriate, shall send a copy of the
determination to the affected Industrial User and the POTW. Where the final determination is made by the
Water Management Division Director, he or she shall send a copy of the determination to the Director.
(5) Requests for hearing and/or legal decision. Within 30 days following the date of receipt of notice of the
final determination as provided for by paragraph (a)(4)(iv) of this section, the Requester may submit a
petition to reconsider or contest the decision to the Regional Administrator who shall act on such petition
expeditiously and state the reasons for his or her determination in writing.
(b) Deadline for Compliance with Categorical Standards. Compliance by existing sources with categorical
Pretreatment Standards shall be within 3 years of the date the Standard is effective unless a shorter
compliance time is specified in the appropriate subpart of 40 CFR chapter I, subchapter N. Direct dischargers
with NPDES permits modified or reissued to provide a variance pursuant to section 301(i)(2) of the Act shall
be required to meet compliance dates set in any applicable categorical Pretreatment Standard. Existing
sources which become Industrial Users subsequent to promulgation of an applicable categorical Pretreatment
Standard shall be considered existing Industrial Users except where such sources meet the definition of a New
Source as defined in § 403.3(k). New Sources shall install,and have in operating condition, and shall
"start-up" all pollution control equipment required to meet applicable Pretreatment Standards before
beginning to Discharge. Within the shortest feasible time (not to exceed 90 days), New Sources must meet all
applicable Pretreatment Standards.
(c)(l) Concentration and mass limits. Pollutant discharge limits in categorical Pretreatment Standards will
be expressed either as concentration or mass limits. Wherever possible, where concentration limits are
specified in standards, equivalent mass limits will be provided so that local, State or Federal authorities
responsible for enforcement may use either concentration or mass limits. Limits in categorical Pretreatment
Standards shall apply to the effluent of the process regulated by the Standard, or as otherwise specified by the
standard.
(2) When the limits in a categorical Pretreatment Standard are expressed only in terms of mass of pollutant
per unit of production, the Control Authority may convert the limits to equivalent limitations expressed either
as mass of pollutant discharged per day of effluent concentration for purposes of calculating effluent
limitations applicable to individual Industrial Users.
(3) A Control Authority calculating equivalent mass-per-day limitations under paragraph (c)(2) of this
section shall calculate such limitations b}' multiplying the limits in the Standard by the Industrial User's
average rate of production. This average rate of production shall be based not upon the designed production
capacity but rather upon a reasonable measure of the Industrial User's actual long-term daily production, such
as the average daily production during a representative year. For new sources, actual production shall be
estimated using projected production.
(4) A Control Authority calculating equivalent concentration limitations under paragraph (c)(2) of this
section shall calculate such limitations by dividing the mass limitations derived under paragraph (c)(3) of this
section by the average daily flow rate of the Industrial User's regulated process wastewater. This average
daily flow rate shall be based upon a reasonable measure of the Industrial User's actual long-term average
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flow rate, such as the average daily flow rate during the representative year.
(5) Equivalent limitations calculated in accordance with paragraphs (c)(3.) and (c)(4) of this section shall be
deemed Pretreatment Standards for the purposes of section 307(d) of the Act and this part. Industrial Users
will be required to comply with the equivalent limitations in lieu of the promulgated categorical standards
from which the equivalent limitations were derived.
(6) Many categorical pretreatment standards specify one limit for calculating maximum daily discharge
limitations and a second limit for calculating maximum monthly average, or 4-day average, limitations.
Where such Standards are being applied, the same production of flow figure shall be used in calculating both
types of equivalent limitations.
(7) Any Industrial User operating under a control mechanism incorporating equivalent mass or concentration
limits calculated from a production based standard shall notify the Control Authority within two (2) business
days after the User has a reasonable basis to know that the production level will significantly change within
the next calendar month. Any User not notifying the Control Authority of such anticipated change will be
required to meet the mass or concentration limits in its control mechanism that were based on the original
estimate of the long term average production rate.
(d) Dilution Prohibited as Substitute for Treatment. Except where expressly authorized to do so by an
applicable Pretreatment Standard or Requirement, no Industrial User shall ever increase the use of process
water, or in any other way attempt to dilute a discharge as a partial or complete substitute for adequate
treatment to achieve compliance with a Pretreatment Standard or Requirement. The Control Authority (as
defined in § 403.12(a)) may impose mass limitations on Industrial Users which are using dilution to meet
applicable Pretreatment Standards or Requirements, or in other cases where the imposition of mass
limitations is appropriate.
(e) Combined wastestream formula. Where process effluent is mixed prior to treatment with wastewaters
other than those generated by the regulated process, fixed alternative discharge limits may be derived by the
Control Authority, as defined in § 403.12(a), or by the Industrial User with the written concurrence of the
Control Authority. These alternative limits shall be applied to the mixed effluent. When deriving alternative
categorical limits, the Control Authority or Industrial User shall calculate both an alternative daily maximum
value using the daily maximum value(s) specified in the appropriate categorical Pretreatment Standard(s) and
an alternative consecutive sampling day average value using the monthly average value(s) specified in the
appropriate categorical Pretreatment Standard(s). The Industrial User shall comply with the alternative daily
maximum and monthly average limits fixed by the Control Authority until the Control Authority modifies the
limits or approves an Industrial User modification request. Modification is authorized whenever there is a
material or significant change in the values used in the calculation to fix alternative limits for the regulated
pollutant. An Industrial User must immediately report any such material or significant change to the Control
Authority. Where appropriate new alternative categorical limits shall be calculated within 30 days.
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(1) Alternative limit calculation. For purposes of these formulas, the "average daily flow" means a reasonable
measure of the average daily flow for a 30-day period. For new sources, flows shall be estimated using
projected values. The alternative limit for a specified pollutant will be derived by the use of either of the
following formulas:
(i) Alternative concentration limit.
C =
T
N
S CiFi
N
S Fi
.Ik-:
FT
J L
where
CT=the alternative concentration limit for the combined wastestream.
Ci=the categorical Pretreatment Standard concentration limit for a pollutant in the regulated stream i.
Fi=the average daily flow (at least a 30-day average) of stream i to the extent that it is regulated for such
pollutant.
FD=the average daily flow (at least a 30-day average) from:
(a) Boiler blowdown streams, non-contact cooling streams, stormwater streams, and demineralizer backwash
streams; provided, however, that where such streams contain a significant amount of a pollutant, and the
combination of such streams, prior to treatment, with an Industrial User's regulated process wastestream(s)
will result in a substantial reduction of that pollutant, the Control Authority, upon application of the
Industrial User, may exercise its discretion to determine whether such stream(s) should be classified as
diluted or unregulated. In its application to the Control Authority, the Industrial User must provide
engineering, production, sampling and analysis and such other information so that the Control Authority can
make its determination; or (b) sanitary wastestreams where such streams are not regulated by a Categorical
Pretreatment Standard; or (c) from any process wastestreams which were or could have been entirely
exempted from categorical Pretreatment Standards pursuant to paragraph 8 of the NRDC v. Costle Consent
Decree (12 ERC 1833) for one or more of the following reasons (see appendix D of this part):
(1) The pollutants of concern are not detectable in the effluent from the Industrial User (paragraph
(2) The pollutants of concern are present only in trace amounts and are neither causing nor likely to cause
toxic effects (paragraph (8)(a)(iii));
(3) The pollutants of concern are present in amounts too small to be effectively reduced by technologies
known to the Administrator (paragraph (8)(a)(iii)); or
(4) The wastestream contains only pollutants which are compatible with the POTW (paragraph (8)(b)(i)).
FT=The average daily flow (at least a 30-day average) through the combined treatment facility (includes Fi,
FD and unregulated streams).
N=The total number of regulated streams.
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(ii) Alternative mass limit.
MT =
N
SMi
i=l
FT-FD
N
S Fi
where
MT=the alternative mass limit for a pollutant in the combined wastestream.
Mi=the categorical Pretreatment Standard mass limit for a pollutant in the regulated stream i (the categorical
pretreatment mass limit multiplied by the appropriate measure of production).
Fi=the average flow (at least a 30-day average) of stream i to the extent that it is regulated for such
pollutant.
FD=the average daily flow (at least a 30-day average) from:
(a) Boiler blowdown streams, non-contact cooling streams, stormwater streams, and demineralizer backwash
streams; provided, however, that where such streams contain a significant amount of a pollutant, and the
combination of such streams, prior to treatment, with an Industrial User's regulated process wastestream(s)
will result in a substantial reduction of that pollutant, the Control Authority, upon application of the
Industrial User, may exercise its discretion to determine whether such stream(s) should be classified as
diluted or unregulated. In its application to the Control Authority, the Industrial User must provide
engineering, production, sampling and analysis and such other information so that the Control Authority can
make its determination; or (b) sanitary wastestreams where such streams are not regulated by a categorical
Pretreatment Standard; or (c) from any process wastestreams which were or could have been entirely
exempted from categorical Pretreatment Standards pursuant to paragraph 8 of the NRDC v. Costle Consent
Decree (12 ERC 1833) for one or more of the following reasons (see appendix D of this part):
(1) The pollutants of concern are not detectable in the effluent from the Industrial User (paragraph
(2) The pollutants of concern are present only in trace amounts and are neither causing nor likely to cause
toxic effects (paragraph (8)(a)(iii));
(3) The pollutants of concern are present in amounts too small to be effectively reduced by technologies
known to the Administrator (paragraph (8)(a)(iii)); or
(4) The wastestream contains only pollutants which are compatible with the POTW (paragraph (8)(b)(i)).
FT=The average flow (at least a 30-day average) through the combined treatment facility (includes Fi, FD
and unregulated streams).
N=The total number of regulated streams.
(2) Alternate limits below detection limit. An alternative pretreatment limit may not be used if the
alternative limit iibelow the analytical detection limit for any of the regulated pollutants.
10
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(3) Self-monitoring. Self-monitoring required to insure compliance with the alternative categorical limit
shall be conducted in accordance with the requirements of § 403.12(g).
(4) Choice of monitoring location. Where a treated regulated process wastestream is combined prior to
treatment with wastewaters other than those generated by the regulated process, the Industrial User may
monitor either the segregated process wastestream or the combined wastestream for the purpose of
determining compliance with applicable Pretreatment Standards. If the Industrial User chooses to monitor the
segregated process wastestream, it shall apply the applicable categorical Pretreatment Standard. If the User
chooses to monitor the combined wastestream, it shall apply an alternative discharge limit calculated using
the combined wastestream formula as provided in this section. The Industrial User may change monitoring
points only after receiving approval from the Control Authority. The Control Authority shall ensure that any
change in an Industrial User's monitoring point(s) will not allow the User to substitute dilution for adequate
treatment to achieve compliance with applicable Standards.
(Information collection requirements are approved by the Office of Management and Budget under control
number 2040-0009)
[46 FR 9439, Jan. 28, 1981, as amended at 49 FR 21037, May 17, 1984; 49 FR 31224, Aug. 3, 1984; 51 FR
20430, June 4, 1986; 51 FR 23760, July 1, 1986; 53 FR 40610, Oct. 17, 1988; 55 FR 30129, July 24, 1990;
58 FR 18017, Apr. 7, 1993]
§ 403.7 Removal credits.
(a) Introduction-(1) Definitions. For the purpose of this section:
(i) Removal means a reduction in the amount of a pollutant in the POTW's effluent or alteration of the
nature of a pollutant during treatment at the POTW. The reduction or alteration can be obtained by physical,
chemical or biological means and may be the result of specifically designed POTW capabilities or may be
incidental to the operation of the treatment system. Removal as used in this subpart shall not mean dilution of
a pollutant in the POTW.
(ii) Sludge Requirements shall mean the following statutory provisions and regulations or permits issued
thereunder (or more stringent State or local regulations): Section 405 of the Clean Water Act; the Solid Waste
Disposal Act (SWDA) (including title II more commonly referred to as the Resource Conservation Recovery
Act (RCRA) and State regulations contained in any State sludge management plan prepared pursuant to
subtitle D of SWDA); the Clean Air Act; the Toxic Substances Control Act; and the Marine Protection,
Research and Sanctuaries Act.
(2) General. Any POTW receiving wastes from an Industrial User to which a categorical Pretreatment
Standard(s) applies
may, at its discretion and subject to the conditions of this section, grant removal credits to reflect removal by
the POTW of pollutants specified in the categorical Pretreatment Standard(s). The POTW may grant a
removal credit equal to or. at its discretion, less than its consistent removal rate. Upon being granted a
removal credit, each affected Industrial User shall calculate its revised discharge limits in accordance with
paragraph (a)(4) of this section. Removal credits may only be given for indicator or surrogate pollutants
regulated in a categorical Pretreatment Standard if the categorical Pretreatment Standard so specifies.
(3) Conditions for authorization to give removal credits. A POTW is authorized to give removal credits only
if the following conditions are met:
(i) Application. The POTW applies for, and receives, authorization from the Approval Authority to give a
removal credit in accordance with the requirements and procedures specified in paragraph (e) of this section.
(ii) Consistent removal determination. The POTW demonstrates and continues to achieve consistent
11
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removal of the pollutant in accordance with paragraph (b) of this section.
(iii) POTW local pretreatment program. The POTW has an approved pretreatment program in accordance
with and to the extent required by part 403; provided, however, a POTW which does not have an approved
pretreatment program may, pending approval of such a program, conditionally give credits as provided in
paragraph (d) of this section.
(iv) Sludge requirements. The granting of removal credits will not cause the POTW to violate the local,
State and Federal Sludge Requirements which apply to the sludge management method chosen by the POTW.
Alternatively, the POTW can demonstrate to the Approval Authority that even though it is not presently in
compliance with applicable Sludge Requirements, it will be in compliance when the Industrial User(s) to
whom the removal credit would apply is required to meet its categorical Pretreatment Standard(s) as modified
by the removal credit. If granting removal credits forces a POTW to incur greater sludge management costs
than would be incurred in the absence of granting removal credits, the additional sludge management costs
will not be eligible for EPA grant assistance. Removal credits may be made available for the following
pollutants.
(A) For any pollutant listed in appendix G section I of this part for the use or disposal practice employed by
the POTW, when the requirements in 40 CFR part 503 for that practice are met.
(B) For any pollutant listed in appendix G section II of this part for the use or disposal practice employed by
the POTW when the concentration for a pollutant listed in appendix G section II of this part in the sewage
sludge that is used or disposed does not exceed the concentration for the pollutant in appendix G section II of
this part.
(C) For any pollutant in sewage sludge when the POTW disposes all of its sewage sludge in a municipal
solid waste landfill unit that meets the criteria in 40 CFR part 258.
(v) NPDES permit limitations. The granting of removal credits will not cause a violation of the POTW's
permit limitations or conditions. Alternatively, the POTW can demonstrate to the Approval Authority that
even though it is not presently in compliance with applicable limitations and conditions in its NPDES permit,
it will be in compliance when the Industrial User(s) to whom the removal credit would apply is required to
meet its categorical Pretreatment Standard(s), as modified by the removal credit provision.
(4) Calculation of revised discharge limits. Revised discharge limits for a specific pollutant shall be derived
by use of the following formula:
y=.
1-r
where:
x=pollutant discharge limit specified in the applicable categorical Pretreatment Standard
r=removal credit for that pollutant as established under paragraph (b) of this section (percentage removal
expressed as a proportion, i.e.. a number between 0 and 1)
y=revised discharge limit for the specified pollutant (expressed in same units as x)
(b) Establishment ofj Removal Credits; Demonstration of Consistent Removal-(l) Definition of Consistent
Removal. "Consistent Removal" shall mean the average of the lowest 50 percent of the removal measured
according to paragraph (b)(2) of this section. All sample data obtained for the measured pollutant during the
time period prescribed in paragraph (b)(2) of this section must be reported and used in computing Consistent
Removal. If a substance is measurable in the influent but not in the effluent, the effluent level may be
assumed to be the limit of measurement, and those data may be used by the POTW at its discretion and
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subject to approval by the Approval Authority. If the substance is not measurable in the influent, the date
may not be used. Where the number of samples with concentrations equal .to or above the limit of
measurement is between 8 and 12. the average of the lowest 6 removals shall be used. If there are less than 8
samples with concentrations equal to or above the limit of measurement, the Approval Authority may
approve alternate means for demonstrating Consistent Removal. The term "measurement" refers to the ability
of the analytical method or protocol to quantify as well as identify the presence of the substance in question.
(2) Consistent Removal Data. Influent and effluent operational data demonstrating Consistent Removal or
other information, as provided for in paragraph (b)(l) of this section, which demonstrates Consistent
Removal of the pollutants for which discharge limit revisions are proposed. This data shall meet the following
requirements:
(i) Representative Data; Seasonal. The data shall be representative of yearly and seasonal conditions to
which the POTW is subjected for each pollutant for which a discharge limit revision is proposed.
(ii) Representative Data; Quality' and Quantity. The data shall be representative of the quality and quantity
of normal effluent and influent flow if such data can be obtained. Ifsuch data are unobtainable, alternate data
or information may be presented for approval to demonstrate Consistent Removal as provided for in
paragraph (b)(l) of this section.
(iii) Sampling Procedures: Composite. (A) The influent and effluent operational data shall be obtained
through 24-hour flow-proportional composite samples. Sampling may be done manually or automatically,
and discretely or continuously. For discrete sampling, at least 12 aliquots shall be composited. Discrete
sampling may be flow-proportioned either by varying the time interval between each aliquot or the volume of
each aliquot. All composites must be flow-proportional to each stream flow at time of collection of influent
aliquot or to the total influent flow since the previous influent aliquot. Volatile pollutant aliquots must be
combined in the laboratory immediately before analysis.
(B)(l) Twelve samples shall be taken at approximately equal intervals throughout one full year. Sampling
must be evenly distributed over the days of the week so as to include no-workdays as well as workdays. If the
Approval Authority determines that this schedule will not be most representative of the actual operation of
.the POTW Treatment Plant, an alternative sampling schedule will be approved.
(2) In addition, upon the Approval Authority's concurrence, a POTW may utilize an historical data base
amassed prior to the effective data of this section provide that such data otherwise meet the requirements of
this paragraph. In order for the historical data base to be approved it must present a statistically valid
description of daily, weekly and seasonal sewage treatment plant loadings and performance for at least one
year.
(C) Effluent sample collection need not be delayed to compensate for hydraulic detention unless the POTW
elects to include detention time compensation or unless the Approval Authority requires detention time
compensation. The Approval Authority may require that each effluent sample be taken approximately one
detention time later than the corresponding influent sample when failure to do so would result in an
unrepresentative portrayal of actual POTW operation. The detention period is to be based on a 24-hour
average daily flow value. The average daily flow used will be based upon the average of the daily flows
during the same month of the previous year.
(iv) Sampling Procedures: Grab. Where composite sampling is not an appropriate sampling technique, a
grab sample(s) shall be taken to obtain influent and effluent operational data. Collection of influent grab
samples should precede collection of effluent samples by approximately one detention period. The detention
period is to be based on a 24-hour average daily flow value. The average daily flow used will be based upon
the average of the daily flows during the same month of the previous year. Grab samples will be required, for
example, where the parameters being evaluated are those, such as cyanide and phenol, which may not be held
for any extended period because of biological, chemical or physical interactions which take place after sample
collection and affect the results. A grab sample is an individual sample collected over a period of time not
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exceeding 15 minutes.
(v) Analytical methods. The sampling referred to in paragraphs (b)(2) (i) through (iv) of this section and an
analysis of these samples shall be performed in accordance with the techniques prescribed in 40 CFR part
136 and amendments thereto. Where 40 CFR part 136 does not contain sampling or analytical techniques for
the pollutant in question, or where the Administrator determines that the part 136 sampling and analytical
techniques are inappropriate for the pollutant in question, sampling and analysis shall be performed using
validated analytical methods or any other applicable sampling and analytical procedures, including
procedures suggested by the POTW or other parties, approved by the Administrator.
(vi) Calculation of removal. All data acquired under the provisions of this section must be submitted to the
Approval Authority. Removal for a specific pollutant shall be determined either, for each sample, by
measuring the difference between the concentrations of the pollutant in the influent and effluent of the POTW
and expressing the difference as a percent of the influent concentration, or, where such data cannot be
obtained, Removal may be demonstrated using other data or procedures subject to concurrence by the
Approval Authority as provided for in paragraph (b)(l) of this section.
(c) Provisional credits. For pollutants which are not being discharged currently (i.e., new or modified
facilities, or production changes) the POTW may apply for authorization to give removal credits prior to the
initial discharge of the pollutant. Consistent removal shall be based provisionally on data from treatability
studies or demonstrated removal at other treatment facilities where the quality and quantity of influent are
similar. Within 18 months after the commencement of discharge of pollutants in question, consistent removal
must be demonstrated pursuant to the requirements of paragraph (b) of this section. If, within 18 months after
the commencement of the discharge of the pollutant in question, the POTW cannot demonstrate consistent
removal pursuant to the requirements of paragraph (b) of this section, the authority to grant provisional
removal credits shall be terminated by the Approval Authority and all Industrial Users to whom the revised
discharge limits had been applied shall achieve compliance with the applicable categorical Pretreatment
Standard(s) within a reasonable time, not to exceed the period of time prescribed in the applicable categorical
Pretreatment Standard(s), as may be specified by the Approval Authority.
(d) Exception to POTW Pretreatment Program Requirement. A POTW required to develop a local
pretreatment program by § 403.8 may conditionally give removal credits pending approval of such a program
in accordance with the following terms and conditions:
(1) All Industrial Users who are currently subject to a categorical Pretreatment Standard and who wish
conditionally to receive a removal credit must submit to the POTW the information required in §
403.12(b)(l) through (7) (except new or modified industrial users must only submit the information required
by § 403.12(b)( 1) through (6)), pertaining to the categorical Pretreatment Standard as modified by the
removal credit. The Industrial Users shall indicate what additional technology, if any, will be needed to
comply with the categorical Pretreatment Standard(s) as modified by the removal credit;
(2) The POTW must have submitted to the Approval Authority an application for pretreatment program
approval meeting the requirements of §§ 403.8 and 403.9 in a timely manner, not to exceed the time
limitation set forth in a compliance schedule for development of a pretreatment program included in the
POTW's NPDES permit, but in no case later than July 1. 1983, where no permit deadline exists;
(3) The POTW must:
(i) Compile and submit data demonstrating its consistent removal in accordance with paragraph (b) of this
section;
(ii) Comply with the conditions specified in paragraph (a)(3) of this section; and
(iii) Submit a complete application for removal credit authority in accordance with paragraph (e) of this
section;
(4) If a POTW receives authority to grant conditional removal credits and the Approval Authority
subsequently makes a final determination, after appropriate notice, that the POTW failed to comply with the
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conditions in paragraphs (d)(2) and (3) of this section, the authority to grant conditional removal credits shall
be terminated by the Approval Authority and all -ndustrial Users to whom the revised discharge limits had
been applied shall achieve compliance with the applicable categorical Pretreatment Standard(s) within a
reasonable time, not to exceed the period of time prescribed in the applicable categorical Pretreatment
Standard(s), as may be specified by the Approval Authority.
(5) If a POTW grants conditional removal credits and the POTW or the Approval Authority subsequently
makes a final determination, after appropriate notice, that the Industrial User(s) failed to comply with the
conditions in paragraph (d)(l) of this section, the conditional credit shall be terminated by the POTW or the
Approval Authority for the non-complying Industrial User(s) and the Industrial User(s) to whom the revised
discharge limits had been applied shall achieve compliance with the applicable categorical Pretreatment
Standard(s) within a reasonable time, not to exceed the period of time prescribed in the applicable categorical
Pretreatment Standard(s), as may be specified by the Approval Authority. The conditional credit shall not be
terminated where a violation of the provisions of this paragraph results from causes entirely outside of the
control of the Industrial User(s) or the Industrial User(s) had demonstrated substantial compliance.
(6) The Approval Authority may elect not to review an application for conditional removal credit authority
upon receipt of such application, in which case the conditionally revised discharge limits will remain in effect
until reviewed by the Approval Authority. This review may occur at any time in accordance with the
procedures of § 403.11, but in no event later than the time of any pretreatment program approval or any
NPDES permit reissuance thereunder.
(e) POTW application for authorization to give removal credits and Approval Authority review-(l) Who
must apply. Any POTW that wants to give a removal credit must apply for authorization from the Approval
Authority.
(2) To whom application is made. An application for authorization to give removal credits (or modify
existing ones) shall be submitted by the POTW to the Approval Authority.
(3) When to apply. A POTW may apply for authorization to give or modify removal credits at any time.
(4) Contents of the Application. An application for authorization to give removal credits must be supported
by the following information:
(i) List of pollutants. A list of pollutants for which removal credits are proposed.
(ii) Consistent Removal Data. The data required pursuant to paragraph (b) of this section.
(iii) Calculation of revised discharge limits. Proposed revised discharge limits for each affected subcategory
of Industrial Users calculated in accordance with paragraph (a)(4) of this section.
(iv) Local Pretreatment Program Certification. A certification that the POTW has an approved local
pretreatment program or qualifies for the exception to this requirement found at paragraph (d) of this section.
(v) Sludge Management Certification. A specific description of the POTW's current methods of using or
disposing of its sludge and a certification that the granting of removal credits will not cause a violation of the
sludge requirements identified in paragraph (a)(3)(iv) of this section.
(vi) NPDES Permit Limit Certification. A certification that the granting of removal credits will not cause a
violation of the POTW's NPDES .permit limits and conditions as required in paragraph (a)(3)(v) of this
section.
(5) Approval Authority- Review. The Approval Authority shall review the POTW's application for
authorization to give or modify removal credits in accordance with the procedures of § 403.11 and shall, in no
event, have more that 180 days from public notice of an application to complete review.
(6) EPA review of State removal credit approvals. Where the NPDES State has an approved pretreatment
program, the Regional Administrator may agree in the Memorandum of Agreement under 40 CFR 123.24(d)
to waive the right to review and object to submissions for authority to grant removal credits. Such an
agreement shall not restrict the Regional Administrator's right to comment upon or object to permits issued to
POTW's except to'the extent 40 CFR 123.24(d) allows such restriction.
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(7) Nothing in these regulations precludes an Industrial User or other interested party from assisting the
POTW in preparing and presenting the information necessary to apply for authorization.
(f) Continuation and withdrawal of authorization
(1) Effect of authorization, (i) Once a POTW has received authorization to grant removal credits for a
particular pollutant regulated in a categorical Pretreatment Standard it may automatically extend that removal
credit to the same pollutant when it is regulated in other categorical standards, unless granting the removal
credit will cause the POTW to violate the sludge requirements identified in paragraph (a)(3)(iv) of this
section or its NPDES permit limits and conditions as required by paragraph (a)(3)(v) of this section. If a
POTW elects at a later time to extend removal credits to a certain categorical Pretreatment Standard,
industrial subcategory or one or more Industrial Users that initially were not granted removal credits, it must
notify the Approval Authority.
(2) Inclusion in POTW permit. Once authority is granted, the removal credits shall be included in the
POTW's NPDES Permit as soon as possible and shall become an enforceable requirement of the POTWs
NPDES permit. The removal credits will remain in effect for the term of the POTW's NPDES permit,
provided the POTW maintains compliance with the conditions specified in paragraph (f)(4) of this section.
(3) Compliance monitoring. Following authorization to give removal credits, a POTW shall continue to
monitor and report on (at such intervals as may be specified by the Approval Authority, but in no case less
than once per year) the POTW's removal capabilities. A minimum of one representative sample per month
during the reporting period is required, and all sampling data must be included in the POTW's compliance
report.
(4) Modification or withdrawal of removal credits-(i) Notice of POTW. The Approval Authority shall notify
the POTW if, on the basis of pollutant removal capability reports received pursuant to paragraph (f)(3) of
this section or other relevant information available to it, the Approval Authority determines:
(A) That one or more of the discharge limit revisions made by the POTW. of the POTW itself, no longer
meets the requirements of this section, or
(B) That such discharge limit revisions are causing a violation of any conditions or limits contained in the
POTW's NPDES Permit.
(ii) Corrective action. If appropriate corrective action is not taken within a reasonable time, not to exceed 60
days unless the POTW or the affected Industrial Users demonstrate that a longer time period is reasonably
necessary to undertake the appropriate corrective action, the Approval Authority shall either withdraw such
discharge limits or require modifications in the revised discharge limits.
(iii) Public notice of withdrawal or modification. The Approval Authority shall not withdraw or modify
revised discharge limits unless it shall first have notified the POTW and all Industrial Users to whom revised
discharge limits have been applied, and made public, in writing, the reasons for such withdrawal or
modification, and an opportunity is provided for a hearing. Following such notice and withdrawal or
modification, all Industrial Users to whom revised discharge limits had been applied, shall be subject to the
modified discharge limits or the discharge limits prescribed in the applicable categorical Pretreatment
Standards, as appropriate, and shall achieve compliance with such limits within a reasonable time (not to
exceed the period of time prescribed in the applicable categorical Pretreatment Standard(s) as may be
specified by the Approval Authority.
(g) Removal credits in State-run pretreatment programs under § 403.10(e). Where an NPDES State with an
approved pretreatment program elects to implement a local pretreatment program in lieu or requiring the
POTW to develop such a program (as provided in § 403.10(e)), the POTW will not be required to develop a
pretreatment program as a precondition to obtaining authorization to give removal credits. The POTW will,
however, be required to comply with the other conditions of paragraph (a)(3) of this section.
(h) Compensation for overflow. '' Overflow" means the intentional or unintentional diversion of flow from
the POTW before the POTW Treatment Plant. POTWs which at least once annually Overflow untreated
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wastewater to receiving waters may claims Consistent Removal of a pollutant only by complying with either
paragraph (h)(l) of (h)(2) or this section. However, this subsection shall riot apply where Industrial User(s)
can demonstrate that Overflow does not occur between the Industrial User(s) and the POTW Treatment
Plant;
(1) The Industrial User provides containment or otherwise ceases or reduces Discharges from the regulated
processes which contain the pollutant for which an allowance is requested during all circumstances in which
an Overflow event can reasonably be expected to occur at the POTW or at a sewer to which the Industrial
User is connected. Discharges must cease or be reduced, or pretreatment must be increased, to the extent
necessary to compensate for the removal not being provided by the POTW. Allowances under this provision
will only be granted where the POTW submits to the Approval Authority evidence that:
(i) All Industrial Users to which the POTW proposes to apply this provision have demonstrated the ability
to contain or otherwise cease or reduce, during circumstances in which an Overflow event can reasonably be
expected to occur. Discharges from the regulated processes which contain pollutants for which an allowance
is requested;
(ii) The POTW has identified circumstances in which an Overflow event can reasonably be expected to
occur, and has a notification or other viable plan to insure that Industrial Users will learn of an impending
Overflow in sufficient time to contain, cease or reduce Discharging to prevent untreated Overflows from
occurring. The POTW must also demonstrate that it will monitor and verify the data required in paragraph
(h)( 1 )(iii) of this section, to insure that Industrial Users are containing, ceasing or reducing operations during
POTW System Overflow; and
(iii) All Industrial Users to which the POTW proposes to apply this provision have demonstrated the ability
and commitment to collect and make available, upon request by the POTW, State Director or EPA Regional
Administrator, daily flow reports or other data sufficient to demonstrate that all Discharges from regulated
processes containing the pollutant for which the allowance is requested were contained, reduced or otherwise
ceased, as appropriate, during all circumstances in which an Overflow event was reasonably expected to
occur; or
(2)(i) The Consistent Removal claimed is reduced pursuant to the following equation:
8760-Z
re = r m
8760
Where:
rm = POTW's Consistent Removal rate for that pollutant as established under paragraphs (a)(l) and (b)(2)
of this section
re = removal corrected by the Overflow factor
Z = hours per year that Overflow occurred between the Industrial User(s) and the POTW Treatment Plant, the
hours either to be shown in the POTW's current NPDES permit application or the hours, as demonstrated by
verifiable techniques, that a particular Industrial User's Discharge Overflows between the Industrial User and
the POTW Treatment Plant; and
(ii) After July 1. 1983. Consistent Removal may be claimed only where efforts to correct the conditions
resulting in untreated Discharges by the POTW are underway in accordance with the policy and procedures
set forth in "PRM 75-34" or "Program Guidance Memorandum-61" (same document) published on
December 16. 1975, by EPA Office of Water Program Operations (WH-546). (See appendix A.) Revisions
to discharge limits in categorical Pretreatment Standards may not be made where efforts have not been
committed to by the POTW to minimize pollution from Overflows. At minimum, by July 1. 1983, the POTW
must have completed the analysis required by PRM 75-34 and be making an effort to implement the plan.
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(iii) If, by July 1. 1983, a POTW has begun the PRM 75-34 analysis but due to circumstances beyond its
control has not completed it, Consistent Removal, subject to the approval.of the Approval Authority, may
continue to be claimed according to the formula in paragraph (h)(2)(i) of this section as long as the POTW
acts in a timely fashion to complete the analysis and makes an effort to implement the non-structural
cost-effective measures identified by the analysis; and so long as the POTW has expressed its willingness to
apply, after completing the analysis, for a construction grant necessary to implement any other cost-effective
Overflow controls identified in the analysis should Federal funds become available, so applies for such funds,
and proceeds with the required construction in an expeditious manner. In addition, Consistent Removal may,
subject to the approval of the Approval Authority, continue to be claimed according to the formula in
paragraph (h)(2)(i) of this section where the POTW has completed and the Approval Authority has accepted
the analysis required by PRM 75-34 and the POTW has requested inclusion in its NPDES permit of an
acceptable compliance schedule providing for timely implementation of cost-effective measures identified in
the analysis. (In considering what is timely implementation, the Approval Authority shall consider the
availability of funds, cost of control measures, and seriousness of the water quality problem.)
(Information collection requirements are approved by the Office of Management and Budget under control
number 2040-0009)
[49 FR 31221, Aug. 3, 1984, as amended at 51 FR 20430, June 4, 1986; 53 FR 42435, Nov. 5, 1987; 58 FR
9386, Feb. 19, 1993; 58 FR 18017, Apr. 7, 1993]
§ 403.8 Pretreatment Program Requirements: Development and Implementation by
POTW
(a) POTWs required to develop a pretreatment program. Any POTW (or combination of POTWs operated
by the same authority) with a total design flow greater than 5 million gallons per day (mgd) and receiving
from Industrial Users pollutants which Pass Through or Interfere with the operation of the POTW or are
otherwise subject to Pretreatment Standards will be required to establish a POTW Pretreatment Program
unless the NPDES State exercises its option to assume local responsibilities as provided for in § 403.10(e).
The Regional Administrator or Director may require that a POTW with a design flow of 5 mgd or less
develop a POTW Pretreatment Program if he or she finds that the nature or volume of the industrial influent,
treatment process upsets, violations of POTW effluent limitations, contamination of municipal sludge, or
other circumstances warrant in order to prevent Interference with the POTW or Pass Through.
(b) Deadline for Program Approval. A POTW which meets the criteria of paragraph (a) of this section must
receive approval of a POTW Pretreatment Program no later than 3 years after the reissuance or modification
of its existing NPDES permit but in no case later than July 1, 1983. POTWs whose NPDES permits are
modified under section 301(h) of the Act shall have a Pretreatment Program within three (3) years as
provided for in 40 CFR part 125. subpart G. POTWs identified after July 1, 1983 as being required to
develop a POTW Pretreatment Program under paragraph (a) of this section shall develop and submit such a
program for approval as soon as possible, but in no case later than one year after written notification from the
Approval Authority of such identification. The POTW Pretreatment Program shall meet the criteria set forth
in paragraph (0 of this section and shall be administered by the POTW to ensure compliance by Industrial
Users with applicable Pretreatment Standards and Requirements.
+ (c) Incorporation of approved programs in permits. A POTW may develop an appropriate POTW
Pretreatment Program any time before the time limit set forth in paragraph (b) of this section. The POTWs
NPDES Permit will be reissued or modified by the NPDES State or EPA to incorporate the approved
Program as enforceable conditions of the Permit. The modification of a POTWs NPDES Permit for the
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purposes of incorporating a POTW Pretreatment Program approved in accordance with the procedure in Sec.
403.11 shall be deemed a minor Permit modification subject to the procedures in 40 CFR 122.63.
+ (d) Incorporation of compliance schedules in permits. [Reserved].
(e) Cause for reissuance or modification of Permits. Under the authority of section 402(b)(l)(C) of the Act,
the Approval Authority may modify, or alternatively, revoke and reissue a POTW's Permit in order to:
(1) Put the POTW on a compliance schedule for the development of a POTW Pretreatment Program where
the addition of pollutants into a POTW by an Industrial User or combination of Industrial Users presents a
substantial hazard to the functioning of the treatment works, quality of the receiving waters, human health, or
the environment;
(2) Coordinate the issuance of a section 201 construction grant with the incorporation into a permit of a
compliance schedule for POTW Pretreatment Program;
(3) Incorporate a modification of the permit approved under section 301(h) or 301(i) of the Act;
(4) Incorporate an approved POTW Pretreatment Program in the POTW permit; or
(5) Incorporate a compliance schedule for the development of a POTW pretreatment program in the POTW
permit.
(6) Incorporate the removal credits (established under § 403.7) in the POTW permit.
(f) POTW pretreatment requirements. A POTW pretreatment program must be based on the following legal
authority and include the following procedures. These authorities and procedures shall at all times be fully
and effectively exercised and implemented.
(1) Legal authority. The POTW shall operate pursuant to legal authority enforceable in Federal, State or
local courts, which authorizes or enables the POTW to apply and to enforce the requirements of sections 307
(b) and (c), and 402(b)(8) of the Act and any regulations implementing those sections. Such authority may be
contained in a statute, ordinance, or series of contracts or joint powers agreements which the POTW is
authorized to enact, enter into or implement, and which are authorized by State law. At a minimum, this legal
authority shall enable the POTW to:
(i) Deny or condition new or increased contributions of pollutants, or changes in the nature of pollutants, to
the POTW by Industrial Users where such contributions do not meet applicable Pretreatment Standards and
Requirements or where such contributions would cause the POTW to violate its NPDES permit;
(ii) Require compliance with applicable Pretreatment Standards and Requirements by Industrial Users;
(iii) Control through permit, order, or similar means, the contribution to the POTW by each Industrial User
to ensure compliance with applicable Pretreatment Standards and Requirements. In the case of Industrial
Users identified as significant under 40 CFR 403.3(t), this control shall be achieved through permits or
equivalent individual control mechanisms issued to each such user. Such control mechanisms must be
enforceable and contain, at a minimum, the following conditions:
(A) Statement of duration (in no case more than five years);
(B) Statement of non-transferability without, at a minimum, prior notification to the POTW and provision of
a copy of the existing control mechanism to the new owner or operator;
(C) Effluent limits based on applicable general pretreatment standards in part 403 of this chapter,
categorical pretreatment standards, local limits, and State and local law;
(D) Self-monitoring, sampling, reporting, notification and recordkeeping requirements, including an
identification of the pollutants to be monitored, sampling location, sampling frequency, and sample type,
based on the applicable general pretreatment standards in part 403 of this chapter, categorical pretreatment
standards, local limits, and State and local law;
(E) Statement of applicable civil and criminal penalties for violation of pretreatment standards and
requirements, and any applicable compliance schedule. Such schedules may not extend the compliance date
beyond applicable federal deadlines.
(iv) Require (A) the development of a compliance schedule by each Industrial User for the installation of
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technology required to meet applicable Pretreatment Standards and Requirements and (B) the submission of
all notices and self-monitoring reports from Industrial Users as are necessary to assess and assure compliance
by Industrial Users with Pretreatment Standards and Requirements, including but not limited to the reports
required in § 403.12.
(v) Carry out all inspection, surveillance and monitoring procedures necessary to determine, independent of
information supplied by Industrial Users, compliance or noncompliance with applicable Pretreatment
Standards and Requirements by Industrial Users. Representatives of the POTW shall be authorized to enter
any premises of any Industrial User in which a Discharge source or treatment system is located or in which
records are required to be kept under § 403.12(m) to assure compliance with Pretreatment Standards. Such
authority shall be at least as extensive as the authority provided under section 308 of the Act;
+ (vi)(A) Obtain remedies for noncompliance by any Industrial User with any Pretreatment Standard and
Requirement. All POTW's shall be able to seek injunctive relief for noncompliance by Industrial Users with
Pretreatment Standards and Requirements. All POTWs shall also have authority to seek or assess civil or
criminal penalties in at least the amount of $1,000 a day for each violation by Industrial Users of
Pretreatment Standardsand Requirements.
(B) Pretreatment requirements which will be enforced through the remedies set forth in paragraph
(f)(l)(vi)(A) of this section,
will include but not be limited to. the duty to allow or carry out inspections, entry, or monitoring activities;
any rules, regulations, or orders issued by the POTW; any requirements set forth in individual control
mechanisms issued by the POTW; or any reporting requirements imposed by the POTW or these regulations.
The POTW shall have authority and procedures (after informal notice to the discharger) immediately and
effectively to halt or prevent any discharge of pollutants to the POTW which reasonably appears to present an
imminent endangerment to the health or welfare of persons. The POTW shall also have authority and
procedures (which shall include notice to the affected industrial users and an opportunity to respond) to halt
or prevent any discharge to the POTW which presents or may present an endangerment to the environment or
which threatens to interfere with the operation of the POTW. The Approval Authority shall have authority to
seek judicial relief and may also use administrative penalty authority when the POTW has sought a monetary
penalty which the Approval Authority believes to be insufficient.
(vii) Comply with the confidentiality requirements set forth in § 403.14.
(2) Procedures. The POTW shall develop and implement procedures to ensure compliance with the
requirements of a Pretreatment Program. At a minimum, these procedures shall enable the POTW to:
(i) Identity and locate all possible Industrial Users which might be subject to the POTW Pretreatment
Program. Any compilation, index or inventory of Industrial Users made under this paragraph shall be made
available to the Regional Administrator or Director upon request;
(ii) Identity the character and volume of pollutants contributed to the POTW by the Industrial Users
identified under paragraph (f)(2)(i) of this section. This information shall be made available to the Regional
Administrator or Director upon request;
(iii) Notify Industrial Users identified under paragraph (f)(2)(i) of this section, of applicable Pretreatment
Standards and any applicable requirements under sections 204(b) and 405 of the Act and subtitles C and D of
the Resource Conservation and Recovery Act. Within 30 days of approval pursuant to 40 CFR 403.8(f)(6),
of a list of significant industrial users, notify each significant industrial user of its status as such and of all
requirements applicable to it as a result of such status.
(iv) Receive and analyze self-monitoring reports and other notices submitted by Industrial Users in
accordance with the self-monitoring requirements in § 403.12;
(v) Randomly sample and analyze the effluent from industrial users and conduct surveillance activities in
order to identity, independent of information supplied by industrial users, occasional and continuing
noncompliance with pretreatment standards. Inspect and sample the effluent from each Significant Industrial
20
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User at least once a year. Evaluate, at least once every two years, whether each such Significant Industrial
User needs a plan to control slug discharges. For purposes of this subsection, a slug discharge is any
discharge of a non-routine, episodic nature, including but not limited to an accidental spill or a non-customary
batch discharge. The results of such activities shall be available to the Approval Authority upon request. If
the POTW decides that a slug control plan is needed, the plan shall contain, at a minimum, the following
elements:
(A) Description of discharge practices, including non-routine batch discharges;
(B) Description of stored chemicals;
(C) Procedures for immediately notifying the POTW of slug discharges, including any discharge that would
violate a prohibition under 40 CFR 403.5(b), with procedures for follow-up written notification within five
days;
(D) If necessary, procedures to prevent adverse impact from
accidental spills, including inspection and maintenance of storage areas, handling and transfer of materials,
loading and unloading operations, control of plant site run-off, worker training, building of containment
structures or equipment, measures for containing toxic organic pollutants (including solvents), and/or
measures and equipment for emergency response;
(vi) Investigate instances of noncompliance with Pretreatment Standards and Requirements, as indicated in
the reports and notices required under § 403.12. or indicated by analysis, inspection, and surveillance
activities described in paragraph (f)(2)(v) of this section. Sample taking and analysis and the collection of
other information shall be performed with sufficient care to produce evidence admissible in enforcement
proceedings or in judicial actions; and
(vii) Comply with the public participation requirements of 40 CFR part 25 in the enforcement of national
pretreatment standards. These procedures shall include provision for at least annual public notification, in the
largest daily newspaper published in the municipality in which the POTW is located, of industrial users
which, at any time during the previous twelve months, were in significant noncompliance with applicable '
pretreatment requirements. For the purposes of this provision, an industrial user is in significant
noncompliance if its violation meets one or more of the following criteria:
(A) Chronic violations of wastewater discharge limits, defined here as those in which sixty-six percent or
more of all of the measurements taken during a six-month period exceed (by any magnitude) the daily
maximum limit or the average limit for the same pollutant parameter;
(B) Technical Review Criteria (TRC) violations, defined here as those in which thirty-three percent or more
of all of the measurements for each pollutant parameter taken during a six-month period equal or exceed the
product of the daily maximum limit or the average limit multiplied by the applicable TRC (TRC=1.4 for
BOD, TSS, fats, oil, and grease, and 1.2 for all other pollutants except pH.
(C) Any other violation of a pretreatment effluent limit (daily maximum or longer-term average) that the
Control Authority determines has caused, alone or in combination with other discharges, interference or pass
through (including endangering the health of POTW personnel or the general public);
(D) Any discharge of a pollutant that has caused imminent endangerment to human health, welfare or to the
environment or has resulted in the POTW's exercise of its emergency authority under paragraph (f)(l)(vi)(B)
of this section to halt or prevent such a discharge;
(E) Failure to meet, within 90 days after the schedule date, a compliance schedule milestone contained in a
local control mechanism or enforcement order for starting construction, completing construction, or attaining
final compliance;
(F) Failure to provide, within 30 days after the due date, required reports such as baseline monitoring
reports. 90-day compliance reports, periodic self-monitoring reports, and reports on compliance with
compliance schedules;
(G) Failure to accurately report noncompliance;
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(H) Any other violation or group of violations which the Control Authority determines will adversely affect
the operation or implementation of the local pretreatment program.
(3) Funding. The POTW shall have sufficient resources and qualified personnel to cam' out the authorities
and procedures described in paragraphs (f) (1) and (2) of this section. In some limited circumstances, funding
and personnel may be delayed where (i) the POTW has adequate legal authority and procedures to carry out
the Pretreatment Program requirements described in this section, and (ii) a limited aspect of the Program does
not need to be implemented immediately (see § 403.9(b)).
(4) Local limits. The POTW shall develop local limits as required in § 403.5(c)(l), or demonstrate that they
are not necessary.
(5) The POTW shall develop and implement an enforcement response plan. This plan shall contain detailed
procedures indicating how a POTW will investigate and respond to instances of industrial user
noncompliance. The plan shall, at a minimum:
(i) Describe how the POTW will investigate instances of noncompliance;
(ii) Describe the types of escalating enforcement responses the POTW will take in response to all
anticipated types of industrial user violations and the time periods within which responses will take place;
(iii) Identify' (by title) the official(s) responsible for each type of response;
(iv) Adequately reflect the POTW's primary responsibility to enforce all applicable pretreatment
requirements and standards, as detailed in 40 CFR 403.8 (f)(l) and (0(2).
+ (6) The POTW shall prepare and maintain a list of its industrial users meeting the criteria in Sec.
403.3(u)(l). The list shall identity the criteria in Sec. 403.3(u)(l) applicable to each industrial user and, for
industrial users meeting the criteria in Sec. 403.3(u)(ii), shall also indicate whether the POTW has made a
determination pursuant to Sec. 403.3(u)(2) that such industrial user should not be considered a significant
industrial user. The initial list shall be submitted to the Approval Authority pursuant to Sec. 403.9 as a
non-substantial modification pursuant to Sec. 403.18(d). Modifications to the list shall be submitted to the
Approval Authority pursuant to Sec. 403.12(i)(l).
(Information collection requirements are approved by the Office of Management and Budget under control
number 2040-0009)
[46 FR 9439, Jan. 28, 1981, as amended at 49 FR 31224, Aug. 3, 1984; 51 FR 20429, 20430, June 4, 1986;
51 FR 23759. July 1. 1986; 53 FR 40612. Oct. 17, 1988; 55 FR 30129. July 24, 1990; 58 FR 18017, Apr. 7,
1993; 60 FR 33926, June 29, 1995; 62 FR 38406, July 17, 1997]
§ 403.9 POTW pretreatment programs and/or authorization to revise pretreatment
standards: Submission for approval.
(a) Who approves Program. A POTW requesting approval of a POTW Pretreatment Program shall develop
a program description which includes the information set forth in paragraphs (b)(l) through (4) of this
section. This description shall be submitted to the Approval Authority which will make a determination on
the request for program approval in accordance with the procedures described in § 403.11.
(b) Contents of POTW program submission. The program description must contain the following
information:
(1) A statement from the City Solicitor or a city official acting in a comparable capacity (or the attorney for
those POTWs which have independent legal counsel) that the POTW has authority adequate to carry out the
programs described in § 403.8. This statement shall:
(i) Identify the provision of the legal authority under § 403.8(f)(l) which provides the basis for each
procedure under § 403.8(f)(2);
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(ii) Identify the manner in which the POTW will implement
the program requirements set forth in § 403.8, including the means by which Pretreatment Standards will be
applied to individual Industrial Users (e.g., by order, permit, ordinance, etc.); and,
(iii) Identify- how the POTW intends to ensure compliance with Pretreatment Standards and Requirements,
and to enforce them in the event of noncompliance by Industrial Users;
(2) A copy of any statutes, ordinances, regulations, agreements, or other authorities relied upon by the
POTW for its administration of the Program. This Submission shall include a statement reflecting the
endorsement or approval of the local boards or bodies responsible for supervising and/or funding the POTW
Pretreatment Program if approved;
(3) A brief description (including organization charts) of the POTW organization which will administer the
Pretreatment Program. If more than one agency is responsible for administration of the Program the
responsible agencies should be identified, their respective responsibilities delineated, and their procedures for
coordination set forth; and
(4) A description of the funding levels and full- and part-time manpower available to implement the
Program;
(c) Conditional POTW program approval. The POTW may request conditional approval of the Pretreatment
Program pending the acquisition of funding and personnel for certain elements of the Program. The request
for conditional approval must meet the requirements set forth in paragraph (b) of this section except that the
requirements of paragraph (b) of this section, may be relaxed if the Submission demonstrates that:
(1) A limited aspect of the Program does not need to be implemented immediately;
(2) The POTW had adequate legal authority and procedures to cam' out those aspects of the Program which
will not be implemented immediately; and
(3) Funding and personnel for the Program aspects to be implemented at a later date will be available when
needed. The POTW will describe in the Submission the mechanism by which this funding will be acquired.
Upon receipt of a request for conditional approval, the Approval Authority will establish a fixed date for the
acquisition of the needed funding and personnel. If funding is not acquired by this date, the conditional
approval of the POTW Pretreatment Program and any removal allowances granted to the POTW, may be
modified or withdrawn.
(d) Content of removal allowance submission. The request for authority to revise categorical Pretreatment
Standards must contain the information required in § 403.7(d).
. (e) Approval authority action. Any POTW requesting POTW Pretreatment Program approval shall submit
to the Approval Authority three copies of the Submission described in paragraph (b), and if appropriate, (d)
of tKis section. Within 60 days after receiving the Submission, the Approval Authority' shall make a
preliminary determination of whether the Submission meets the requirements of paragraph (b) and, if
appropriate, (d) of this section. If the Approval Authority makes the preliminary determination that the
Submission meets these requirements, the Approval Authority shall:
(1) Notify the POTW that the Submission has been received and is under review; and
(2) Commence the public notice and evaluation activities set forth in § 403.11.
(f) Notification where submission is defective. If. after review of the Submission as provided for in
paragraph (e) of this section, the Approval Authority determines that the Submission does not comply with
the requirements of paragraph (b) or (c) of this section, and, if appropriate, paragraph (d), of this section, the
Approval Authority shall provide notice in writing to the applying POTW and each person who has requested
individual
notice. This notification shall identify any defects in the Submission and advise the POTW and each person
who has requested individual notice of the means by which the POTW can comply with the applicable
requirements of paragraphs (b), (c) of this section, and, if appropriate, paragraph (d) of this section.
(g) Consistency with water quality management plans. (1) In order to be approved the POTW Pretreatment
23
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Program shall be consistent with any approved water quality management plan developed in accordance with
40 CFR parts 130, 131, as revised, where such 208 plan includes Management Agency designations and
addresses pretreatment in a manner consistent with 40 CFR part 403. In order to assure such consistency the
Approval Authority shall solicit the review and comment of the appropriate 208 Planning Agency during the
public comment period provided for in § 403.1 l(b)(l)(ii) prior to approval or disapproval of the Program.
(2) Where no 208 plan has been approved or where a plan has been approved but lacks Management
Agency designations and/or does not address pretreatment in a manner consistent with this regulation, the
Approval Authority shall nevertheless solicit the review and comment of the appropriate 208 planning
agency.
(Information collection requirements are approved by the Office of Management and Budget under control
number 2040-0009)
[53 FR 9439, Jan. 28, 1981, as amended at 53 FR 40612, Oct. 17, 1988; 58 FR 18017, Apr. 7, 1993]
§ 403.10 Development and submission of NPDES State pretreatment programs.
(a) Approval of State Programs. No State NPDES program shall be approved under section 402 of the Act
after the effective date of these regulations unless it is determined to meet the requirements of paragraph (f)
of this section. Notwithstanding any other provision of this regulation, a State will be required to act upon
those authorities which it currently possesses before the approval of a State Pretreatment Program.
+ (b) [Reserved]
+ (c) Failure to request approval. Failure of an NPDES State with a permit program approved under section
402 of the Act prior to December 27. 1977, to seek approval of a State Pretreatment Program and failure of
an approved State to administer its State Pretreatment Program in accordance with the requirements of this
section constitutes grounds for withdrawal of NPDES program approval under section 402(c)(3) of the Act.
+ (d) [Reserved]
(e) State Program in lieu of POTW Program. Notwithstanding the provision of § 403.8(a), a State with an
approved Pretreatment Program may assume responsibility for implementing the POTW Pretreatment
Program requirements set forth in § 403.8(f) in lieu of requiring the POTW to develop a Pretreatment
Program. However, this does not preclude POTW's from independently developing Pretreatment Programs.
(f) State Pretreatment Program requirements. In order to be approved, a request for State Pretreatment
Program Approval must demonstrate that the State Pretreatment Program has the following elements:
(1) Legal authority. The Attorney General's Statement submitted
in accordance with paragraph (g)(l)(i) of this section shall certify1 that the Director has authority under State
law to operate and enforce the State Pretreatment Program to the extent required by this part and by 40 CFR
123.27. At a minimum, the Director shall have the authority to:
(i) Incorporate POTW Pretreatment Program conditions into permits issued to POTW's; require compliance
by POTW's with these incorporated permit conditions; and require compliance by Industrial Users with
Pretreatment Standards;
(ii) Ensure continuing compliance by POTW's with pretreatment conditions incorporated into the POTW
Permit through review of monitoring reports submitted to the Director by the POTW in accordance with §
403.12 and ensure continuing compliance by Industrial Users with Pretreatment Standards through the review
of self-monitoring reports submitted to the POTW or to the Director by the Industrial Users in accordance
with §403.12:
(iii) Carry out inspection, surveillance and monitoring procedures which will determine, independent of
information supplfed by the POTW. compliance or noncompliance by the POTW with pretreatment
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conditions incorporated into the POTW Permit; and carry out inspection, surveillance and monitoring
procedures which will determine, independent of information supplied by the Industrial User, whether the
Industrial User is in compliance with Pretreatment Standards;
(iv) Seek civil and criminal penalties, and injunctive relief, for noncompliance by the POTW with
pretreatment conditions incorporated into the POTW Permit and for noncompliance with Pretreatment
Standards by Industrial Users as set forth in § 403.8(f)(l)(vi). The Director shall have authority to seek
judicial relief for noncompliance by Industrial Users even when the POTW has acted to seek such relief (e.g.,
if the POTW has sought a penalty which the Director finds to be insufficient);
(v) Approve and deny requests for approval of POTW Pretreatment Programs submitted by a POTW to the
Director;
(vi) Deny and recommend approval of (but not approve) requests for Fundamentally Different Factors
variances submitted by Industrial Users in accordance with the criteria and procedures set forth in § 403.13;
and
(vii) Approve and deny requests for authority to modify categorical Pretreatment Standards to reflect
removals achieved by the POTW in accordance with the criteria and procedures set forth in §§ 403.7, 403.9
and 403.11.
(2) Procedures. The Director shall have developed procedures to carry out the requirements of sections 307
(b) and (c), and 402(b)(l), 402(b)(2), 402(b)(8), and 402(b)(9) of the Act. At a minimum, these procedures
shall enable the Director to:
(i) Identify POTW's required to develop Pretreatment Programs in accordance with § 403.8(a) and notify
these POTW's of the need to develop a POTW Pretreatment Program. In the absence of a POTW
Pretreatment Program, the State shall have procedures to carry out the activities set forth in § 403.8(f)(2);
(ii) Provide technical and legal assistance to POTW's in developing Pretreatment Programs;
(iii) Develop compliance schedules for inclusion in POTW Permits which set forth the shortest reasonable
time schedule for the completion of tasks needed to implement a POTW Pretreatment
Program. The final compliance date in these schedules shall be no later than July 1, 1983;
(iv) Sample and analyze:
(A) Influent and effluent of the POTW to identify, independent of information supplied by the POTW,
compliance or noncompliance
with pollutant removal levels set forth in the POTW permit (see § 403.7); and
(B) The contents of sludge from the POTW and methods of sludge disposal and use to identify, independent
of information supplied by the POTW. compliance or noncompliance with requirements applicable to the
selected method of sludge management;
(v) Investigate evidence of violations of pretreatment conditions set forth in the POTW Permit by taking
samples and acquiring other information as needed. This data acquisition shall be performed with sufficient
care as to produce evidence admissible in an enforcement proceeding or in court;
(vi) Review and approve requests for approval of POTW Pretreatment Programs and authority to modify
categorical Pretreatment Standards submitted by a POTW to the Director; and
(vii) Consider requests for Fundamentally Different Factors variances submitted by Industrial Users in
accordance with the criteria and procedures set forth in § 403.13.
(3) Funding. The Director shall assure that funding and qualified personnel are available to carry out the
authorities and procedures described in paragraphs (f)(l) and (2) of this section.
(g) Content of State Pretreatment Program submission. The request for State Pretreatment Program
approval will consist of:
(l)(i) A statement from the State Attorney General (or the Attorney for those State agencies which have
independent legal counsel) that the laws of the State provide adequate authority to implement the
requirements of this part. The authorities cited by the Attorney General in this statement shall be in the form
25
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of lawfully adopted State statutes or regulations which shall be effective by the time of approval of the State
Pretreatment Program; and
(ii) Copies of all State statutes and regulations cited in the above statement;
(iii) States with approved Pretreatment Programs shall establish Pretreatment regulations by November 16,
1989. unless the State would be required to enact or amend statutory provision, in which case, such
regulations must be established by November 16, 1990.
(2) A description of the funding levels and full- and part-time personnel available to implement the
program; and
(3) Any modifications or additions to the Memorandum of Agreement (required by 40 CFR 123.24) which
may be necessary for EPA and the State to implement the requirements of this part.
(h) EPA Action. Any approved NPDES State requesting State Pretreatment Program approval shall submit
to the Regional Administrator three copies of the Submission described in paragraph (g) of this section. Upon
a preliminary determination that the Submission meets the requirements of paragraph (g) the Regional
Administrator shall:
(1) Notify the Director that the Submission has been received and is under review; and
(2) Commence the program revision process set out in 40 CFR 123.62. For purposes of that section all
requests for approval of State Pretreatment Programs shall be deemed substantial program modifications. A
comment period of at least 30 days and the opportunity for a hearing shall be afforded the public on all such
proposed program revisions.
(i) Notification where submissron is defective. If, after review of the Submission as provided for in
paragraph (h) of this section, EPA determines that the Submission does not comply with the requirements of
paragraph (f) or (g) of this section EPA shall so notify the applying NPDES State in writing. This notification
shall identify any defects in the Submission and advise the NPDES State of the means by which it can comply
with the requirements of this part.
(Information collection requirements are approved by the Office of Management and Budget under control
.number 2040-0009)
[46 FR 9439, Jan. 28, 1981, as amended at 51 FR 20429, June 4, 1986; 53 FR 40612, Oct. 17, 1988; 55 FR
30131,July 24, 1990; 58 FR 18017:Apr.7, 1993; 60 FR 33926, June 29, 1995]
§ 403.11 Approval procedures for POTW pretreatment programs and POTW granting of
removal credits.
The following procedures shall be adopted in approving or denying requests for approval of POTW
Pretreatment Programs and applications for removal credit authorization:
(a) Deadline for review of submission. The Approval Authority shall have 90 days from the date of public
notice of any Submission complying with the requirements of § 403.9(b) and, where removal credit
authorization is sought with §§ 403.7(e) and 403.9(d). to review the Submission. The Approval Authority
shall review the Submission to determine compliance with the requirements of § 403.8 (b) and (f), and, where
removal credit authorization is sought, with § 403.7. The Approval Authority may have up to an additional
90 days to complete the evaluation of the Submission if the public comment period provided for in paragraph
(b)(l)(ii) of this section is extended beyond 30 days or if a public hearing is held as provided for in paragraph
(b)(2) of this section. In no event, however, shall the time for evaluation of the Submission exceed a total of
180 days from the date of public notice of a Submission meeting the requirements of § 403.9(b) and, in the
case of a removal credit application. §§ 403.7(e) and 403.9(b).
(b) Public notice and opportunity for hearing. Upon receipt of a Submission the Approval Authority shall
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commence its review. Within 20 work days after making a determination that a Submission meets the
requirements of § 403.9(b) and, where removal allowance approval is sought, §§ 403.7(d) and 403.9(d), the
Approval Authority shall:
(1) Issue a public notice of request for approval of the Submission;
(i) This public notice shall be circulated in a manner designed to inform interested and potentially interested
persons of the Submission. Procedures for the circulation of public notice shall include:
+ (A) Mailing notices of the request for approval of the Submission to designated 208 planning agencies,
Federal and State fish, shellfish and wildfish resource agencies (unless such agencies have asked not to be
sent the notices); and to any other person or group who has requested individual notice, including those on
appropriate mailing lists; and
+ (B) Publication of a notice of request for approval of the Submission in a newspaper(s) of general
circulation within the jurisdiction(s) served by the POTW that meaningful public notice.
(ii) The public notice shall provide a period of not less than 30 days following the date of the public notice
during which time interested persons may submit their written views'on the Submission.
(iii) All written comments submitted during the 30 day comment period shall be retained by the Approval
Authority and considered in the decision on whether or not to approve the Submission. The period for
comment may be extended at the discretion of the Approval Authority; and
(2) Provide an opportunity for the applicant, any affected State, any interested State or Federal agency,
person or group
of persons to request a public hearing with respect to the Submission.
(i) This request for public hearing shall be filed within the 30 day (or extended) comment period described
in paragraph (b)(l)(ii) of this section and shall indicate the interest of the person filing such request and the
reasons why a hearing is warranted.
(ii) The Approval Authority shall hold a hearing if the POTW so requests. In addition, a hearing will be held
if there is a significant public interest in issues relating to whether or not the Submission should be approved.
Instances of doubt should be resolved in favor of holding the hearing.
. (iii) Public notice of a hearing to consider a Submission and sufficient to inform interested parties of the
nature of the hearing and the right to participate shall be published in the same newspaper as the notice of the
original request for approval of the Submission under paragraph (b)(l)(i)(B) of this section, hi addition,
notice of the hearing shall be sent to those persons requesting individual notice.
(c) Approval authority decision. At the end of the 30 day (or extended) comment period and within the 90
day (or extended) period provided for in paragraph (a) of this section, the Approval Authority shall approve
or deny the Submission based upon the evaluation in paragraph (a) of this section and taking into
consideration comments submitted during the comment period and the record of the public hearing, if held.
Where the Approval Authority makes a determination to deny the request, the Approval Authority shall so
notify the POTW and each person who has requested individual notice. This notification shall include
suggested modifications and the Approval Authority may allow the requestor additional time to bring the
Submission into compliance with applicable requirements.
(d) EPA objection to Director's decision. No POTW pretreatment program or authorization to grant removal
allowances shall be approved by the Director if following the 30 day (or extended)
evaluation period provided for in paragraph (b)(l)(ii) of this section and any hearing held pursuant to
paragraph (b)(2) of this section the Regional Administrator sets forth in writing objections to the approval of
such Submission and the reasons for such objections. A copy of the Regional Administrator's objections shall
be provided to the applicant, and each person who has requested individual notice. The Regional
Administrator shall provide an opportunity for written comments and may convene a public hearing on his or
her objections. Unless retracted, the Regional Administrator's objections shall constitute a final ruling to deny
approval of a POTW pretreatment program or authorization to grant removal allowances 90 days after the
27
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date the objections are issued.
(e) Notice of decision. The Approval Authority shall notify those persons who submitted comments and
participated in the public hearing, if held, of the approval or disapproval of the Submission. In addition, the
Approval Authority shall cause to be published a notice of approval or disapproval in the same newspapers
as the original notice of request for approval of the Submission was published. The Approval Authority shall
identify in any notice of POTW Pretreatment Program approval any authorization to modify categorical
Pretreatment Standards which the POTW may make, in accordance with § 403.7, for removal of pollutants
subject to Pretreatment Standards.
(f) Public access to submission. The Approval Authority shall ensure that the Submission and any
comments upon such Submission are available to the public for inspection and copying.
[46 FR 9439, Jan. 28, 1981, as amended at 49 FR 31224, Aug. 33 1984; 51 FR 20429, June 4, 1986; 53 FR
40613, Oct. 17, 1988; 62 FR 38406, July 17, 1997]
§403.12 Reporting requirements for POTW's and industrial users.
(a) Definition. The term Control Authority as it is used in this section refers to: (1) The POTW if the
POTW's Submission for its pretreatment program (§ 403.3(t)(l)) has been approved in accordance with the
requirements of § 403.11; or (2) the Approval Authority if the Submission has not been approved.
(b) Reporting requirements for industrial users upon effective date of categorical pretreatment
standard-baseline report. Within 180 days after the effective date of a categorical Pretreatment Standard, or
180 days after the final administrative decision made upon a category determination submission under §
403.6(a)(4), whichever is later, existing Industrial Users subject to such categorical Pretreatment Standards
and currently discharging to or scheduled to discharge to a POTW shall be required to submit to the Control
Authority a report which contains the information listed in paragraphs (b)(l)-(7) of this section. At least 90
days prior to commencementof discharge, New Sources, and sources that become Industrial Users subsequent
to the promulgation of an applicable categorical Standard, shall be required to submit to the Control
Authority- a report which contains the information listed in paragraphs (b)(l)-(5) of this section. New sources
shall also be required to include in this report information on the method of pretreatment the source intends to
use to meet applicable pretreatment standards. New Sources shall give estimates of the information requested
in paragraphs (b) (4) and (5) of this section:
(1) Identifying information. The User shall submit the name and address of the facility including the name of
the operator and owners;
(2) Permits. The User shall submit a list of any environmental control permits held by or for the facility;
(3) Description of operations. The User shall submit a brief description of the nature, average rate of
production, and Standard Industrial Classification of the operation(s) carried out by such Industrial User.
This description should include a schematic process diagram which indicates points of Discharge to the
POTW from the regulated processes.
(4) Flow measurement. The User shall submit information showing the measured average daily and
maximum daily flow, in gallons per day, to the POTW from each of the following:
(i) Regulated process streams: and
(ii) Other streams as necessary to allow use of the combined wastestream formula of § 403.6(e). (See
paragraph (b)(5)(v) of this section.)
The Control Authority may allow for verifiable estimates of these flows where justified by cost or feasibility
considerations.
(5) Measurement of pollutants.
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(i) The user shall identify the Pretreatment Standards applicable to each regulated process;
(ii) In addition, the User shall submit the results of sampling and analysis identifying the nature and
concentration (or mass, where required by the Standard or Control Authority) of regulated pollutants in the
Discharge from each regulated process. Both daily maximum and average concentration (or mass, where
required) shall be reported. The sample shall be representative of daily operations;
(iii) A minimum of four (4) grab samples must be used for pH, cyanide, total phenols, oil and grease,
sulfide, and volatile organics. For all other pollutants, 24-hour composite samples must be obtained through
flow-proportional composite sampling techniques where feasible. The Control Authority may waive
flow-proportional composite sampling for any Industrial User that demonstrates that flow-proportional
sampling is infeasible. In such cases, samples may be obtained through time-proportional composite
sampling techniques or through a minimum of four (4) grab samples where the User demonstrates that this
will provide a representative sample of the effluent being discharged.
(iv) The User shall take a minimum of one representative sample to compile that data necessary to comply
with the requirements of this paragraph.
(v) Samples should be taken immediately downstream from pretreatment facilities if such exist or
immediately downstream from the regulated process if no pretreatment exists. If other wastewaters are mixed
with the regulated wastewater prior to pretreatment the User should measure the flows and concentrations
necessary to allow use of the combined wastestream formula of § 403.6(e) in order to evaluate compliance
with the Pretreatment Standards. Where an alternate concentration or mass limit has been calculated in
accordance with § 403.6(e) this adjusted limit along with supporting data shall be submitted to the Control
Authority;
(vi) Sampling and analysis shall be performed in accordance with the techniques prescribed in 40 CFR part
136 and amendments thereto. Where 40 CFR part 136 does not contain sampling or analytical techniques for
the pollutant in question, or where the Administrator determines that the part 136 sampling and analytical
techniques are inappropriate for the pollutant in question, sampling and analysis shall be performed by using
validated analytical methods or any other applicable sampling and analytical procedures, including
procedures suggested by the POTW or other parties, approved by the Administrator;
(vii) The Control Authority may allow the submission of a baseline report which utilizes only historical data
so long as the data provides information sufficient to determine the need for industrial pretreatment measures;
(viii) The baseline report shall indicate the time, date and place, of sampling, and methods of analysis, and
shall certify that such sampling and analysis is representative of normal work cycles and expected pollutant
Discharges to the POTW;
(6*) Certification. A statement, reviewed by an authorized representative of the Industrial User (as defined in
paragraph (k) of this section) and certified to by a qualified professional, indicating whether Pretreatment
Standards are being met on a consistent basis, and. if not, whether additional operation and maintenance (0
and M) and/or additional pretreatment is required for the Industrial User to meet the Pretreatment Standards
and Requirements; and
(7) Compliance schedule. If additional pretreatment and/or O and M will be required to meet the
Pretreatment Standards; the shortest schedule.by which the Industrial User will provide such additional
pretreatment and/or 0 and M. The completion date in this schedule shall not be later than the compliance date
established for the applicable Pretreatment Standard.
(i) Where the Industrial User's categorical Pretreatment Standard has been modified by a removal allowance
(§ 403.7), the combined wastestream formula (§ 403.6(e)). and/or a Fundamentally Different Factors
variance (§ 403.13) at the time the User submits the report required by paragraph (b) of this section, the
information required by paragraphs (b)(6) and (7) of this section shall pertain to the modified limits.
(ii) If the categorical Pretreatment Standard is modified by a removal allowance (§ 403.7), the combined
wastestream formula
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(§ 403.6(e)), and/or a Fundamentally Different Factors variance (§ 403.13) after the User submits the report
required by paragraph (b) of this section, any necessary amendments to the information
requested by paragraphs (b)(6) and (7) of this section shall be submitted by the User to the Control Authority
within 60 days after the modified limit is approved.
(c) Compliance schedule for meeting categorical Pretreatment Standards. The following conditions shall
apply to the schedule required by paragraph (b)(7) of this section:
(1) The schedule shall contain increments of progress in the form of dates for the commencement and
completion of major events leading to the construction and operation of additional pretreatment required for
the Industrial User to meet the applicable categorical Pretreatment Standards (e.g., hiring an engineer,
completing preliminary, plans, completing final plans, executing contract for major components, commencing
construction, completing construction, etc.).
(2) No increment referred to in paragraph (c)(l) of this section shall exceed 9 months.
(3) Not later than 14 days following each date in the schedule and the final date for compliance, the
Industrial User shall submit a progress report to the Control Authority including, at a minimum, whether or
not it complied with the increment of progress to be met on such date and, if not, the date on which it expects
to comply with this increment of progress, the reason for delay, and the steps being taken by the Industrial
User to return the construction to the schedule established. In no event shall more than 9 months elapse
between such progress reports to the Control Authority.
(d) Report on compliance with categorical pretreatment standard deadline. Within 90 days following the
date for final compliance with applicable categorical Pretreatment Standards or in the case of a New Source
following commencement of the introduction of wastewater into the POTW. any Industrial User subject to
Pretreatment Standards and Requirements shall submit to the Control Authority a report containing the
information described in paragraphs (b) (4)-(6) of this section. For Industrial Users subject to equivalent
mass or concentration limits established by the Control Authority in accordance with the procedures in §
403.6(c), this report shall contain a reasonable measure of the User's long term production rate. For all other
Industrial Users subject to categorical Pretreatment Standards expressed in terms of allowable pollutant
discharge per unit of production (or other measure of operation), this report shall include the User's actual
production during the appropriate sampling period.
(e) Periodic reports on continued compliance. (1) Any Industrial User subject to a categorical Pretreatment
Standard, after the compliance date of such Pretreatment Standard, or, in the case of a New Source, after
commencement of the discharge into the POTW, shall submit to the Control Authority during the months of
June and December, unless required more frequently in the Pretreatment Standard or by the Control Authority
or the Approval Authority, a report indicating the nature and concentration of pollutants in the effluent which
are limited by such categorical Pretreatment Standards. In addition, this report shall include a record of
measured or estimated average and maximum daily flows for the reporting period for the Discharge reported
in paragraph (b)(4) of this section except that the Control Authority may require more detailed reporting of
flows. At the discretion of the Control Authority and in consideraton of such factors as local high or low flow
rates, holidays, budget cycles, etc.. the Control Authority may agree to alter the months during which the
above reports are to be submitted.
(2) Where the Control Authority has imposed mass limitations on Industrial Users as provided for by §
403.6(d); the report
required by paragraph (e)( 1) of this section shall indicate the mass of pollutants regulated by Pretreatment
Standards in the Discharge from the Industrial User.
(3) For Industrial Users subject to equivalent mass or concentration limits established by the Control
Authority in accordance with the procedures in § 403.6(c). the report required by paragraph (e)(l) shall
contain a reasonable measure of the User's long term production rate. For all other Industrial Users subject to
categorical Pretreatment Standards expressed only in terms of allowable pollutant discharge per unit of
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production (or other measure of operation), the report required by paragraph (e)(l) shall include the User's
actual average production rate for the reporting period.
(f) Notice of potential problems, including slug loading. All categorical and non-categorical Industrial Users
shall notify the POTW immediately of all discharges that could cause problems to the POTW, including any
slug loadings, as defined by § 403.5(b), by the Industrial User.
(g) Monitoring and analysis to demonstrate continued compliance.
(1) The reports required in paragraphs (b), (d), and (e) of this section shall contain the results of sampling
and analaysis of the Discharge, including the flow and the nature and concentration, or production and mass
where requested by the Control Authority, of pollutants contained therein which are limited by the applicable
Pretreatment Standards. This sampling and analysis may be performed by the Control Authority in lieu of the
Industrial User. Where the POTW performs the required sampling and analysis in lieu of the Industrial User,
the User will not be required to submit the compliance certification required under §§ 403.12(b) (6) and
403.12(d). In addition, where the POTW itself collects all the information required for the report, including
flow data, the Industrial User will not be required to submit the report.
(2) If sampling performed by an Industrial User indicates a violation, the user shall notify the Control
Authority within 24 hours "of becoming aware of the violation. The User shall also repeat the sampling and
analysis and submit the results of the repeat analysis to the Control Authority within 30 days after becoming
aware of the violation, except the Industrial User is not required to resample if:
(i) The Control Authority performs sampling at the Industrial User at a frequency of at least once per month,
or
(ii) The Control Authority performs sampling at the User between the time when the User performs its
initial sampling and the time when the User receives the results of this sampling.
(3) The reports required in paragraph (e) of this section shall be based upon data obtained through
appropriate sampling and analysis performed during the period covered by the report, which data is
representative of conditions occurring during the reporting period. The Control Authority shall require that
frequency of monitoring necessary to assess and assure compliance by Industrial Users with applicable
Pretreatment Standards and Requirements.
(4) All analyses shall be performed in accordance with procedures established by the Administrator pursuant
to section 304(h) of the Act and contained in 40 CFR part 136 and amendments thereto or with any other test
procedures approved by the Administrator. (See, §§ 136.4 and 136.5.) Sampling shall be performed in
accordance with the techniques approved by the Administrator. Where 40 CFR part 136 does not include
sampling or analytical techniques for the pollutants in question, or where the Administrator determines that
the part 136 sampling and analytical techniques are inappropriate for the pollutant in question, sampling and
analyses shall be performed using validated analytical methods or any other sampling and analytical
procedures, including procedures suggested by the POTW or other parties, approved by the.Administrator.
(5) If an Industrial User subject to the reporting requirement in paragraph (e) of this section monitors any
pollutant more frequently than required by the Control Authority, using the procedures prescribed in
paragraph (g)(4) of this section, the results of this monitoring shall be included in the report.
(h) Reporting requirements for Industrial Users not subject to categorical Pretreatment Standards. The
Control Authority shall require appropriate reporting from those Industrial Users with discharges that are not
subject to categorical Pretreatment Standards. Significant Noncategorical Industrial Users shall submit to the
Control Authority at least once even- six months (on dates specified by the Control Authority) a description
of the nature, concentration, and flow of the pollutants required to be reported by the Control Authority.
These reports shall be based on sampling and analysis performed in the period covered by the report, and
performed in accordance with the techniques described in 40 CFR part 136 and amendments thereto. Where
40 CFR part 136 does not contain sampling or analytical techniques for the pollutant in question, or where
the Administrator determines that the part 136 sampling and analytical techniques are inappropriate for the
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pollutant in question, sampling and analysis shall be performed by using validated analytical methods or any
other applicable sampling and anahtical procedures, including procedures suggested by the POTW or other
persons, approved by the Administrator. This sampling and analysis may be performed by the Control
Authority in lieu of the significant noncategorical industrial user. Where the POTW itself collects all the
information required for the report, the noncategorical significant industrial user will not be required to
submit the report.
(i) Annual POTW reports. POTWs with approved Pretreatment Programs shall provide the Approval
Authority with a report that briefly describes the POTWs program activities, including activities of all
participating agencies, if more than one jurisdiction is involved in the local program. The report required by
this section shall be submitted no later than one year after approval of the POTWs Pretreatment Program,
and at least annually thereafter, and shall include, at a minimum, the following:
(1) An updated list of the POTWs Industrial Users, including their names and addresses, or a list of
deletions and additions keyed to a previously submitted list. The POTW shall provide a brief explanation of
each deletion. This list shall identify which Industrial Users are subject to categorical pretreatment Standards
and specify which Standards are applicable to each Industrial User. The list shall indicate which Industrial
Users are subject to local standards that are more stringent than the categorical Pretreatment Standards. The
POTW shall also list the Industrial Users that are subject only to local Requirements.
(2) A summary of the status of Industrial User compliance over the reporting period;
+ (3) A summary of compliance and enforcement activities (including inspections) conducted by the POTW
during the reporting period;
+ (4) A summary of changes to the POTWs pretreatment program that have not been previously reported to
the Approval Authority; and
+ (5) Any other relevant information requested by the Approval Authority.
(j) Notification of changed discharge. All Industrial Users shall promptly notify the POTW in advance of
any substantial change in the volume or character of pollutants in their discharge, including the listed or
characteristic hazardous wastes for which the Industrial User has submitted initial notification under 40 CFR
403.12(p).
(k) Compliance schedule for POTWs. The following conditions and reporting requirements shall apply to
the compliance schedule for development of an approvable POTW Pretreatment Program required by §
403.8.
(1) The schedule shall contain increments of progress in the form of dates for the commencement and
completion of major events leading to the development and implementation of a POTW Pretreatment
Program (e.g., acquiring required authorities, developing funding mechanisms, acquiring equipment);
(2) No increment referred to in paragraph (h)(l) of this section shall exceed nine months;
(3) Not later than 14 days following each date in the schedule and the final date for compliance, the POTW
shall submit a progress report to the Approval Authority including, as a minimum, whether or not it complied
with the increment of progress to be met on such date and, if not. the date on which it expects to comply with
this increment of progress, the reason for delay, and the steps taken by the POTW to return to the schedule
established. In no event shall more than nine months elapse between such progress reports to the Approval
Authority.
(1) Signatory requirements for industrial user reports. The reports required by paragraphs (b), (d), and (e) of
this section shall include the certification statement as set forth in § 403.6(a)(2)(ii), and shall be signed as
follows:
(1) By a responsible corporate officer, if the Industrial User submitting the reports required by paragraphs
(b), (d) and (e) of this section is a corporation. For the purpose of this paragraph, a responsible corporate
officer means (i) a president, secretary, treasurer, or vice-president of the corporation in charge of a principal
business function" or any other person who performs similar policy- or decision-making functions for the
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corporation, or (ii) the manager of one or more manufacturing, production, or operation facilities employing
more than 250 persons or having gross annual sales or expenditures exceeding $25 million (in second-quarter
1980 dollars), if authority to sign documents has been assigned or delegated to the manager in accordance
with corporate procedures.
(2) By a general partner or proprietor if the Industrial User submitting the reports required by paragraphs
(b), (d) and (e) of this section is a partnership or sole proprietorship respectively.
(3) By a duly authorized representative of the individual designated in paragraph (1)(1) or (1)(2) of this
section if:
(i) The authorization is made in writing by the individual described in paragraph (1)( 1) or (1)(2);
(ii) The authorization specifies either an individual or a position having responsibility for the overall
operation of the facility from which the Industrial Discharge originates, such as the position of plant manager,
operator of a well, or well field superintendent, or a position of equivalent responsibility, or having overall
responsibility for environmental matters for the company; and
(iii) the written authorization is submitted to the Control Authority.
(4) If an authorization under paragraph (1)(3) of this section is no longer accurate because a different
individual or position has responsibility for the overall operation of the facility, or overall responsibility for
environmental matters for the company, a new authorization satisfying the requirements of paragraph (I)(3)
of this section must be submitted to the Control Authority prior to or together with any reports to be signed
by an authorized representative.
(m) Signatory requirements for POTW reports. Reports submitted to the Approval Authority by the POTW
in accordance with paragraph (h) of this section must be signed by a principal executive officer, ranking
elected official or other duly authorized employee if such employee is responsible for overall operation of the
POTW.
(n) Provisions Governing Fraud and False Statements: The reports and other documents required to be
submitted or maintained under this section shall be subject to:
(1) The provisions of 18 U.S.C. section 1001 relating to fraud and false statements;
(2) The provisions of sections 309(c)(4) of the Act. as amended, governing false statements, representation
or certification; and
(3) The provisions of section 309(c)(6) regarding responsible corporate officers.
(o) Record-keeping requirements. (1) Any Industrial User and POTW subject to the reporting requirements
established in this section shall maintain records of all information resulting from any monitoring activities
required by this section. Such records shall include for all samples:
(i) The date, exact place, method, and time of sampling and the names of the person or persons taking the
samples;
(ii) The dates analyses were performed;
(iii) Who performed the analyses;
(iv) The analytical techniques/methods use; and
(v) The results of such analyses.
(2) Any Industrial User or POTW subject to the reporting requirements established in this section shall be
required to retain for a minimum of 3 years any records of monitoring activities and results (whether or not
such monitoring activities are required by this section) and shall make such records available for inspection
and copying by the Director and the Regional Administrator (and POTW in the case of an Industrial User).
This period of retention shall be extended during the course of any unresolved litigation regarding the
Industrial User or POTW or when requested by the Director or the Regional Administrator.
(3) Any POTW to which reports are submitted by an Industrial User pursuant to paragraphs (b), (d), (e).
and (h) of this section shall retain such reports for a minimum of 3 years and shall make such reports
available for inspection and copying by the Director and the Regional Administrator. This period of retention
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shall be extended during the course of any unresolved litigation regarding the discharge of pollutants by the
Industrial User or the operation of the POTW Pretreatment Program or when requested by the Director or the
Regional Administrator.
(p)(l) The Industrial User shall notify the POTW, the EPA Regional Waste Management Division Director,
and State hazardous waste authorities in writing of any discharge into the POTW of a substance, which, if
otherwise disposed of, would be a hazardous waste under 40 CFR part 261. Such notification must include
the name of the hazardous waste as set forth in 40 CFR part 261, the EPA hazardous waste number, and the
type of discharge (continuous, batch, or other). If the Industrial User discharges more than 100 kilograms of
such waste per calendar month to the POTW, the notification shall also contain the following information to
the extent such information is known and readily available to the Industrial User: An identification of the
hazardous constituents contained in the wastes, an estimation of the mass and concentration of such
constituents in the wastestream discharged during that calendar month, and an estimation of the mass of
constituents in the wastestream expected to be discharged during the following twelve months. All
notifications must take place within 180 days of the effective date of this rule. Industrial users who commence
discharging after the effective date of this rule shall provide the notification no later than 180 days after the
discharge of the listed or characteristic hazardous waste. Any notification under this paragraph need be
submitted only once for each hazardous waste discharged. However, notifications of changed discharges must
be submitted under 40 CFR 403.12
(j). The notification requirement in this section does not apply to pollutants already reported under the
self-monitoring requirements of 40 CFR 403.12 (b), (d), and (e).
(2) Dischargers are exempt from the requirements of paragraph (p)(l) of this section during a calendar
month in which they discharge no more than fifteen kilograms of hazardous wastes, unless the wastes-are
acute hazardous wastes as specified in 40 CFR 261.30(d) and 261.33(e). Discharge of more than fifteen
kilograms of non-acute hazardous wastes in a calendar month, or of any quantity of acute hazardous wastes
as specified in 40 CFR 261.30(d) and 261.33(e), requires a one-time notification. Subsequent months
during which the Industrial User discharges more than such quantities of any hazardous waste do not require
additional notification.
(3) In the case of any new regulations under section 3001 of RCRA identifying additional characteristics of
hazardous waste or listing any additional substance as a hazardous waste, the Industrial User must notify the
POTW. the EPA Regional Waste Management Waste Division Director, and State hazardous waste
authorities of the discharge of such substance within 90 days of the effective date of such regulations.
(4) In the case of any notification made under paragraph (p) of this section, the Industrial User shall certify
that it has a program in place to reduce the volume and toxicity of hazardous wastes generated to the degree it
has determined to be economically practical.
(Information collection requirements are approved by the Office of Management and Budget under control
number 2040-0009)
[46 FR 9439, Jan. 28, 1981, as amended at 49 FR 31225, Aug. 3, 1984; 51 FR 20429, June 4, 1986; 53 FR
40613, Oct. 17: 1988; 55 FR 30131, July 24, 1990; 58 FR 18017, Apr. 7, 1993; 60 FR 33926, June 29,
1995; 62 FR 38406, July 17, 1997]
§ 403.13 Variances from categorical pretreatment standards for fundamentally different
factors.
(a) Definition. The term Requester means an Industrial User or a POTW or other interested person seeking a
variance from the limits specified in a categorical Pretreatment Standard.
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(b) Purpose and scope. In establishing categorical Pretreatment Standards for existing sources, the EPA will
take into account all the information it can collect, develop and solicit regarding the factors relevant to
pretreatment standards under section 307(b). In some cases, information which may affect these Pretreatment
Standards will not be available or, for other reasons, will not be considered during their development. As a
result, it may be necessary on a case-by-case basis to adjust the limits in categorical Pretreatment Standards,
making them either more or less stringent, as they apply to a certain Industrial User within an industrial
category or subcategory. This will only be done if data specific to that Industrial User indicates it presents
factors fundamentally different from those considered by EPA in developing the limit at issue. Any interested
person believing that factors relating to an Industrial User are fundamentally different from the factors
considered during development of a categorical Pretreatment Standard applicable to that User and further,
that the existence of those factors justifies a different discharge limit than specified in the applicable
categorical Pretreatment Standard, may request a fundamentally different factors variance under this section
or such a variance request may be initiated by the EPA.
(c) Criteria-(l) General criteria. A request for a variance based upon fundamentally different factors shall be
approved only if:
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(3) Non-water quality environmental impact of control and treatment of the User's raw waste load;
(4) Energy requirements of the application of control and treatment technology;
(5) Age. size, land availability, and configuration as they relate to the User's equipment or facilities;
processes employed; process changes; and engineering aspects of the application of control technology;
(6) Cost of compliance with required control technology.
(e) Factors which will not be considered fundamentally different. A variance request or portion of such a
request under this section may not be granted on any of the following grounds:
(1) The feasibility of installing the required waste treatment equipment within the time the Act allows;
(2) The assertion that the Standards cannot be achieved with the appropriate waste treatment facilities
installed, if such assertion is not based on factors listed in paragraph (d) of this section;
(3) The User's ability to pay for the required waste treatment; or
(4) The impact of a Discharge on the quality of the POTW's receiving waters.
(f) State or local law. Nothing in this section shall be construed to impair the right of any state or locality
under section 510 of the Act to impose more stringent limitations than required by Federal law.
(g) Application deadline.
(1) Requests for a variance and supporting information must be submitted in writing to the Director or to the
Administrator (or his delegate), as appropriate.
+ (2) In order to be considered, a request for a variance must be submitted no later than 180 days after the
date on which a categorical Pretreatment Standard is published in the Federal Register.
(3) Where the User has requested a catergorical determination pursuant to § 403.6(a), the User may elect to
await the results of the category determination before submitting a variance request under this section. Where
the User so elects, he or she must submit the variance request within 30 days after a final decision has been
made on the categorical determination pursuant to §403.6(a)(4).
(h) Contents submission. Written submissions for variance requests, whether made to the Administrator (or
his delegate) or the Director, must include:
(1) The name and address of the person making the request;
(2) Identification of the interest of the Requester which is affected by the categorical Pretreatment Standard
for which the variance is requested;
(3) Identification of the POTW currently receiving the waste from the Industrial User for which alternative
discharge limits are requested;
(4) Identification of the categorical Pretreatment Standards which are applicable to the Industrial User;
(5) A list of each pollutant or pollutant parameter for which an alternative discharge limit is sought;
(6) The alternative discharge limits proposed by the Requester for each pollutant or pollutant parameter
identified in paragraph (h)(5) of this section;
(7) A description of the Industrial User's existing water pollution control facilities;
(8) A schematic flow representation of the Industrial User's water system including water supply, process
wastewater systems, and points of Discharge; and
(9) A Statement of facts clearly establishing why the variance request should be approved, including detailed
support data, documentation, and evidence necessary to fully evaluate the merits of the request, e.g., technical
and economic data collected by the EPA and used in developing each pollutant discharge limit in the
Pretreatment Standard.
(i) Deficient requests. The Administrator (or his delegate) or the Director will only act on written requests
for variances that contain all of the information required. Persons who have made incomplete submissions
will be notified by the Administrator (or his delegate) or the Director that their requests are deficient and
unless the time period is extended, will be given up to thirty days to remedy the deficiency. If the deficiency is
not corrected within the time period allowed by the Administrator (or his delegate) or the Director, the request
for a variance shall be denied.
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(j) Public notice. Upon receipt of a complete request, the Administrator (or his delegate) or the Director will
provide notice of receipt, opportunity to review the submission, and opportunity to comment.
(1) The public notice shall be circulated in a manner designed to inform interested and potentially interested
persons of the request. Procedures for the circulation of public notice shall include mailing notices to:
(i) The POTW into which the Industrial User requesting the variance discharges;
(ii) Adjoining States whose waters may be affected; and
(iii) Designated 208 planning agencies, Federal and State fish, shellfish and wildlife resource agencies; and
to any other person or group who has requested individual notice, including those on appropriate mailing
lists.
(2) The public notice shall provide for a period not less than 30 days following the date of the public notice
during which time interested persons may review the request and submit their written views on the request.
(3) Following the comment period, the Administrator (or his delegate) or the Director will make a
determination on the request taking into consideration any comments received. Notice of this final decision
shall be provided to the requester (and the Industrial User for which the variance is requested if different), the
POTW into which the Industrial User discharges and all persons who submitted comments on the request.
(k) Review of requests by state.
(1) Where the Director finds that fundamentally different factors do not exist, he may deny the request and
notify the requester (and Industrial User where they are not the same) and the POTW of the denial.
(2) Where the Director finds that fundamentally different factors do exist, he shall forward the request, with
a recommendation that the request be approved, to the Administrator (or his delegate).
(1) Review of requests by EPA.
(1) Where the Administrator (or his delegate) finds that fundamentally different factors do not exist^he shall
deny the request for a variance and send a copy of his determination to the Director, to the POTW, and to the
requester (and to the Industrial User, where they are not the same).
(2) Where the Administrator (or his delegate) finds that fundamentally different factors do exist, and that a
partial or full variance is justified, he will approve the variance. In approving the variance, the Administrator
'(or his delegate) will:
(i) Prepare recommended alternative discharge limits for the Industrial User either more or less stringent
than those prescribed by the applicable categorical Pretreatment Standard to the extent warranted by the
demonstrated fundamentally different factors;
(ii) Provide the following information in his written determination:
(A) The recommended alternative discharge limits for the Industrial User concerned;
(B) The rationale for the adjustment of the Pretreatment Standard (including the reasons for recommending
that the variance be granted) and an explanation of how the recommended alternative discharge limits were
derived;
(C) The supporting evidence submitted to the Administrator (or his delegate); and
(D) Other information considered by the Administrator (or his delegate) in developing the recommended
alternative discharge limits;
(iii) Notify the Director and the POTW of his or her determination; and
(iv) Send the information described in paragraphs (1)(2) (i) and (ii) of this section to the Requestor (and to
the Industrial User where they are not the same).
(m) Request for hearing. (1) Within 30 days following the date of receipt of the notice of the decision of the
Administrator's delegate on a variance request, the requester or any other interested person may submit a
petition to the Regional Administrator for a hearing to reconsider or contest the decision. If such a request is
submitted by a person other than the Industrial User the person shall simultaneously serve a copy of the
request on the Industrial User.
(2) If the Regional Administrator declines to hold a hearing and the Regional Administrator affirms the
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findings of the Administrator's delegate the requester may submit a petition for a hearing to the
Environmental Appeals Board (which is described in § 1.25 of this title) within 30 days of the Regional
Administrator's decision.
(Information collection requirements are approved by the Office of Management and Budget under control
number 2040-0009)
[46 FR 9439, Jan. 28, 1981, as amended at 49 FR 5132, Feb. 10, 1984; 50 FR 38811, Sept. 25, 1985;51 FR
16030, Apr. 30, 1986; 54 FR 258, Jan. 4, 1989; 57 FR 5347, Feb. 13, 1992; 58 FR 18017, Apr. 7, 1993; 60
FR 33926, June 29, 1995]
§ 403.14 Confidentiality.
(a) EPA authorities. In accordance with 40 CFR part 2, any information submitted to EPA pursuant to these
regulations may be claimed as confidential by the submitter. Any such claim must be asserted 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 information" on each page containing such
information. 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 asserted, the information will be treated in accordance with the
procedures in 40 CFR part 2 (Public Information).
(b) Effluent data. Information and data provided to the Control Authority pursuant to this part which is
effluent data shall be available to the public without restriction.
(c) State or POTW. All other information which is submitted to the State or POTW shall be available to the
public at least to the extent provided by 40 CFR 2.302. -
§ 403.15 Net/Gross calculation.
Categorical Pretreatment Standards may be adjusted to reflect the presence of pollutants in the Industrial
User's intake water in accordance with this section.
(a) Application. Any Industrial User wishing to obtain credit for intake pollutants must make application to
the Control Authority. Upon request of the Industrial User, the applicable Standard
will be calculated on a "net" basis (i.e., adjusted to reflect credit for pollutants in the intake water) if the
requirements of paragraphs (b) and (c) of this section are met.
(b) Criteria. (1) The Industrial User must demonstrate that the control system it proposes or uses to meet
applicable categorical Pretreatment Standards would, if properly installed and operated, meet the Standards in
the absence of pollutants in the intake waters.
(2) Credit for generic pollutants such as biochemical oxygen demand (BOD), total suspended solids (TSS),
and oil and grease should not be granted unless the Industrial User demonstrates that the constituents of the
generic measure in the User's effluent are substantially similar to the .constituents of the generic measure in
the intake water or unless appropirate additional 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 applicable categorical Pretreatment
Standard(s). up to a maximum value equal to the influent value. Additional monitoring may be necessary to
determine eligibility for credits and compliance with Standard(s) adjusted under this section.
(4) Credit shall be granted only if the User demonstrates that the intake water is drawn from the same body
of water as that into which the POTW discharges. The Control Authority may waive this requirement if it
finds that no environmental degradation will result.
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(c) The applicable categorical pretreatment standards contained in 40 CFR subchapter N specifically
provide that they shall be applied on a net basis.
(Information collection requirements are approved by the Office of Management and Budget under control
number 2040-0009)
[53 FR 40614, Oct. 17, 1988, as amended at 58 FR 18017, Apr. 7, 1993]
§ 403.16 Upset provision.
(a) Definition. For the purposes of this section, Upset means an exceptional incident in which there is
unintentional and temporary noncompliance with categorical Pretreatment Standards because of factors
beyond the reasonable control of the Industrial User. An Upset does not include noncompliance to the extent
caused by operational error, improperly designed treatment facilities, inadequate treatment facilities, lack of
preventive maintenance, or careless or improper operation.
.(b) Effect of an upset. An Upset shall constitute an affirmative defense to an action brought for
noncompliance with categorical Pretreatment Standards if the requirements of paragraph (c) are met.
(c) Conditions necessary for a demonstration of upset. An Industrial User who wishes to establish the
affirmative defense of Upset shall demonstrate, through properly signed, contemporaneous operating logs, or
other relevant evidence that:
(1) An Upset occurred and the Industrial User can identify the cause(s) of the Upset;
(2) The facility was at the time being operated in a prudent and workman-like manner and in compliance
with applicable operation and maintenance procedures;
(3) The Industrial User has submitted the following information to the POTW and Control Authority within
24 hours of becoming aware of the Upset (if this information is provided orally, a written submission must be
provided within five days):
(i) A description of the Indirect Discharge and cause of noncompliance;
(ii) The period of noncompliance. including exact dates and times or, if not corrected, the anticipated time
the noncompliance is expected to continue;
(iii) Steps being taken and/or planned to reduce, eliminate and prevent recurrence of the noncompliance.
(d) Burden of proof. In any enforcement proceeding the Industrial User seeking to establish the occurrence
of an Upset shall have the burden of proof.
(e) Reviewability of agency consideration of claims of upset. In the usual exercise of prosecutorial
discretion. Agency enforcement personnel should review any claims that non-compliance was caused by an
Upset. No determinations made in the course of the review constitute final Agency action subject to judicial
review. Industrial Users will have the opportunity for a judicial determination on any claim of Upset only in
an enforcement action brought for noncompliance with categorical Pretreatment Standards.
(f) User responsibility in case of upset. The Industrial User shall control production or all Discharges to the
extent necessary to maintain compliance with categorical Pretreatment Standards upon reduction, loss, or
failure of its treatment facility until the facility is restored or an alternative method of treatment is provided.
This requirement applies in the situation where, among other things, the primary source of power of the
treatment facility is reduced, lost or fails.
[46 FR 9439, Jan. 28, 1981, as amended at 53 FR 40615, Oct. 17, 1988]
39
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§ 403.17 Bypass
(a) Definitions. (1) Bypass means the intentional diversion of wastestreams from any portion of an
Industrial User's treatment facility.
(2) Severe property damage means substantial physical damage to property, damage to the treatment
facilities which causes them to become inoperable, or substantial and permanent loss of natural resources
which can reasonably be expected to occur in the absence of a bypass. Severe property damage does not mean
economic loss caused by delays in production.
(b) Bypass not violating applicable Pretreatment Standards or Requirements. An Industrial User may allow
any bypass to occur which does not cause Pretreatment Standards or Requirements to be violated, but only if
it also is for essential maintenance to assure efficient operation. These bypasses are not subject to the
provision of paragraphs (c) and (d) of this section.
(c) Notice. (1) If an Industrial User knows in advance of the need for a bypass, it shall submit prior notice
to the Control Authority, if possible at least ten days before the date of the bypass.
(2) An Industrial User shall submit oral notice of an unanticipated bypass that exceeds applicable
Pretreatment Standards to the Control Authority within 24 hours from the time the Industrial User becomes
aware of the bypass. A written submission shall also be provided within 5 days of the time the Industrial User
becomes aware of the bypass. The written submission shall contain a description of the bypass and its cause;
the duration of the bypass, including exact dates and times, and. if the bypass has not been corrected, the
anticipated time it is expected to continue; and steps taken or planned to reduce, eliminate, and prevent
reoccurrence of the bypass. The Control Authority may waive the written report on a case-by-case basis if the
oral report has been received within 24 hours.
(d) Prohibition of bypass. (1) Bypass is prohibited, and the Control Authority may take enforcement action
against an Industrial User for a bypass, unless;
(i) Bypass was unavoidable to prevent loss of life, personal injury, or severe property damage;
(ii) There were no feasible alternatives to the bypass, such as the use of auxiliary treatment facilities,
retention of untreated wastes, or maintenance during normal periods of equipment downtime. This condition
is not satisfied if adequate back-up equipment should have been installed in the exercise of reasonable
engineering judgment to prevent a bypass which occurred during normal periods of equipment downtime or
preventative maintenance; and
(iii) The Industrial User submitted notices as required under paragraph (c) of this section.
(2) The Control Authority may approve an anticipated bypass, after considering its adverse effects, if the
Control Authority determines that it will meet the three conditions listed in paragraph (d)(l) of this section.
(Information collection requirements are approved by the Office of Management and Budget under control
number 2040-0009)
[53FR40615;Oct. 17, 1988, as amended at 58 FR 18017, Apr. 7, 1993]
§ 403.18 Modification of POTW Pretreatment Programs.
+ (a) General. Either the Approval Authority or a POTW with an approved POTW Pretreatment Program
may initiate program modification at any time to reflect changing conditions at the POTW. Program
modification is necessary whenever there is a significant change in the operation of a POTW Pretreatment
Program that differs from the information in the POTW's submission, as approved under Sec. 403.11.
+ (b) Substantial modifications defined. Substantial modifications include:
+ (1) Modifications that relax POTW legal authorities (as described in Sec. 403.8(f)(l)), except for
40
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modifications that directly reflect a revision to this Part 403 or to 40 CFR chapter I, subchapter N, and are
reported pursuant to paragraph (d) of this section;
+ (2) Modifications that relax local limits, except for the modifications to local limits for pH and
reallocations of the Maximum Allowable Industrial Loading of a pollutant that do not increase the total
industrial loadings for the pollutant, which are reported pursuant to paragraph (d) of this section. Maximum
Allowable Industrial Loading means the total mass of a pollutant that all Industrial Users of a POTW (or a
subgroup of Industrial Users identified by the POTW) may discharge pursuant to limits developed under Sec.
403.5(c);
+ (3) Changes to the POTW's control mechanism, as described in Sec. 403.8(f)(l)(iii);
+ (4) A decrease in the frequency of self-monitoring or reporting required of industrial users;
+ (5) A decrease in the frequency of industrial user inspections or sampling by the POTW;
+ (6) Changes to the POTW's confidentiality procedures; and
+ (7) Other modifications designated as substantial modifications by the Approval Authority on the basis
that the modification could have a significant impact on the operation of the POTW's Pretreatment Program;
could result in an increase in pollutant loadings at the POTW; or could result in less stringent requirements
being imposed on Industrial Users of the POTW.
+ (c) Approval procedures for substantial modifications.
+ (1) The POTW shall submit to the Approval Authority a statement of the basis for the desired program
modification, a modified program description (see Sec. 403.9(b)), or such other documents the Approval
Authority determines to be necessary under the circumstances.
+ (2) The Approval Authority shall approve or disapprove the modification based on the requirements of
Sec. 403.8(0 and using the procedures in Sec. 403.1 l(b) through (f), except as provided in paragraphs (c)(3)
and (4) of this section. The modification shall become effective upon approval by the Approval Authority.
+ (3) The Approval Authority need not publish a notice of decision under Sec. 403.11 (e) provided: The
notice of request for approval under Sec. 403.1 l(b)(l) states that the request will be approved if no
comments are received by a date specified in the notice; no substantive comments are received; and the
.request is approved without change.
+ (4) Notices required by Sec. 403.11 may be performed by the POTW provided that the Approval
Authority finds that the POTW notice otherwise satisfies the requirements of Sec. 403.11.
+ (d) Approval procedures for non-substantial modifications.
+ (1) The POTW shall notify' the Approval Authority of any non-substantial modification at least 45 days
prior to implementation by the POTW. in a statement similar to that provided for in paragraph (c)(l) of this
section.
+ (2) Within 45 days after the submission of the POTW's statement, the Approval Authority shall notify the
POTW of its decision to approve or disapprove the non-substantial modification.
+ (3) If the Approval Authority does not notify the POTW within 45 days of its decision to approve or deny
the modification, or to treat the modification as substantial under paragraph (b)(7) of this section, the POTW
may implement the modification.
+ (e) Incorporation in permit. All modifications shall be incorporated into the POTW's NPDES permit upon
approval. The permit will be modified to incorporate the approved modification in accordance with 40 CFR
122.63(g).
[53 FR 40615, Oct. 17, 1988, as amended at 58 FR 18017, Apr. 7, 1993; 62 FR 38406, July 17, 1997]
41
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APPENDIX A TO PART 403-PROGRAM GUIDANCE MEMORANDUM
U.S. Environmental Protection Agency
December 16, 1975.
Program Guidance Memorandum-61
Subject: Grants for Treatment and Control of Combined Sewer Overflows and Stormwater
Discharges.
From: John T. Rhett, Deputy Assistant Administrator for Water Program Operations (WH-546).
To: Regional Administrators, Regions I-X.
This memorandum summarizes the Agency's policy on the use of construction grants for treatment and
control of combined sewer overflows and Stormwater discharges during wet-weather conditions. The purpose
is to assure that projects are funded only when careful planning has demonstrated they are cost-effective.
I. COMBINED SEWER OVERFLOWS
A. Background
The costs and benefits of control of various portions of pollution due to combined sewer overflows and
by-passes vary greatly with the characteristics of the sewer and treatment system, the duration, intensity,
frequency and areal extent of precipitation, the type and extent of development in the service area, and the
characteristics, uses and water quality standards of the receiving waters. Decisions on grants for control of
combined sewer overflows, therefore, must be made on a case-by-case basis after detailed planning at the
local level. Where detailed planning has been completed, treatment or control of pollution from wet-weather
overflows and bypasses may be given priority for construction grant funds only after provision has been made
for secondary treatment of dry-weather flows in the area. The detailed planning requirements and criteria for
project approval follow.
B. Planning Requirements
Construction grants may be approved for control of pollution from combined sewer overflows only if
planning for the project was thoroughly analyzed for the 20 year planning period: 1. Alternative control
techniques which might be utilized to attain various levels of pollution control (related to alternative
beneficial uses, if appropriate), including at least initial consideration of all the alternatives described in the
section on combined sewer and Stormwater control in "Alternative Waste Management Techniques and Best
Practicable Waste Treatment" (Section C of Chapter III of the information proposed for comment in March
1974). 2. The costs of achieving the various levels of pollution control by each of the techniques appearing
to be the most feasible and cost-effective after the preliminary analysis. 3. The benefits to the receiving
waters of a range of levels of pollution control during wet-weather conditions. This analysis
will normally be conducted as part of State water quality management planning, 208 areawide management
planning, or other State, regional or local planning effort. 4. The costs and benefits of addition of advanced
waste treatment processes to dry-weather flows in the area.
C. Criteria for Project Approval
42
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The final alternative selected shall meet the following criteria:
1. The analysis required above has demonstrated that the level of pollution control provided will be
necessary to protect a beneficial use of the receiving water even after technology based standards required by
Section 301 of Pub. L. 92-500 are achieved by industrial point sources and at least secondary treatment is
achieved for dry-weather municipal flows in the area. 2. Provision has already been made for funding of
secondary treatment of dry-weather flows in the area. 3. The pollution control technique proposed for
combined sewer overflow is a more cost-effective means of protecting the beneficial use of the receiving
waters than other combined sewer pollution control techniques and the addition of treatment higher than
secondary treatment for dry-weather municipal flows in the area. 4. The marginal costs are not substantial
compared to marginal benefits. Marginal costs and benefits for each alternative may be displayed
graphically to assist with determining a project's acceptability under this criterion. Dollar costs should be
compared with quantified pollution reduction and water quality improvements. A descriptive narrative should
also be included analyzing monetary, social and environmental costs compared to benefits, particularly the
significance of the beneficial uses to be protected by the project.
II. STORMWATER DISCHARGES
Approaches for reducing pollution from separate stormwater discharges are now in the early stages of
development and evaluation. We anticipate, however, that in many cases the benefits obtained by construction
of treatment works for this purpose will be small compared with the costs, and other techniques of control
and prevention will be more cost-effective. The policy of the Agency is, therefore, that construction grants
shall not be used for construction of treatment works to control pollution from separate discharges of-
stormwater except under unusual conditions where the project clearly has been demonstrated to meet the
planning requirements and criteria described above for combined sewer overflows.
III. MULTI-PURPOSE PROJECTS
Projects with multiple purposes, such as flood control and recreation in addition to pollution control, may be
eligible for an amount not to exceed the cost of the most cost-effective single purpose pollution abatement
system. Normally the Separable Costs-Remaining Benefits (SCRB) method should be used to allocate costs
between pollution control and other purposes although
in unusual cases another method may be appropriate. For such cost allocation, the cost of the least cost
pollution abatement alternative may be used as a substitute measure of the benefits
for that purpose. The method is described in '' Proposed Practices for Economic Analysis of River Basin
Projects," GPO, Washington, D.C.. 1958. and "Efficiency in Government through Systems Analysis,"
by Roland N. McKean, John Wiley & Sons, Inc., 1958.
Enlargement of or otherwise adding to combined sewer conveyance systems is one means of reducing or
eliminating flooding caused by wet-weather conditions. These additions may be designed so as to produce
some benefits in terms of reduced discharge of pollutants to surrounding waterways. The pollution control
benefits of such flood control measures, however, are likely to be small compared with the costs, and the
measures therefore would normally be ineligible for funding under the construction grants program. All
multi-purpose projects where less than 100% of the costs are eligible for construction grants under this policy
shall contain a special grant condition precluding EPA funding of non-pollution control elements. This
condition should, as a minimum, contain a provision similar to the following: "The grantee explicitly
acknowledges and agrees that costs are allowable only to the extent they are incurred for the water pollution
control elements of this project." Additional special conditions should be included as appropriate to assure
that the grantee clearly understands which elements of the project are eligible for construction grants under
43
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Pub. L. 92-500.
+
+ APPENDIX B-C-[Removed and Reserved]
+
+[Removed 60 FR 33926, June 29, 1995]
APPENDIX D TO PART 403-SELECTED INDUSTRIAL SUBCATEGORIES CONSIDERED
DILUTE FOR PURPOSES OF THE COMBINED WASTESTREAM FORMULA
The following industrial subcategories are considered to have dilute wastestreams for purposes of the
combined wastestream formula. They either were or could have been excluded from categorical pretreatment
standards pursuant to paragraph 8 of the Natural Resources Defense Council, Inc., et al. v. Costle Consent
Decree for one or more of the following four reasons: (1) The pollutants of concern are not detectable in the
effluent from the industrial user (paragraph 8(a)(iii)); (2) the pollutants of concern are present only in trace
amounts and are neither causing nor likely to cause toxic effects (paragraph 8(a)(iii)); (3) the pollutants of
concern are present in amounts too small to be effectively reduced by technologies known to the
Administrator (paragraph 8(a)(iii)): or (4) the wastestream contains only pollutants which are compatible
with the POTW (paragraph 8(b)(i)). In some instances, different rationales were given for exclusion under
paragraph 8. However, EPA has reviewed these subcategories and has determined that exclusion could have
occurred due to one of the four reasons listed above. This list is complete as of October 9, 1986. It will be
updated periodically for the convenience of the reader.
Auto and Other Laundries (40 CFR part 444)
Carpet and Upholstery Cleaning
Coin-Operated Laundries and Dry Cleaning
Diaper Services
Dry Cleaning Plants except Rug Cleaning
Industrial Laundries
Laundry and Garment Services, Not Elsewhere Classified
Linen Supply
Power Laundries, Family and Commercial
Electrical and Electronic Components {1} (40 CFR part 469)
{1} The Paragraph 8 exemption for the manufacture of
products in the Electrical and Electronic Components
Category is for operations not covered by Electroplating/Metal
Finishing pretreatment regulations (40 CFR parts 413/433).
Capacitors (Fluid Fill)
Carbon and Graphite Products
Dry Transformers
Ferrite Electronic Devices
Fixed Capacitors
Fluorescent Lamps
Fuel Cells
Incandescent Lamps
Magnetic Coatings
Mica Paper Dielectric
44
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Motors, Generators, Alternators
Receiving and Transmitting Tubes
Resistance Heaters
Resistors
Swithchgear
Transformer (Fluid Fill)
Metal Molding and Casting (40 CFR part 464)
Nickel Casting
Tin Casting
Titanium Casting
Gum and Wood Chemicals (40 CFR part 454)
Char and Charcoal Briquets
Inorganic Chemicals Manufacturing (40 CFR part 415)
Ammonium Chloride
Ammonium Hydroxide
Barium Carbonate
Calcium Carbonate
Carbon Dioxide
Carbon Monoxide and Byproduct Hydrogen
Hydrochloric Acid
Hydrogen Peroxide (Organic Process)
Nitric Acid
Oxygen and Nitrogen
Potassium Iodide
Sodium Chloride (Brine Mining Process)
Sodium Hydrosulfide
Sodium Hydrosulfite
Sodium Metal
Sodium Silicate
Sodium Thiosulfate
Sulfur Dioxide
Sulfuric Acid
Leather (40 CFR part 425)
Gloves
Luggage
Paving and Roofing (40 CFR part 443)
Asphalt Concrete
Asphalt Emulsion
Linoleum
Printed Asphalt Felt
Roofing
45
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Pulp. Paper, and Paperboard. and Builders' Paper and Board Mills
(40 CFR parts 430 and 431)
Groundwood-Chemi-Mechanical
Rubber Manufacturing (40 CFR part 428)
Tire and Inner Tube Plants
Emulsion Crumb Rubber
Solution Crumb Rubber
Latex Rubber
Small-sized General Molded, Extruded and Fabricated Rubber
Plants,{2}
{2} Footnote: Except for production attributed to fsad-
sheathed hose manufacturing operations.
Medium-sided General Molded. Extruded and Fabricated Rubber
Plants {2}
Large-sized General Molded. Extruded and Fabricated Rubber
Plants {2}
Wet Digestion Reclaimed Rubber
Pan, Dry Digestion, and Mechanical Reclaimed Rubber
Latex Dipped. Latex-Extruded, and Latex-Molded Rubber {3}
| {3} Footnote: Except for production attributed to chromic
(acid form-cleaning operations.
Latex Foam {4}
{4} Footnote: Except for production that generates zinc
as a pollutant in discharge.
Soap and Detergent Manufacturing (40 CFR part 417)
Soap Manufacture by Batch Kettle
Fatty Acid Manufacture by Fat Splitting
Soap Manufacture by Fatty Acid
Neutralization
Glycerine Concentration
Glycerine Distillation
Manufacture of Soap Flakes and Powders
Manufacture of Bar Soaps
Manufacture of Liquid Soaps
Manufacture of Spray Dried Detergents
Manufacture of Liquid Detergents
Manufacture of Dry Blended Detergents
Manufacture of Drum Dried Detergents
Manufacture of Detergent Bars and Cakes
Textile Mills (40 CFR part 410)
Apparel manufacturing
Cordage and Twine
Padding and Upholstery Filling
46
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Timber Products Processing (40 CFR part 429)
Barking Process
Finishing Processes
Hardboard-Dry Process
[51FR36372, Oct. 9, 1986]
APPENDIX E TO PART 403-SAMPLING PROCEDURES
I. COMPOSITE METHOD
A. It is recommended that influent and effluent operatienal data be obtained through 24-hour flow
proportional composite samples. Sampling may be done manually or automatically, and
discretely or continuously. If discrete sampling is employed, at least 12 aliquots should be composited.
Discrete sampling may be flow proportioned either by varying the time interval
between each aliquot or the volume of each aliquot. All composites should be flow proportional to either the
stream flow at the time of collection of the influent aliquot or to the total influent
flow since the previous influent aliquot. Volatile pollutant aliquots must be combined in the laboratory
immediately before analysis.
B. Effluent sample collection need not be delayed to compensate for hydraulic detention unless the POTW
elects to include detention time compensation or unless the Approval Authority requires detention time
compensation The Approval Authority may require that each effluent sample is taken approximately one
detention time later than the corresponding influent sample when failure to do so would result in an
unrepresentative portrayal of actual POTW operation. The detention period should be based on a 24-hour
average daily flow value. The average daily flow should in turn be based on the average of the daily flows
during the same month of the previous year.
II. GRAB METHOD
If composite sampling is not an appropriate technique, grab samples should be taken to obtain influent and
effluent operational data. A grab sample is an individual sample collected over a
period of time not exceeding 15 minutes. The collection of influent grab samples should precede the
collection of effluent samples by approximately one detention period except that where the
detention period is greater than 24 hours such staggering of the sample collection may not be necessary or
appropriate. The detention period should be based on a 24-hour average daily
flow value. The average daily flow should in turn be based upon the average of the daily flows during the
same month of the previous year. Grab sampling should be employed where the pollutants being evaluated
are those, such as cyanide and phenol, which may not be held for an extended period because of biological,
chemical or physical interaction which take place after sample collection and affect the results.
[49 FR 31225, Aug. 3r 1984]
APPENDIX F-[RESERVED]
APPENDIX G TO PART 403-POLLUTANTS ELIGIBLE FOR A REMOVAL CREDIT
+ I. Regulated Pollutants in Part 503 Eligible for a Removal Credit
47
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Pollutants
Use or disposal practice
LA
SD
+Arsenic
+Beryllium
+Cadmium
+Chromium
+Copper
+Lead
+Mercury
+Molybdenum
+Nickel
+Selenium
+Zinc
+Total hydrocarbons
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
xm
Key:
LA-land application.
SD-surface disposal site without a liner and leachate collection system.
I-finng of sewage sludge in a sewage sludge incinerator.
{1} The following organic pollutants are eligible for a removal credit if
the requirements for total hydrocarbons in subpart E in 40 CFR Part 503
are met when sewage sludge is fired in a sewage sludge incinerator:
Acrylonitrile. Aldrin/Dieldrin(total), Benzene, Benzidine. Benzo(a)pyrene,
Bis(2-chloroethyl)ether, Bis(2-ethylhexyl)phthalate, Bromodichloromethane,
Bromoethane, Bromoform, Carbon tetrachloride. Chlordane, Chloroform,
Chloromethane, DDD,DDE,DDT, Dibromochloromethane, Dibutyl phthalate, 1,2-
dichloroethane, 1.1-dichloroethylene, 2,4-dichlorophenol, 1,3-
dichloropropene, Diethyl phthalate, 2.4-dinitrophenol, 1,2-
diphenylhydrazioe, Di-n-butyl phthalate, Endosulfan, Endrin, Ethylbenzene,
Heptachlor. Heptachlor epoxide, Hexachlorobutadiene. Alpha-
hexachlorocyclohexane, Beta-hexachlorocyclohexane,
Hexachlorocyclopentadiene. Hexachloroethane, Hydrogen cyanide, Isophorone.
Lindane, Methylene chloride. Nitrobenzene, N-Nitrosodimethylamine, N-
Nitrosodi-n-propylamine, Pentachlorophenol. Phenol, Polychlorinated
biphenyls, 2,3,7,8-tetrachlorodibenzo-p-dioxin, 1,1,2,2,-
tetrachloroethane. Tetrachloroethylene, Toluene. Toxaphene,
Trichloroethylene. 1.2.4-Trichlorobenzene, 1.1,1-Trichloroethane, 1,1,2-
Trichloroethane. and 2,4.6-Trichlorophenol.
48
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+
II. Additional Pollutants Eligible for a Removal Credit
[milligrams per kilogram-dry weight basis]
Use or disposal practice
Pollutant
LA SD
Unlined{l} Lined {2}
+Arsenic
-t-Aldnn/Dieldrin (Total)
+Benzene
+Benzo(a)pyrene
+Bis(2-ethylhexyl)phthalate
-(-Cadmium
+Chlordane
+Chromium
+Copper
+DDD, DDE, DDT (Total)
' 4 Dichlorophenoxy-acetic acid.
. luonde
+Heptachlor
-i-Hexachlorobenzene
+Hexachlorobutadiene
-(-Iron
-(-Lead
-t-Lindane
+Malathion
+Mercury
+Molybdenum
+Nickel
-(-N-Nitrosodimethylamine
+Pentachlorophenol
+Phenol
+Polychlorinated biphenyls
-(-Selenium
+Toxaphene
+Tnchloroethylene
-hZmc
100 {3}
2.7 | |
16 {3} 140
15 100 {3}
100 {3}
100 {3}
86 100 {3}
100 {3}
46 {3} 100 {3}
2000 2000
7 7
3400
100 {3}.
100 {3}..
100 {3}...
100 {3}.
1400
1.2
730 ..
7.4 ...
29 ...
600 .
78 {3}.
84
100 {3}
28 {3}
0.63
100 {3}
100 {3}
28 {3}
0.63
100 {3}
2.1
30
82
4.6 <50
4.8
10 26 {3}
10 {3} 9500
4500
40 40
100 {3}
0.088 0.088
82
<50
4.8 4.8
26 {3}
10 {3}
4500 4500
+ Key: LA-land application.
+ SD-surface disposal.
>-a-incmeration.
49
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+ { 1 } Sewage sludge unit without a liner and leachate collection system.
+ {2} Sewage sludge unit with a liner and leachate collection system.
+ {3 } Value expressed in grams per kilogram-dry weight basis.
+ {4} Value to be determined on a case-by-case basis.
+[58 FR 9386, Feb. 19, 1993; amended 60 FR 54764, Oct. 25, 1995]
50
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PART 122EPA ADMINISTERED PER-
MIT PROGRAMS: THE NATIONAL
POLLUTANT DISCHARGE ELIMI-
NATION SYSTEM
Subpart ADefinitions and General
Program Requirements
Sec.
122.1 Purpose and scope.
122.2 Definitions.
122.3 Enliuiom.
122.4 Prohibitions (applicable to State NPDES Pro-
grams, tee § 123.25).
122.5 Effect of a permit
122.6 Continuation of expiring permits.
122.7 Confidentiality of information.
Subpart BPermit Application and Special
NPDES Program Requirements
122.21 Application for a permit (applicable to State pro-
grams, sec §12325}
122.22 Signatories to permit applications and reports
(applicable to State programs, see § 123.25).
122.23 Concentrated animal feeding operations (applica-
ble to State NPDES programs, see § 123.25).
122.24 Concentrated aquatic animal production facilities
(applicable to State NPDES programs, see § 123.25).
122.25 Aquaculturc projects (applicable to State NPDES
programs, see § 123.25).
122.26 Storm water discharges (applicable to State
NPDES programs, see § 123.25).
122.27 Sih/icultural activities (applicable to State
NPDES programs, see § 123.25).
122.28 General permits (applicable to State NPDES pro-
grams, see § 123.25).
122.29 New sources and new dischargers.
Subpart CPermit Conditions
122.41 Conditions applicable to all permits (applicable
to Slate programs, see § 123.25)
122.42 Additional conditions applicable to specified cat-
egories of NPDES permits (applicable to State
NPDES programs, see § 123.25).
122.43 Establishing permit conditions (applicable to
State programs, see § 123.25).
122.44 Establishing limitations, standards and* other per-
mit conditions (applicable to State NPDES programs,
see §123.25).
122.45 Calculating NPDES permit conditions (applica-
ble to State NPDES programs, see § 123.25).
122.46 Duration of permits (applicable to State pro-
grams, see § 123.25)
122.47 Schedules of compliance.
122.48 Requirements for recording and reporting 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 (appli-
cable to State NPDES programs, see § 123.25).
Subpart DTransfer, Modification, Revoca-
tion and Reissuance. and Termination
of Permits
122.61 Transfer of permits (applicable to State pro-
grams, see § 123.25}
122.62 Modification or revocation and reiasuance of
permits (applicable to State programs, see § 123.25).
122.63 Minor modifications of permits.
122.64 Termination of permits (applicable to Slate pro-
grams, see § 123.25)
APPENDIX A TO PART 122NPDES PRIMARY INDUSTRY
CATEGORIES
APPENDIX B TO PART 122CRITERIA FOR DBTERMINTNO
A CONCENTRATED ANIMAL FEEDING OPERATION
(§122.23)
APPENDIX C TO PART 122CRITERIA FOR DETERMININO
A CONCENTRATED AQUATIC ANIMAL PRODUCTION
FACILITY (§ 122.24)
APPENDIX D TO PART 122NPDES PERMIT APPLICA-
TION TESTING REQUIREMENTS (§ 122.21)
APPENDIX E TO PART 122RAINFALL ZONES OF THE
UNITED STATES
APPENDIX F TO PART 122INCORPORATED PLACES WITH
POPULATIONS GREATER THAN 250,000 ACCORDING
TO LATEST DECENNIAL CENSUS BY BUREAU OF
CENSUS
APPENDIX G TO PART 122PLACES WITH POPULATIONS
GREATER THAN 100,000 AND LESS THAN 250,000
ACCORDING TO LATEST DECENNIAL CENSUS BY BU-
REAU OF CENSUS
APPENDIX H TO PART 122COUNTIES WITH UNINCOR-
PORATED URBANIZED AREAS WITH A POPULATION
OF 250,000 OR MORE ACCORDING TO THE LATEST
DECENNIAL CENSUS BY THE BUREAU OF CENSUS
APPENDIX I TO PART 122COUNTIES WITH UNINCOR-
PORATED URBANIZED AREAS GREATER THAN
100,000. BUT LESS THAN 250,000 ACCORDING TO
THE LATEST DECENNIAL CENSUS BY THE BUREAU OF
CENSUS
AUTHORITY: The Clean Water Act. 33 U.S.C. 1251 el
uq.
SOURCE: 48 FR 14153, Apr. 1. 1983. unless otherwise
noted.
Subpart ADefinitions and
General Program Requirements
§ 122.1 Purpose and scope.
(a) Coverage. (1) These regulations contain pro-
visions for the National Pollutant Discharge
Elimination System (NPDES) Program under sec-
tion 318, 402. and 405 of the Clean Water Act
(CWA) (Pub. L. 92-500. as amended by Pub. L.
95-217, Pub. L. 95-576, Pub. L, 96-^t83, Pub. L.
97-117, and Pub. L. 100-4; 33 U.S.C.1251 et
seq.)
(2) These regulations cover basic EPA permit-
ting requirements (part 122X what a State must do
to obtain approval to operate its program in lieu
of a Federal program and minimum requirements
for administering the approved State program (part
123), and procedures for EPA processing of permit
1
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§122.2
applications and appeals (part 124). Part 124 is
also applicable to other EPA permitting programs,
as detailed in that part
(b) Scope of the NPDES permit requirement (1)
The NPDES program requires permits for the dis-
charge of "pollutants" from any "point source"
into "waters of the United States." The terms
"pollutant", "point source" and "waters of the
United States" are defined in § 1212.
(2) The following are point sources requiring
NPDES permits for discharges:
(i) Concentrated animal feeding operations as
defined in § 122.23;
(ii) Concentrated aquatic animal production fa-
cilities as defined in § 122.24;
(iii) Discharges into aquacuhure projects as set
forth in § 122.2S;
(iv) Discharges of storm water as set forth in
§ 122.26; and
(v) Silvicuttural point sources as defined in
§ 122.27.
(3) The permit program established under this
part also applies to owners or operators of any
treatment works treating domestic sewage, whether
or not the treatment works is otherwise required to
obtain an NPDES permit in accordance with para-
graph (aXl) of this section, unless all requirements
implementing section 405(d) of CWA applicable
to the treatment works treating domestic sewage
are included in a permit issued under the appro-
priate provisions of subtitle C of the Solid Waste
Disposal Act, Part C of the Safe Drinking Water
Act, the Marine Protection, Research, and Sanc-
tuaries Act of 1972, or the Clean Air Act, or
under State permit programs approved by the Ad-
ministrator as adequate to assure compliance with
section 405 of the CWA.
(4) The Regional Administrator may designate
any person subject to the standards for sewage
sludge use and disposal as a "treatment works
treating domestic sewage" as defined in §122.1,
where he or she finds that a permit is necessary
to protect 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 section
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 Adminis-
trator that a permit is required. The Regional Ad-
ministrator's decision to designate a person as a
"treatment works treating domestic sewage"
under this paragraph shall be staled in the fact
sheet or statement of basis for the permit.
(c) State programs. Certain requirements set
forth in part 122 and 124 are made applicable to
approved State programs by reference in part 123.
These references are set forth in § 123.25. If a sec-
tion or paragraph of part 122 or 124 is applicable
to States, through reference in § 123.25, that fact
is signaled by the following words at the end of
the section or paragraph heading: (Applicable to
State programs, tee §123.25). If these words are
absent, the section (or paragraph) applies only to
EPA administered permits.
(d) Relation to other requirements(1) Permit
application forms. Applicants for EPA issued per-
mits must submit their applications on EPA's per-
mit application forms when available. Most of the
information requested on these application forms
is required by these regulations. The basic infor-
mation required in the general form (Form 1) and
the additional information required for NPDES ap-
plications (Forms 2 a through d) are listed in
§122.21. Applicants for State issued permits must
use State forms which must require at a minimum
the information listed in these sections.
(2) Technical regulations. The NPDES permit
program has separate additional regulations. These
separate regulations are used by permit issuing au-
thorities to determine what requirements must be
placed in permits if they are issued. These separate
regulations are located at 40 CFR parts 125, 129,
133, 136, 40 CFR subchapter N (parts 400 through
460), and 40 CFR part 503.
(e) Public participation. This rule establishes
the requirements for public participation in EPA
and State permit issuance and enforcement and re-
lated variance proceedings, and in the approval of
State NPDES programs. These requirements carry
out the purposes of the public participation re-
quirements of 40 CFR part 25 (Public Participa-
tion X and supersede the requirements of that part
as they apply to actions covered under parts 122,
123, and 124.
(f) State authorities. Nothing in part 122, 123,
or 124 precludes more stringent State regulation of
any activity covered by these regulations, whether
or not under an approved State program.
[48 FR 14153. Apr. 1. 1983. *s amended »t 54 FR 18781.
May 2, 1989; 55 FR 48062, Nov. 16, 1990; 58 FR 9413,
Feb. 19. 1993; 60 FR 33931. June 29. 1995]
§122.2 Definitions.
The following definitions apply to parts 122,
123, and 124. Terms not defined in this section
have the meaning given by CWA When a defined
term appears in a definition, the defined term is
sometimes placed in quotation marks as an aid to
readers.
Administrator means the Administrator of the
United States Environmental Protection Agency,
or an authorized representative.
Applicable standards and limitations means all
Stale, interstate, and federal standards and limita-
tions to which a "discharge," a "sewage sludge
use or disposal practice," or a related activity is
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§122.2
subject under the CWA, including "effluent limi-
tations," water quality standards, standards of per-
formance, toxic effluent standards or prohibitions,
"best management practices," pretreatmeut stand-
ards, and "standards for sewage sludge use or dis-
posal" under sections 301, 302. 303, 304, 306,
307, 308, 403 and 405 of CWA.
Application means the EPA standard national
forms for applying for permit, including any ad-
ditions, revisions or modifications to the forms; or
forms approved by EPA for use in "approved
States," including any approved modifications or
revisions.
Approved program or approved State means a
State or interstate program which has been ap-
proved or authorized by EPA under part 123.
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 dis-
charges" measured during that month.
Average weekly 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 dis-
charges" measured during that week.
Best management practices ("BMPs") means
schedules of activities, prohibitions of practices.
maintenance procedures, and other management
practices to prevent or reduce the pollution of
"waters of the United States." BMPs also include
treatment requirements, operating procedures, and
practices to control plant she runoff, spillage or
leaks, sludge or waste disposal, or drainage from
raw material storage.
BMPs means "best management practices."
Class I sludge management facility means any
POTW identified under 40 CFR 403.8(a) as being
required to have an approved pretreatment pro-
gram (including such POTWs located in a State
that has elected to assume local program respon-
sibilities pursuant to 40 CFR 403.10(e)> and any
other treatment works treating domestic sewage
classified as a Class I sludge management facility
by the Regional Administrator, or, in the case of
approved State programs, the Regional Adminis-
trator in conjunction with the State Director, be-
cause of the potential for its sludge use or disposal
practices to adversely affect public health and the
environment
Contiguous zone means the entire zone estab-
lished by the United Stales under Article 24 of the
Convention on the Territorial Sea and the Contig-
uous Zone.
Continuous discharge means a "discharge"
which occurs without interruption throughout the
operating hours of the facility, except for infre-
quent shutdowns for maintenance, process
changes, or other similar activities.
CWA means the Clean Water Act (formerly re-
ferred 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,
33U.S.C. 1251 etseq.
CWA and regulations means the Clean Water
Act (CWA) and applicable regulations promul-
gated thereunder. In the case of an approved State
program, it includes State program requirements.
Daily discharge means the "discharge of a pol-
lutant" measured during a calendar day or any 24-
hour period that reasonably represents the calendar
day for purposes of sampling. For pollutants with
limitations expressed in units of mass, the "daily
discharge" is calculated as the total mass of the
pollutant discharged over the day. For pollutants
with limitations expressed in other units of meas-
urement, the "daily discharge" is calculated as the
average measurement of the pollutant over the
day.
Direct discharge means the "discharge of a pol-
lutant"
Director means the Regional Administrator or
the State Director, as the context requires, or an
authorized representative. When there is no "ap-
proved State program," and there is an EPA ad-
ministered program, "Director" means the Re-
gional Administrator. When there is an approved
State program, "Director" normally means the
State Director. In some circumstances, however,
EPA retains the authority to take certain actions
even when there is an approved State program.
(For example, when EPA has issued an NPDES
permit prior to the approval of a State program,
EPA may retain jurisdiction over that permit after
program approval, see §123.1.) In such cases, the
term "Director" means the Regional Adminis-
trator and not the State Director.
Discharge when used without qualification
means the "discharge of a pollutant"
Discharge of a pollutant means:
(a) Any addition of any "pollutant" or com-
bination of pollutants to "waters of the United
States" from any "point source," or
(b) Any addition of any pollutant or combina-
tion of pollutants to the waters of the "contiguous
zone" or the ocean from any point source other
than a vessel or other floating craft which is being
used as a means of transportation.
This definition includes additions of pollutants into
waters of the United States from: surface runoff
which is collected or channelled by man; dis-
charges through pipes, sewers, or other convey-
ances owned by a State, municipality, or other
person which do not lead to a treatment works;
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§122.2
and discharges through pipes, sewers, or other
conveyances, leading into privately owned treat-
ment works. This term does not include an addi-
tion of pollutants by any "indirect discharger."
Discharge Monitoring Report ("DMR") means
the EPA uniform national form, including any sub-
sequent additions, revisions, or modifications for
the reporting of self-monitoring results by permit-
tees. DMRs must be used by "approved 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 in-
formation, as appropriate, in place of EP A's.
DMR means "Discharge Monitoring Report."
Draft permit means a document prepared under
§ 124.6 indicating the Director'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 § 124.3, are types
of "draft permits." A denial of a request for
modification, revocation and reissuance, or termi-
nation, as discussed in § 124.5, is not a "draft per-
mit" A "proposed permit" is not a "draft per-
mit"
Effluent limitation means any restriction im-
posed by the Director on quantities, discharge
rates, and concentrations of "pollutants" which
are "discharged" from "point sources" into "wa-
ters of the United States," the waters of the "con-
tiguous zone," or the ocean.
Effluent limitations guidelines means a regula-
tion published by the Administrator under section
304(b) of CWA to adopt or revise "effluent limi-
tations."
Environmental Protection Agency ("EPA")
means the United States Environmental Protection
Agency.
EPA means the United States "Environmental
Protection Agency."
Facility or activity means any NPDES "point
source" or any other facility or activity (including
land or appurtenances thereto) that is subject to
regulation under the NPDES program.
Federal Indian reservation means all land with-
in the limits of any Indian reservation under the
jurisdiction of the United States Government, not-
withstanding the issuance of any patent, and in-
cluding rights-of-way running through the reserva-
tion.
General permit means an NPDES "permit" is-
sued under § 122.28 authorizing a category of dis-
charges under the CWA within a geographical
area.
Hazardous substance means any substance des-
ignated under 40 CFR part 116 pursuant to section
311 of CWA.
Indian Tribe means any .Indian Tribe, band,
group, or community recognized by the Secretary
of the Interior and exercising governmental author-
ity over a Federal Indian reservation.
Indirect discharger means a nondomestic dis-
jcharger introducing "pollutants" to a "publicly
owned treatment works."
Interstate agency means an agency of two or
more States established by or under an agreement
or compact approved by the Congress, or any
other agency of two or more States having sub-
stantial powers or duties pertaining to the control
of pollution as determined and approved by the
Administrator under the CWA and regulations.
Major facility means any NPDES "facility or
activity" classified, as such by the Regional Ad-
ministrator, or, in the case of "approved State pro-
grams," the Regional Administrator in conjunction
with the State Director.
Maximum daily discharge limitation means the
highest allowable "daily discharge."
Municipality means a city, town, borough, coun-
ty, parish, district, association, or other public
body created by or under State law and having ju-
risdiction over disposal of sewage, industrial
wastes, or other wastes, or an Indian tribe or an
authorized Indian tribal organization, or a des-
ignated and approved management agency under
section 208 of CWA.
National Pollutant Discharge Elimination Sys-
tem (NPDES) means the national program for is-
suing, modifying, revoking and reissuing, termi-
nating, monitoring and enforcing permits, and im-
posing and enforcing pretreatment requirements,
under sections 307, 402. 318, and 405 of CWA.
The term includes an "approved program."
Nev discharger means any building, structure,
facility, or installation:
(a) From which there is or may be a "discharge
of pollutants;"
(b) That did not commence the "discharge 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 discharging 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
drilling rig) such as a seafood processing rig, sea-
food processing vessel, or aggregate plant, that be-
gins discharging at a "site" for which h does not
have a permit; and any offshore or coastal mobile
oil and gas exploratory drilling rig or coastal mo-
bile oil and gas developmental drilling rig that
commences the discharge of pollutants after Au-
-------
§ 122.2
gust 13, 1979, at * "the" under EPA's permitting
jurisdiction for which it is not covered by an indi-
vidual 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 exploratory drilling
rig or coastal mobile developmental drilling rig
will be considered a "new discharger" only for
the duration of its discharge in an area of biologi-
cal concern.
New source means any building, structure, facil-
ity, or installation from which there is or may be
a "discharge of pollutants," the construction of
which commenced:
(a) After promulgation of standards of perform-
ance under section 306 of CWA which are appli-
cable to such source, or
(b) After proposal of standards of performance
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 proposal.
NPDES means "National Pollutant Discharge
Elimination System."
Owner or operator means the owner or operator
of any "facility or activity" subject to regulation
under the NPDES program.
Permit means an authorization, license, 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 subject of final agency action, such
as a "draft permit" or a "proposed permit"
Person means an individual, association, part-
nership, corporation, municipality, State or Federal
agency, or an agent or employee thereof.
Point source means any discernible, confined,
and discrete conveyance, including but not limited
to, any pipe, ditch, channel, tunnel, conduit, well,
discrete fissure, container, rolling stock, con-
centrated animal feeding operation, landfill leach-
ate collection system, vessel or other floating craft
from which pollutants are or may be discharged.
This term does not include return flows from irri-
gated agriculture or agricultural storm water run-
off. (See § 122.3).
Pollutant means dredged spoil, solid waste, in-
cinerator residue, filter backwash, sewage, gar-
bage, sewage sludge, munitions, chemical wastes,
biological materials, radioactive materials (except
those regulated under the Atomic Energy Act of
1954, as amended (42 U.S.C. 2011 et seq.)), heat,
wrecked or discarded equipment, rock, sand, cellar
dirt and industrial, municipal, and agricultural
waste discharged into water. It does not mean:
(a) Sewage from vessels; or
(b) Water, gas, or other material which is in-
jected into a well to facilitate 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 production or for dis-
posal purposes is approved 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 degradation of ground or surface
water resources.
NOTE: Radioactive materials covered by the Atomic
Energy Act are these encompassed in its definition of
source, byproduct, or special nuclear materials. Examples
of materials not covered include radium and accelerator-
produced isotopes. See Train v. Colorado Public Inttnsl
Rwarch Group, Inc.. 426 U.S. 1 (1976).
POTW means "publicly owned treatment
works."
Primary industry category means any industry
category listed in the NRDC settlement agreement
(Natural Resources Defense Council et aL v.
Train, 8 E.R.C. 2120 (D.D.C. 1976), modified 12
E.R.C. 1833 (D.D.C. 1979)); also listed in appen-
dix A of part 122.
Privately owned treatment works means any de-
vice or system which is (a) used to treat wastes
from any facility whose operator is not the opera-
tor of the treatment works and (b) not a
"POTW."
Process wastewater means any water which,
during manufacturing or processing, comes into di-
rect contact with or results from the production or
use of any raw material, intermediate product fin-
ished product, byproduct, or waste product
Proposed permit means a State NPDES "per-
mit" prepared after the close of the public com-
ment period (and, when applicable, any public
hearing and administrative appeals) which is sent
to EPA for review before final issuance by the
State. A "proposed permit" is not a "draft per-
mit"
Publicly owned treatment works ("POTW")
means any device or system used in the treatment
(including recycling and reclamation) of municipal
sewage or industrial wastes of a liquid nature
which is owned by a "Stale" or "municipality."
This definition includes sewers, pipes, or other
conveyances only if they convey wastewater to a
POTW providing treatment
Recommencing discharger means a source
which recommences discharge after terminating
operations.
Regional Administrator means the Regional Ad-
ministrator of the appropriate Regional Office of
the Environmental Protection Agency or the au-
-------
§122.2
thorized representative of the Regional Adminis-
trator.
Schedule of compliance means a schedule of re-
medial measures included in a "permit", includ-
ing an enforceable sequence of interim require-
ments (for example, 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 cat-
egory."
Secretary means the Secretary of the Army, act-
ing through the Chief of Engineers.
Septage 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 maintained.
Sewage from vessels means human body wastes
and the wastes from toilets and other receptacles
intended to receive or retain body wastes that are
discharged from vessels and regulated under sec-
tion 312 of CWA, except that with respect to com-
mercial vessels on the Great Lakes this term in-
cludes graywater. For the purposes of this defini-
tion, "graywater" means galley, bath, and shower
water.
Sewage Sludge means any solid, semi-solid, or
liquid residue removed during the treatment of
municipal waste water or domestic sewage. Sew-
age sludge includes, but is not limited to, solids
removed during primary, secondary, or advanced
waste water treatment, scum, septage, portable toi-
let 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 inciner-
ation of sewage sludge.
Sewage sludge use or disposal practice means
the collection, storage, treatment, transportation,
processing, monitoring, use, or disposal of sewage
sludge.
Site means the land or water area where any
"facility or activity" is physically located or con-
ducted, including adjacent land used in connection
with the facility or activity.
Sludge-only facility means any "treatment
works treating domestic sewage" whose methods
of sewage sludge use or disposal are subject to
regulations promulgated pursuant to section 405(d)
of the CWA, and is required to obtain a permit
under § 122.1(bX3) of this part.
Standards for sewage sludge use or disposal
means the regulations promulgated pursuant to
section 405(d) of the CWA which govern mini-
mum requirements for sludge quality, management
practices, and monitoring and reporting 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 Commonwealth of Puerto
Rico, the Virgin Islands, American Samoa, the
Commonwealth of the Northern Mariana Islands,
the Trust Territory of the Pacific Islands, or an In-
dian Tribe as defined in these regulations which
meets the requirements of § 123.31 of this chapter.
State Director means the chief administrative
officer of any State or interstate agency operating
an "approved program," or the delegated rep-
resentative of the State Director. If responsibility
is divided among two or more State or interstate
agencies, "State Director" means the chief admin-
istrative officer of the State or interstate agency
authorized to perform the particular procedure or
function to which reference is made.
State/EPA Agreement means an agreement be-
tween the Regional Administrator and the State
which coordinates EPA and State activities, re-
sponsibilities and programs including those under
the CWA programs.
Total dissolved solids means the total dissolved
(filterable) solids as determined by use of the
method specified in 40 CFR part 136.
Toxic pollutant means any pollutant listed as
toxic under section 307(aXl) or, in the case of
"sludge use or disposal practices," any pollutant
identified in regulations implementing section
405(d)oftheCWA.
Treatment works treating domestic sewage
means a POTW or any other sewage sludge or
waste water treatment devices or systems, regard-
less of ownership (including federal facilities),
used in the storage, treatment, recycling, and rec-
lamation of municipal or domestic sewage, includ-
ing land dedicated for the disposal of sewage
sludge. This definition does not include septic
tanks or similar devices. For purposes of this defi-
nition, "domestic sewage" includes waste and
waste water from humans or household operations
that are discharged to or otherwise enter a treat-
ment works. In States where there is no approved
State sludge management program under section
405(f) °f the CWA, the Regional Administrator
may designate any person subject to the standards
for sewage sludge use and disposal in 40 CFR part
503 as a "treatment works treating domestic sew-
age," where he or she finds that there is a poten-
tial for adverse effects on public health and the
environment from poor sludge quality or poor
sludge handling, use or disposal practices, or
where he or she finds that such designation is nec-
essary to ensure that such person is in compliance
with 40 CFR part 503.
Variance means any mechanism or provision
under section 301 or 316 of CWA or under 40
CFR part 125, or in the applicable "effluent limi-
tations guidelines" which allows modification to
or waiver of the generally applicable effluent limi-
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§122.3
taiion requirements or time deadlines of CWA.
This includes provisions which allow the establish-
ment of alternative limitations based on fundamen-
tally different factors or on sections 301(c),
301(g), 301(h), 301(iX or 316(a) of CWA.
Waters of the United States or waters of the
U.S. means:
(a) All waters which are currently used, were
used in the past, or may be susceptible to use in
interstate or foreign commerce, including all wa-
ters which are subject to the ebb and flow of the
tide;
(b) All interstate waters, including interstate
"wetlands;"
(c) All other waters such as intrastate lakes, riv-
ers, streams (including intermittent streams),
mudflats, sandflats, "wetlands," sloughs, prairie
potholes, wet meadows, playa lakes, or natural
ponds the use, degradation, or destruction of
which would affect or could affect interstate or
foreign commerce including any such waters:
(1) Which are or could be used by interstate or
foreign travelers for recreational or other purposes;
(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 indus-
trial purposes by industries in interstate commerce;
(d) All impoundments of waters otherwise de-
fined as waters of the United States under this def-
inition;
(e) Tributaries of waters identified in paragraphs
(a) through (d) of this definition;
(f) The territorial sea; and
(g) "Wetlands" adjacent to waters (other than
waters that are themselves wetlands) identified in
paragraphs (a) through (f) of this definition.
Waste treatment systems, including treatment
ponds or lagoons designed to meet the require-
ments of CWA (other than cooling ponds as de-
fined in 40 CFR 423.1 l(m) which also meet the
criteria of this definition) are not waters of the
United States. This exclusion applies only to man-
made bodies of water which neither were origi-
nally created in waters of the United States (such
as disposal area in wetlands) nor resulted from the
impoundment of waters of the United States. [See
Note 1 of this section.] 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 EPA.
Wetlands means those areas that are inundated
or saturated by surface or groundwater at a fre-
quency and duration sufficient to support, and that
under normal circumstances do support, a preva-
lence of vegetation typically adapted for life in
saturated soil conditions. Wetlands generally in-
clude swamps, marshes, bogs, and similar areas.
Whole effluent toxicity means the aggregate
toxic effect of an effluent measured directly by a
toxicity test
NOTE: At 45 FR 48620. July 21, 1980. the Environ-
mental Protection Agency impended until further notice
in § 122.2, the Ust sentence, beginning "This exclusion
applies ..." in the definition of "Waters of the United
States." This revision continues that suspension.1
(Clean Water Act (33 U.S.C. 1251 *t seq.\ Safe Drinking
Water Act (42 U.S.C. 300f «( ;««). Clean Air Act (42
U.S.C. 7401 it **q.\ Resource Conservation and Recov-
ery Act (42 U.S.C. 6901 *t»«.))
[48 FR 14153. Apr. 1. 1983, as amended at 48 FR 39619.
Sept 1, 1983; 50 FR 6940. 6941. Feb. 19. 1985; 54 FR
254. Ian. 4. 1989; 54 FR 18781. May 2, 1989; 54 FR
23895. June 2. 1989. 58 FR 45039. Aug. 25. 1993; 58
FR 67980. Dec. 22. 1993]
§ 122.3 Exclusions.
The following discharges do not require NPDES
permits:
(a) Any discharge of sewage from vessels, efflu-
ent from properly functioning marine engines,
laundry, shower, and galley sink wastes, or any
other discharge incidental to the normal operation
of a vessel. This exclusion does not apply to rub-
bish, trash, garbage, or other such materials dis-
charged overboard; nor to other discharges when
the vessel is operating in a capacity other than as
a means of transportation such as when used as an
energy or mining facility, a storage facility or a
seafood processing facility, or when secured to a
storage facility or a seafood processing facility, or
when secured to the bed of the ocean, contiguous
zone or waters of the United States for the pur-
pose of mineral or oil exploration or development
(b) Discharges of dredged or fill material into
waters of the United States which are regulated
under section 404 of CWA.
(c) The introduction of sewage, industrial wastes
or other pollutants into publicly owned treatment
works by indirect dischargers. Plans or agreements
to switch to this method of disposal in .the future
do not relieve dischargers of the. obligation to have
and comply with permits until all discharges of
pollutants to waters of the United States are elimi-
nated. (See also § 122.47(b)). This exclusion does
not apply to the introduction of pollutants to pri-
vately owned treatment works or to other dis-
charges through pipes, sewers, or other convey-
ances owned by a State, municipality, or other
party not leading to treatment works.
(d) Any discharge in compliance with the in-
structions of an On-Scene Coordinator pursuant to
40 CFR part 300 (The National Oil and Hazardous
'EDITORIAL NOTE: The words "This revision" refer to
the document published at 48 FR 14153. Apr. 1. 1983.
-------
§122.4
Substances Pollution Contingency Plan) or 33
CFR 153.10(e) (Pollution by Oil and Hazardous
Substances).
(e) Any introduction of pollutants from non
point-source agricultural and silvicultural activi-
ties, including storm water runoff from orchards,
cultivated crops, pastures, range lands, and forest
lands, but not discharges from concentrated animal
feeding operations as defined in §122.23, dis-
charges from concentrated aquatic animal produc-
tion facilities as defined in § 122.24, discharges to
aquaculture projects as defined in §122.25, and
discharges from silvicultural point sources as de-
fined in § 122.27.
(f) Return flows from irrigated agriculture.
(g) Discharges into a privately owned treatment
works, except as the Director may otherwise re-
quire under § 122.44(m).
[48 FR 14153, Apr. 1, 1983. u amended at 54 FR 254,
258, Jan. 4, 1989]
§122.4 Prohibitions (applicable to
State NPDES programs, see
§123.25).
No permit may be issued:
(a) When the conditions of the permit do not
provide for compliance with the applicable re-
quirements of CWA, or regulations promulgated
under CWA;
(b) When the applicant is required to obtain a
State or other appropriate certification under sec-
tion 401 of CWA and §124.53 and that certifi-
cation has not been obtained or waived;
(c) By the State Director where the Regional
Administrator has objected to issuance of the per-
mit under § 123.44;
(d) When the imposition of conditions cannot
ensure compliance with the applicable water qual-
ity requirements of all affected States;
(e) When, in the judgment of the Secretary, an-
chorage and navigation in or on any of the waters
of the United States would be substantially im-
paired by the discharge;
(f) For the discharge of any radiological, chemi-
cal, or biological warfare agent or high-level ra-
dioactive waste;
(g) For any discharge inconsistent with a plan
or plan amendment approved under section 208(b)
of CWA;
(h) For any discharge to the territorial sea, the
waters of the contiguous zone, or the oceans in the
following circumstances:
(1) Before the promulgation of guidelines under
section 403(c) of CWA (for determining degrada-
tion of the waters of the territorial seas, the contig-
uous zone, and the oceans) unless the Director de-
termines permit issuance to be in the public inter-
est; or
(2) After promulgation of guidelines under sec-
tion 403(c) of CWA, when insufficient information
exists to make a reasonable judgment whether the
discharge complies with them.
(i) To a new source or a new discharger, if the
discharge from its construction or operation will
cause or contribute to the violation of water qual-
ity standards. The owner or operator 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(bXlXA) and 301(bXl)(B) of CWA, and for
which the State or interstate agency has performed
a pollutants load allocation for the pollutant to be
discharged, 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 segment into compliance with applicable
water quality standards.
[48 FR 14153. Apr. 1, 1983. u amended at 50 FR 6940.
Feb. 19. 1985]
§ 122.5 Effect of a permit.
(a) Applicable to Slate programs, tee §123.25.
(1) Except for any toxic effluent standards and
prohibitions imposed under section 307 of the
CWA and "standards for sewage sludge use or
disposal" under 405(d) of the CWA, compliance
with a permit during its term constitutes compli-
ance, for purposes of enforcement, with sections
301, 302, 306, 307, 318, 403, and 405 (a)-(b) of
CWA. However, a permit may be modified, re-
voked and reissued, or terminated during its term
for cause as set forth in §§ 122.62 and 122.64.
(2) Compliance with a permit condition which
implements a particular "standard for sewage
sludge use or disposal" shall be an affirmative de-
fense in any enforcement action brought for a vio-
lation of that "standard for sewage sludge use or
disposal" pursuant to sections 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 privi-
lege.
(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]
8
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§122.29
as it applies to the individual permittee shall auto-
matically terminal*. The Director may grant addi-
tional time upon request of the applicant
(iii) Any owner or operator authorized by a gen-
eral permit may request to be excluded from the
coverage of the general permit by applying for an
individual permit The owner or operator shall
submit an application under § 122.21, with reasons
supporting the request, 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 applica-
ble State law. The request shall be processed
under part 124 or applicable State procedures. The
request shall be granted by issuing of any individ-
ual permit if the reasons cited by the owner or op-
erator are adequate to support the request
(iv) When an individual NPDES permit is is-
sued to an owner or operator otherwise subject to
a general NPDES permit, the applicability of the
general permit to the individual NPDES permittee
is automatically terminated on the effective date of
the individual permit
(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 permit, the general
permit shall apply to the source.
(c) Offshore oil and gas facilities (Not applica-
ble to State programs). (1) The Regional Adminis-
trator shall, except as provided below, issue gen-
eral permits covering discharges from offshore oil
and gas exploration and production facilities with-
in the Region's jurisdiction. Where the offshore
area includes areas, such as areas of biological
concern, for which separate permit conditions are
required, the Regional Administrator may issue
separate general permits, individual permits, or
both. The reason for separate general permits or
individual permits shall be set forth in the appro-
priate fact sheets or statements of basis. Any state-
ment of basis or fact sheet for a draft permit shall
include the Regional Administrator's tentative de-
termination as to whether the permit applies to
"new sources," "new dischargers," or existing
sources and the reasons for this determination, and
the Regional Administrator's proposals as to areas
of biological concern subject either to separate in-
dividual or general permits. For Federally leased
lands, the general permit area should generally be
no less extensive than the lease sale area defined
by the Department of the Interior.
(2) Any interested person, including any pro-
spective permittee, may petition the Regional Ad-
ministrator to issue a general permit Unless the
Regional Administrator determines under para-
graph (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 pub-
lished a draft environmental impact statement The
project decision schedule shall meet the require-
ments of § 124.3(g), and shall include a schedule
providing for. the issuance of the final general per-
mit or permits not later than the date of the final
notice of sale 'projected by the Department 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(bX3X') (A)
through (G).
(Clean Water Act (33 U.S.C. 1251 et seq.\ Safe Drinking
Water Act (42 U.S.C. 300f *t seq.\ Clean Air Act (42
U.S.C. 7401 et Mq.\ Resource Conservation and Recov-
ery Act (42 U.S.C. 6901 et uq.))
[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; $4 FR 18782. May 2, 1989; 55 FR 48072.
Nov. 16. 1990; 57 FR 11412 and 11413, Apr. 2. 1992]
§122.29 New sources and new dis-
chargers.
(a) Definitions. (1) New source and new dis-
charger are defined in § 122.2. [See Note 2.]
(2) Source means any building, structure, facil-
ity, 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 discharger.
(4) Site is defined in § 122.2;
(5) Facilities or equipment means buildings,
structures, process or production equipment or ma-
chinery 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 substantial commitment to construct.
It excludes facilities or equipment used in connec-
tion with feasibility, engineering, and design stud-
ies regarding the source or water pollution treat-
ment for the source.
(b) Criteria for new source determination. (1)
Except as otherwise provided in an applicable new
source performance 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 she 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 she. In determin-
37
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§122.29
ing 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 existing 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 requirements of para-
graphs (bXl) (i), ("X 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 discharger. See § 122.2.
(3) Construction on a she 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 installation
meeting the criteria of paragraph (bXl) (ii) or (iii)
of this section but otherwise alters, replaces, or
adds to existing process or production equipment
(4) Construction of a new source as defined
under § 122.2 has commenced if the owner or op-
erator has: '
(i) Begun, or caused to begin as part of a con-
tinuous en-site construction program:
(A) Any placement, assembly, or installation of
facilities or equipment; or
(B) Significant site preparation work including
clearing, excavation or removal of existing build-
ings, structures, or facilities which is necessary for
the placement assembly, or installation of new
source facilities or equipment; or
(ii) Entered into a binding contractual obligation
for the purchase of facilities or equipment which
are intended to be used in its operation with a rea-
sonable time. Options to purchase or contracts
which can be terminated or modified without sub-
stantial loss, and contracts for feasibility engineer-
ing, and design studies do not constitute a contrac-
tual 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 sig-
nificantly affecting the quality of the human envi-
ronment within the meaning of the National Envi-
ronmental 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, subpart F. EPA will determine whether an
Environmental Impact Statement (EIS) is required
under § 122.2 l(k) (special provisions for applica-
tions from new sources) and 40 CFR part 6, sub-
part F;
(ii) By an NPDES approved State is not a Fed-
eral action and therefore does not require EPA to
conduct an environmental review.
(2) An EIS prepared under this paragraph 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 rec-
ommendation and list those measures, if any,
which the applicant could take to cause the rec-
ommendation to be changed;
(ii) If the recommendation is to issue the permit,
the final EIS shall recommend the actions, if any,
which the permittee should take to prevent or min-
imize any adverse environmental impacts;
(3) The Regional Administrator, to the extent al-
lowed by law, shall issue, condition (other than
imposing effluent limitations), or deny the new
source NPDES permit following a complete eval-
uation of any significant beneficial and adverse
impacts of the proposed action and a review of the
recommendations contained in the EIS or finding
of no significant impact.
(d) Effect of compliance with new source per-
formance standards. (The provisions of this para-
graph do not apply to existing sources which mod-
ify their pollution control facilities or construct
new pollution control facilities and achieve per-
formance 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 (dX2) of
this section, any new discharger, the construction
of which commenced after October 18, 1972, or
new source which meets the applicable promul-
gated new source performance standards before
the commencement of discharge, may not be sub-
ject to any more stringent new source performance
standards or to any more stringent technology-
based standards under section 301(bX2) of CWA
for the soonest ending of the following periods:
(i) Ten years from the date that construction is
completed;
(ii) Ten years from the date the source begins
to discharge process or other nonconstruction re-
lated wastewater, or
(iii) The period of depreciation or amortization
of the facility for the purposes of section 167 or
169 (or both) of the Internal Revenue Code of
1954.
(2) The protection from more stringent stand-
ards of performance afforded by paragraph (dXO
of this section does not apply to:
(i) Additional or more stringent permit condi-
tions which are not technology based; for example,
conditions based on water quality standards, or
toxic effluent standards or prohibitions under sec-
tion 307(a) of CWA; or
(ii) Additional permit conditions in accordance
with § 125.3 controlling toxic pollutants or hazard-
ous substances which are not controlled by new
source performance standards. This includes per-
38
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§ 122.41
mh conditions controlling pollutants other than
those identified as toxic pollutants or hazardous
substances when control of these pollutants has
been specifically identified as the method to con-
trol the toxic pollutants or hazardous substances.
(3) When an NPDES permit issued to a source
with a "protection period" under paragraph (dXl)
of this section will expire on or after the expira-
tion of the protection period, that permit shall re-
quire the owner or operator of the source to com-
ply with the requirements of section 301 and any
other then applicable requirements of CWA imme-
diately upon the expiration of the protection pe-
riod. No additional period for achieving compli-
ance with these requirements may be allowed ex-
cept 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 commenced discharge after
August 13, 1979, or a recommencing discharger
shall install and have in operating condition, and
shall "start-up" all pollution control equipment
required to meet the conditions of its permits be-
fore beginning 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(aX2).
(5) After the effective date of new source per-
formance standards, it shall be unlawful for any
owner or operator of any new source to operate
the source in violation of those standards applica-
ble to the source.
[48 FR 14153. Apr. 1. 1983. u unaided at 49 FR 38048.
Sept 26. 1984; SO FR 4514. Ian. 31. 1985; 50 FR 6941.
Feb. 19, 1985]
Subpart CPermit 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 ap-
plicable 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 permit
(a) Duty to comply. The permittee must comply
with all conditions of this permit. Any permit non-
compliance constitutes a violation of the Clean
Water Act and is grounds for enforcement action;
for permit termination, revocation and reissuance,
or modification; or denial of a permit renewal ap-
plication.
(1) The permittee shall comply with effluent
standards or prohibitions established under section
307(a) of the Clean Water Act for toxic pollutants
and with standards for sewage sludge use or dis-
posal established under section 405(d) of the
CWA within the time provided in the regulations
that establish these standards or prohibitions or
standards for sewage sludge use or disposal, even
if the permit has not yet been modified to incor-
porate the requirement
(2) The Clean Water Act provides that any per-
son who violates section 301, 302, 306, 307, 308,
318 or 405 of the Act, or any permit condition or
limitation implementing any such sections in a
permit issued under section 402, or any require-
ment imposed in a pretreatment program approved
under sections 402(aX3) or 402(bX8) of the Act,
is subject to a civil penalty not to exceed $25,000
per day for each violation. The Clean Water 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 implement-
ing any of such sections in a permit issued under
section 402 of the Act, or any requirement im-
posed in a pretreatment program approved under
section 402(aX3) or 402(1>X8) of the Act, is sub-
ject to criminal penalties of $2,500 to $25,000 per
day of violation, or imprisonment of not more than
1 year, or both. In the case of a second or subse-
quent conviction for a negligent violation, a person
shall be subject to criminal penalties of not more
than $50,000 per day of violation, or by imprison-
ment of not more than 2 years, or both. Any per-
son 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 violation,
or imprisonment for not more than 3 years, or
both. In the case of a second or subsequent con-
viction 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
knowingly violates section 301, 302, 303, 306,
307, 308, 318 or 405 of the Act or any permit
condition or limitation implementing any of such
sections in a permit issued under section 402 of
the Act, and who knows at that time that he there-
by places another person in imminent danger of
death or serious bodily injury, shall, upon convic-
tion, be subject to a fine of not more than
$250,000 or imprisonment of not more than 15
years, or both. In the case of a second or subse-
quent conviction for a knowing endangerment vio-
lation, a person shall be subject to a fine of not
more than $500,000 or by imprisonment of not
more than 30 years, or both. An organization, as
defined in section 309(cX3XBXi") of the CWA,
shall, upon conviction of violating the imminent
danger provision, be subject to a fine of not more
39
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§ 122.43
§122.42 Additional conditions appli-
cable to specified categories of
NPDES permits (applicable to State
NPDES programs, see § 123.25).
The following conditions, in addition to those
set forth in § 122.41. apply to all NPDES permits
within the categories specified below:
(a) Existing manufacturing, commercial, mining.
and siMcultural dischargers. In addition to the re-
potting requirements under §122.41(1), all exist-
ing. manufacturing, commercial, mining, and sil-
vicultural dischargers must notify the Director as
soon as they know or have reason to believe:
(1) Thai 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 discharge will ex-
ceed the highest of-the following "notification
levels":
(i) One hundred micrograms per liter (100 jig/
i);
(ii) Two hundred micrograms per liter (200 Hg/
1) for acrolein and acrylonitrile; five hundred
micrograms per liter (500 Hg/1) for 2,4-
dinitrophenol and for 2-methyl-4,6-dinitrophenol;
and one milligram per liter (1 mg/1) for antimony;
(iii) Five (5) times the maximum concentration
value reported for that pollutant in the permit ap-
plication in accordance with § 122.21(gX7); or
(iv) The level established by the Director in ac-
cordance with § 122.44(f).
(2) That any activity has occurred or will occur
which would result in any discharge, on a non-
routine or infrequent basis, of a toxic pollutant
which is not limited in the permit, if that discharge
will exceed the highest of the following "notifica-
tion levels":
(i) Five hundred micrograms per liter (SOO (4.g/
i);
(ii) One milligram per liter (1 mg/1) for anti-
mony,
(iii) Ten (10) times the maximum concentration
value reported for that pollutant in the permit ap-
plication in accordance with § 122.2 l(gX7)-
(iv) The level established by the Director in ac-
cordance with § 122.44(0.
(b) Publicly owned treatment works. All
POTWs must provide adequate notice to the Di-
rector of the following:
(I) Any new introduction of pollutants into the
POTW from an indirect discharger which would
be subject to section 301 or 306 of CWA if it
were directly discharging those pollutants; and
(2) Any substantial change in the volume 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 no-
tice shall include information on (i) the quality
and quantity of effluent introduced into the
POTW, and (ii) any anticipated impact of the
change on the quantity or quality of effluent to be
discharged from the POTW.
(c) Municipal separate storm sewer systems.
The operator of a large or medium municipal sep-
arate storm sewer system or a municipal separate
storm sewer that has been designated by the Di-
rector under, § 122.26(aXlXv) °f this P81* 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 management program that are
established as permit conditions;
(2) Proposed changes to the storm water man-
agement programs that are established as permit
condition. Such proposed changes shall be consist-
ent with § 122.26(dX2)(iii) of this part; and
(3) Revisions, if necessary, to the assessment of
controls and the fiscal analysis reported in the per-
mit application under § 122.26(dX2X'v) and
(dX2Xv) of this part;
(4) A summary of data, including monitoring
data, that is accumulated throughout the reporting
year,
(5) Annual expenditures and budget for year
following each annual report;
(6) A summary describing the number and na-
ture of enforcement actions, inspections, and pub-
lic education programs;
(7) Identification of water quality improvements
or degradation;
(d) Storm water discharges. The initial permits
for discharges composed entirely of storm water
issued pursuant to § 122.26(eX7) of this part shall
require compliance with the conditions of the per-
mit as expeditiously as practicable, but in no event
later than three years after the date of issuance of
the permit.
[48 FR 14153. Apr. 1, 1983. u amended at 49 FR 38049.
Sept 26. 1984; 50 FR 4514. Jan. 31. 1985; 55 FR 48073.
Nov. 16, 1990; 57 FR 60448, Dec. 18, 1992]
§ 122.43 Establishing permit conditions
(applicable to State programs, see
§1^3.25).
(a) In addition to conditions required in all per-
mits (§§ 122.41 and 122.42), the Director shall es-
tablish conditions, as required on a case-by-case
basis, to provide for and assure compliance with
all applicable requirements of CWA and regula-
tions. These shall include conditions under
§§ 122.46 (duration of permits), 122.47(a) (sched-
ules of compliance), 122.48 (monitoring), and for
EPA permits only 122.47(b) (alternates schedule
of compliance) and 122.49 (considerations under
Federal law).
43
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§122.44
0>X1) For a State issued permit, an applicable
requirement is a State statutory or regulatory re-
quirement which takes effect prior to final admin-
istrative disposition of a permit. For a permit is-
sued by EPA. an applicable requirement is a statu-
tory or regulatory requirement (including any in-
terim final regulation) which takes effect prior to
the issuance of the permit (except as provided in
§124.86(c) for NPDES permits being processed
under subpart E or F of part 124). Section 124.14
(reopening of comment period) provides a means
for reopening EPA permit proceedings at the dis-
cretion of the Director where new requirements
become effective during the permitting process
and are of sufficient magnitude to make additonal
proceedings desirable. For State and EPA adminis-
tered programs, an applicable requirement is also
any requirement which takes effect prior to the
modification or revocation and reissuance of a per-
mit, to the extent allowed in § 122.62.
(2) New or reissued permits, and to the extent
allowed under § 122.62 modified or revoked and
reissued permits, shall incorporate each of the ap-
plicable requirements referenced in §§ 122.44 and
122.45.
(c) Incorporation. All permit conditions shall be
incorporated either expressly or by reference. If in-
corporated by reference, a specific citation to the
applicable regulations or requirements must be
given in the permit.
§ 122.44 Establishing limitations,
standards, and other permit condi-
tions (applicable to State NPDES
programs, see § 123.25).
In addition to the conditions established under
§ 122.43(a), each NPDES permit shall include con-
ditions meeting the following requirements when
applicable.
(a) Technology-based effluent limitations and
standards based on effluent limitations and stand-
ards promulgated under section 301 of CWA or
new source performance- standards promulgated
under section 306 of CWA, on case-by-case efflu-
ent limitations determined under section 402(aXl)
of CWA, or on a combination of the two, in ac-
cordance with § 125.3. For new sources or new
dischargers, these technology based limitations and
standards are subject to the provisions of
§ 122.29(d) (protection period).
(bXl) Other effluent limitations and standards
under sections 301, 302, 303, 307, 318 and 405 of
CWA. If any applicable toxic effluent standard or
prohibition (including any schedule of compliance
specified in such effluent standard or prohibition)
is promulgated under section 307(a) of CWA for
a toxic pollutant and that standard or prohibition
is more stringent than any limitation on the pollut-
ant in the permit, the Director shall institute pro-
ceedings under these regulations to modify or re-
voke and reissue the permit to conform to the
toxic effluent standard or prohibition. See also
§ 122.41(a).
(2) Standards far sewage sludge use or disposal
under section 405(d) of the CWA unless those
standards have been included in a permit issued
under the appropriate provisions of subtitle C of
the Solid Waste Disposal Act, Part C of Safe
Drinking Water Act, the Marine Protection, Re-
search, and Sanctuaries Act of 1972, or the Clean
Air Act, or under State permit programs approved
by the Administrator. When there are no applica-
ble 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 practice in the
permit, the Director may initiate proceedings under
these regulations to modify or revoke and reissue
the permit to conform to the standard for sewage
sludge use or disposal.
(c) Keopener clause: for any discharger within
a primary industry category (see appendix A), re-
quirements under section 307(aX2) of CWA as
follows:
(1) On or before June 30, 1981: (i) If applicable
standards or limitations have not yet been promul-
gated, the permit shall include a condition stating
that, if an applicable standard or limitation is pro-
mulgated under sections 301(bX2) (C) and (D),
304(bX2), and 307(aX2) and that effluent standard
or limitation is more stringent than any effluent
limitation in the permit or controls a pollutant not
limited in the permit, the permit shall be promptly
modified or revoked and reissued to conform to
that effluent standard or limitation.
(ii) If applicable standards or limitations have
been promulgated or approved, the permit shall in-
clude those standards or limitations. (If EPA ap-
proves existing effluent limitations or decides not
to develop new effluent limitations, it will publish
a notice in the FEDERAL REGISTER that the limita-
tions are "approved" for the purpose of this regu-
lation.)
(2) On or after the statutory deadline set forth
in section 301(bX2) (AX (C), and (E) of CWA,
any permit issued shall include effluent limitations
to meet the requirements of section 301(b)(2) (A),
(CX (D). (EX (FX whether or not applicable efflu-
ent limitations guidelines have been promulgated
or approved. These permits need not incorporate
the clause required by paragraph (c)(l) of this sec-
tion.
44
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§122.44
(3) The Director shall promptly modify or re-
voke and reissue any permit containing the clause
required under paragraph (cXl) of this section to
incorporate an applicable effluent standard or limi-
tation under sections 301(bX2) (C) and (D),
304(bX2) and 307(aX2) which is promulgated or
approved after the permit is issued if that effluent
standard or limitation is more stringent than any
effluent limitation in the permit, or controls a pol-
lutant not limited in the permit.
(4) For any permit issued to a treatment works
treating domestic sewage (including "sludge-only
facilities"), the Director shall include a rcopencr
clause to incorporate any applicable standard for
sewage sludge use or disposal promulgated under
section 405(d) of the. CWA The Director may
promptly modify or revoke and reissue any permit
containing the reopener clause required by this
paragraph if the standard for sewage sludge use or
disposal is more stringent than any requirements
for sludge use or disposal in the permit, or con-
trols a pollutant or practice not limited in the per-
mit
(d) Water quality standards and State require-
ments: any requirements in addition to or more
stringent than promulgated effluent limitations
guidelines or standards under sections 301, 304,
306, 307, 318 and 405 of CWA necessary to:
(1) Achieve water quality standards established
under section 303 of the CWA, including State
narrative criteria for water quality.
(i) Limitations must control all pollutants or
pollutant parameters (either conventional,
nonconventional, or toxic pollutants) which the Di-
rector determines are or may be discharged at a
level which will cause, have the reasonable poten-
tial to cause, or contribute to an excursion above
any State water quality standard, including State
narrative criteria for water quality.
(ii) When determining whether a discharge
causes, has the reasonable potential to cause, or
contributes to an in-stream excursion above a nar-
rative or numeric criteria within a State water
quality standard, the permitting authority shall use
procedures which account for existing controls on
point and nonpoint sources of pollution, the varia-
bility of the pollutant or pollutant parameter in the
effluent, the sensitivity of the species to toxicity
testing (when evaluating whole effluent toxicity),
and where appropriate, the dilution of the effluent
in the receiving water.
(iii) When the permitting authority determines,
using the procedures in paragraph (dXlX'O of this
section, that a discharge causes, has the reasonable
potential to cause, or contributes to an in-stream
excursion above the allowable ambient concentra-
tion of a State numeric criteria within a State
water quality standard for an individual pollutant.
the permit must contain effluent limits for that
pollutant
(iv) When the permitting authority determines,
using the procedures in paragraph (dXlX'O of this
section, that a discharge causes, has the reasonable
potential to cause, or contributes to an in-stream
excursion above the numeric criterion for whole
effluent toxicity, the permit must contain effluent
limits for whole effluent toxicity.
(v) Except as provided in this subparagraph,
when the permitting authority determines, using
the procedures in paragraph (dXlX'O of this sec-
tion, toxicity testing data, or other information,
that a discharge causes, has the reasonable poten-
tial to cause, or contributes to an in-stream excur-
sion above a narrative criterion within an applica-
ble State water quality standard, the permit must
contain effluent limits for whole effluent toxicity.
Limits on whole effluent toxicity are not necessary
where the permitting authority demonstrates in the
fact sheet or statement of basis of the NPDES per-
mit using the procedures in paragraph (dXlX'i) of
this section, that chemical-specific limits for the
effluent are sufficient to attain and maintain appli-
cable numeric and narrative State water quality
standards.
(vi) Where a State has not established a water
quality criterion for a specific chemical pollutant
that is present in an effluent at a concentration that
causes, has the reasonable potential to cause, or
contributes to an excursion above a narrative cri-
terion within an applicable State water quality
standard, the permitting authority must establish
effluent limits using one or more of the following
options:
(A) Establish effluent limits using a calculated
numeric water quality criterion for the pollutant
which the permitting authority demonstrates will
attain and maintain applicable narrative water
quality criteria and will fully protect the des-
ignated use. Such a criterion may be derived using
a proposed State criterion, or an explicit State pol-
icy or regulation interpreting its narrative water
quality criterion, supplemented with other relevant
information which may include: EPA's Water
Quality Standards Handbook, October 1983, risk
assessment data, exposure data, information about
the pollutant from the Food and Drug Administra-
tion, and current EPA criteria documents; or
(B) Establish effluent limits on a case-by-case
basis, using EPA's water quality criteria, published
under section 304{a) of the CWA, supplemented
where necessary by other relevant information; or
(C) Establish effluent limitations on an indicator
parameter for the pollutant of concern, provided:
(J) The permit identifies which pollutants are
intended to be controlled by the use of the effluent
limitation;
45
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§122.44
(2) The fact sheet required by §124.56 sets
forth the basis for the limit, including a finding
that compliance with the effluent limit on the indi-
cator parameter will result in controls on the pol-
lutant of concern which are sufficient 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 permit the limit on the indicator parameter
continues to attain and maintain applicable water
quality standards; and
(4) The permit contains a reopener clause allow-
ing the permitting authority to modify or revoke
and reissue the permit if the limits on the indicator
parameter no longer attain and maintain applicable
water quality standards.
(vii) When developing water quality-based ef-
fluent limits under this paragraph the permitting
authority shall ensure that:
(A) The level of water quality to be achieved by
limits on point sources established under this para-
graph is derived from, and complies with all appli-
cable water quality standards; and
(B) Effluent limits developed to protect a nar-
rative water quality criterion, a numeric water
quality criterion, 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 estab-
lished under section 302 of CWA;
(3) Conform to the conditions to a State certifi-
cation under section 401 of the CWA that meets
the requirements of § 124.53 when EPA is the per-
mitting authority. If a State certification is stayed
by a court of competent jurisdiction or an appro-
priate State board or agency, EPA shall notify the
State that the Agency will deem certification
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 ef-
fective certification within the sixty day period,
EPA shall include conditions in the permit that
may be necessary to meet EPA's obligation under
section 301(bXl)(C) of the CWA;
(4) Conform to applicable water quality require-
ments under section 401(aX2) of CWA when the
discharge affects a State other than the certifying
State;
(5) Incorporate any more stringent limitations,
treatment standards, or schedule of compliance re-
quirements established under Federal or State law
or regulations in accordance with section
301(bXlXC)ofCWA;
(6) Ensure consistency with the requirements of
a Water Quality Management plan approved by
EPA under section 208(b) of CWA;
(7) Incorporate section 403(0 criteria under part
125, subpart M, for ocean discharges;
(8) Incorporate alternative effluent limitations or
standards where warranted by "fundamentally dif-
ferent factors," under 40 CFR part 125, subpart
D;
(9) Incorporate any other appropriate require-
ments, conditions, or limitations (other than efflu-
ent limitations) into a new source permit to the ex-
tent allowed by the National Environmental Policy
Act, 42 U.S.C. 4321 el leq. and section 511 of the
CWA, when EPA is the permit issuing authority.
(See § 122.29(c)).
(e) Technology-bated controls for toxic pollut-
ants. Limitations established under paragraphs (a%
(b), or (d) of this section, to control pollutants
meeting the criteria listed in paragraph (eXl) of
this section. Limitations will be established in ac-
cordance with paragraph (eX2) of this section. An
explanation of the development of these limita-
tions shall be included in the fact sheet under
§J24.56(b)(lX>).
(1) Limitations must control all toxic pollutants
which the Director determines (based on informa-
tion reported in a permit application under
§ 122.2 l(gX7) or (10) or in a notification under
§ 122.42(aXl) or on other information) are or may
be discharged at a level greater than the level
which can be achieved by the technology-based
treatment requirements appropriate to the permittee
under § 125.3(c); or
(2) The requirement that the limitations control
the pollutants meeting the criteria of paragraph
(eXl) of this section will be satisfied by:
(i) Limitations on those pollutants; or
(ii) Limitations on other pollutants which, in the
judgment of the Director, will provide treatment of
the pollutants under paragraph (eXl) of this sec-
tion to the levels required by § 125.3(c).
(f) Notification level A "notification level"
which exceeds the notification level of
§ 122.42(aXlX"X (ii) or (iii), upon a petition from
the permittee or on the Director's initiative. This
new notification level may not exceed the level
which can be achieved by the technology-based
treatment requirements appropriate to the permittee
under § 125.3(c)
(g) Twenty-four hour reporting. Pollutants for
which the permittee must report violations of max-
imum daily discharge limitations under
§ 122.41(1X6)("XC) (24-hour reporting) shall be
listed in the permit. This list shall include any
toxic pollutant or hazardous substance, or any pol-
lutant specifically identified as the method to con-
trol a toxic pollutant or hazardous substance.
(h) Durations for permits, as set forth in
§ 122.46.
(i) Monitoring requirements. In addition to
§ 122.48, the following monitoring requirements:
46
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§ 122.44
(1) To assure compliance with permit limita-
tions, requirements to monitor
(i) The mass (or other measurement specified in
the permit) for each pollutant limited in the per-
mit;
(ii) The volume of effluent discharged from
each outfall;
(iii) Other measurements as appropriate includ-
ing pollutants in internal waste streams under
§ 122.45(i); pollutants in intake water for net limi-
tations under § 122.45(0; frequency, rate of dis-
charge, etc., for noncontinuous discharges under
§122.45(c); pollutants subject to notification re-
quirements under § 122.42(a); and pollutants in
sewage sludge or other monitoring as specified in
40 CFR part 503; or as determined to be necessary
on a case-by-case basis pursuant to section
405(dX4) of the CWA.
(iv) According to test procedures approved
under 40 CFR part 136 for the analyses of pollut-
ants having approved methods under that part, and
according to a test procedure specified in the per-
mit for pollutants with no approved methods.
(2) Except as provided in paragraphs (iX4) and
0X5) of this section, requirements to report mon-
itoring results shall be established on a case-by-
case basis with a frequency dependent on the na-
ture and effect of the discharge, but in no case less
than once a year. For sewage sludge use or dis-
posal practices, requirements to monitor and report
results shall be established on a case-by-case basis
with a frequency dependent on the nature and ef-
fect of the sewage sludge use or disposal practice;
minimally this shall be as specified in 40 CFR
part 503 (where applicable), but in no case less
than once a year.
(3) Requirements to report monitoring results
for storm water discharges associated with indus-
trial activity which are subject to an effluent limi-
tation guideline shall be established on a case-by-
case basis with a frequency dependent on the na-
ture and effect of the discharge, but in no case less
than once a year.
(4) Requirements to report monitoring results
for storm water discharges associated with indus-
trial activity (other than those addressed in para-
graph 0X3) of this section) shall be established on
a case-by-case basis with a frequency dependent
on the nature and effect of the discharge. At a
minimum, a permit for such a discharge must re-
quire:
(i) The discharger to conduct an annual inspec-
tion of the facility site to identify areas contribut-
ing to a storm water discharge associated with in-
dustrial activity and evaluate whether measures to
reduce pollutant loadings identified in a storm
water pollution prevention plan are adequate and
properly implemented in accordance with the
terms of the permit or whether additional control
measures are needed;
(ii) The discharger to maintain for a period of
three years a record summarizing the results of the
inspection and a certification that the facility is in
compliance with the plan and the permit, and iden-
tifying any incidents of non-compliance;
(iii) Such report and certification be signed in
accordance with § 122.22; and
(iv) Permits for storm water discharges associ-
ated with industrial activity from inactive mining
operations may, where annual inspections are im-
practicable, require certification once every three
years by a Registered Professional 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
noncompliance not reported under § 122.41(1) (1),
(4), (5), and (6) at least annually.
0) Presentment program for POTWi. Require-
ments for POTWs to:
(1) Identify, in terms of character and volume of
pollutants, any significant indirect dischargers into
the POTW subject to pretreatment standards under
section 307(b) of CWA and 40 CFR part 403.
(2) Submit a local program when required by
and in accordance with 40 CFR part 403 to assure
compliance with pretreatment standards to the ex-
tent applicable under section 307(b). The local
program shall be incorporated into the permit as
described in 40 CFR part 403. The program shall
require all indirect dischargers to the POTW to
comply with the reporting requirements of 40 CFR
part 403.
(3) For POTWs which are "sludge-only facili-
ties," a requirement to develop a pretreatment pro-
gram under 40 CFR part 403 when the Director
determines that a pretreatment program is nec-
essary to assure compliance with Section 405(d) of
the CWA.
(k) Best management practices to control or
abate the discharge of pollutants'when:
(1) Authorized under section 304(e) of CWA
for the control of toxic pollutants and hazardous
substances from ancillary industrial activities;
(2) Numeric effluent limitations are infeasible,
or
(3) The practices are reasonably necessary to
achieve effluent limitations and standards or to
carry out the purposes and intent of CWA.
(1) Reissued permits. (1) Except as provided in
paragraph (1X2) 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 previous permit (unless the cir-
cumstances on which the previous permit was.
47
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§122.45
based have materially and substantially changed
since the time the permit was issued and would
coostitute cause for permit modification or revoca-
tion and retssuance under § 122.62.)
(2) In the case of effluent limitations established
on the basis of Section 402(aXl)(B) of the CWA,
a permit may not be renewed, reissued, or modi-
fled on the basis of effluent guidelines promul-
gated under section 304{b) subsequent to the origi-
nal issuance of-such permit, to contain effluent
limitations which are less stringent than the com-
parable effluent limitations in the previous permit
(i) ExceptionsA permit with respect to which
paragraph (1X2) of this section applies may be re-
newed, reissued, or modified to contain a less
stringent effluent limitation applicable to a pollut-
ant, if
(A) Material and substantial alterations or addi-
tions to the permitted facility occurred after permit
issuance which justify the application of a less
stringent effluent limitation;
(BX/) Information is available which was not
available at the time of permit issuance (other than
revised regulations, guidance, or test methods) and
which would have justified the application of a
less stringent effluent limitation at the time of per-
mit issuance; or
(2) The Administrator determines that technical
mistakes or mistaken interpretations of law were
made in issuing the permit under section
402(aXl)(b);
(C) A less stringent effluent limitation is nec-
essary because of event* over which the permittee
has no control and for which there is no reason-
ably available remedy,
(D) The permittee has received a permit modi-
fication under section 301(c), 301(g), 301(h),
301(i), 301(k), 301(n), or 316(a); or
(£) The permittee has installed the treatment fa-
cilities required to meet the effluent limitations in
the previous permit and has properly operated and
maintained the facilities but has nevertheless been
unable to achieve the previous effluent limitations,
in which case the limitations in the reviewed, re-
issued, or modified permit may reflect the level of
pollutant control actually achieved (but shall not
be less stringent than required by effluent guide-
lines in effect at the time of permit renewal,
reissuance, or modification).
(ii) Limitation). In no event may a permit with
respect to which paragraph (1X2) of this section
applies be renewed, reissued, or modified to con-
tain an effluent limitation which ii less stringent
than required by effluent guidelines in effect at the
time the permit is renewed, reissued, or modified.
In no event may such a permit to discharge into
waters be renewed, issued, or modified to contain
a less stringent effluent limitation if the implemen-
tation of such limitation would result in a violation
of a water quality standard under section 303 ap-
plicable to such waters.
(m) Privately owned treatment works. For a pri-
vately owned treatment works, any conditions ex-
pressly applicable to any user, as a limited co-per-
mittee, that may be necessary in the permit issued
to the treatment works to ensure compliance with
applicable requirements under this part Alter-
natively, the Director may issue separate permits
to the treatment works and to its users, or may re-
quire a separate permit application from any user.
The Director's decision to issue a permit with no
conditions applicable to any user, to impose condi-
tions on one or more users, to issue separate per-
mits, or to require separate applications, 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 sec-
tions 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 sewage
sludge from publicly owned treatment works or
any other treatment works treating domestic sew-
age for any use for which regulations have been
established, in accordance with any applicable reg-
ulations.
(p) Coast Guard. When a permit is issued to a
facility that may operate at certain times as a
means of transportation over water, a condition
that the discharge shall comply with any applica-
ble regulations promulgated by the Secretary of
the department in which the Coast Guard is oper-
ating, that establish specifications for safe trans-
portation, handling, carriage, and storage of pollut-
ants.
(q) Navigation. Any conditions that the Sec-
retary of the Army considers necessary to ensure
that navigation and anchorage will not be substan-
tially impaired, in accordance with § 124.58.
(r) Great Lakes. When a permit is issued to a
facility that discharges into the Great Lakes Sys-
tem (as defined in 40 CFR 132.2), conditions pro-
mulgated by the State, Tribe, or EPA pursuant to
40 CFR part 132.
[48 FR 14153. Apr. 1. 1983. as intended at 49 FR 31842.
Aug. 8, 1984; 49 FR 38049, Sept. 26, 1984; 50 FR 6940,
Feb. 19. 1985; 50 FR 7912. Feb. 27. 1985; 54 FR 256,
Jan. 4. 1989. 54 FR 18783. May 2. 1989; 54 FR 23895.
June 2. 1989; 57 FR 11413. Apr. 2. 1992; 57 FR 33049.
July 24, 1992; 60 FR 15386. Mar. 23.. 1995]
§122.45 Calculating NPDES permit
conditions (applicable to State
NPDES programs, see § 123.25).
(a) Outfalls and discharge points. All permit ef-
fluent limitations, standards and prohibitions shall
48
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§ 122.45
be established for each outfall or discharge point
of the permitted facility, except as otherwise pro-
vided under § 122.44(k) (BMPs where limitations
are infeasible) and paragraph (i) of this section
(limitations on internal waste streams).
(b) Production-based limitations. (1) In the case
of POTWs, permit effluent limitations, standards,
or prohibitions shall be calculated based on design
flow.
(2X0 Except in the case of POTWs or as pro-
vided in paragraph (bX2X") of this section, cal-
culation of any permit limitations, standards, or
prohibitions which are based on production (or
other measure of operation) shall be based not
upon the designed production capacity but rather
upon a reasonable measure of actual production of
the facility. For new sources or new dischargers,
actual production shall be estimated using pro-
jected production. The time period of the measure
of production shall correspond to the time period
of the calculated permit limitations; for example,
monthly production shall be used to calculate av-
erage monthly discharge limitations.
(iiXAX-0 The Director may include a condition
establishing alternate permit limitations, standards,
or prohibitions based upon anticipated increased
(not to exceed maximum production capability) or
decreased production levels.
(2) For the automotive manufacturing industry
only, the Regional Administrator shall, and the
State Director may establish a condition under
paragraph (bX2X"XAX-0 of this section if the ap-
plicant satisfactorily demonstrates to the Director
at the time the application is submitted that its ac-
tual production, as indicated in paragraph (bX2X>)
of this section, is substantially below maximum
production capability and that there is a reasonable
potential for an increase above actual production
during the duration of the permit
(B) If the Director establishes permit conditions
under paragraph (bX2X»XA) of this section:
(7) The permit shall require the permittee to no-
tify the Director at least two business days prior
to a month in which the permittee expects to oper-
ate at a level higher than the lowest production
level identified in the permit. The notice shall
specify the anticipated level and the period during
which the permittee expects to operate at the alter-
nate 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 required 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 production level at
the permitted facility does not in fact meet the
higher level designated in the notice.
(2) The permittee shall comply with the limita-
tions, standards, or prohibitions that correspond to
the lowest level of production specified in the per-
mit, unless the permittee has notified the Director
under paragraph (bX2X'iXBX-0 of this section, in
which case the permittee shall comply with the
lower of the actual level of production during each
month or the level specified in the notice.
(3) The 'permittee shall submit with the DMR
the level of production that actually occurred dur-
ing each month and the limitations, standards, or
prohibitions applicable to that level of production.
(c) Metals. All permit effluent limitations,
standards, or prohibitions for a metal shall be ex-
pressed in terms of "total recoverable metal" as
defined in 40 CFR part 136 unless:
(1) An applicable effluent standard or limitation
has been promulgated under the CWA and speci-
fies the limitation for the metal in the dissolved or
valent or total form; or
(2) In establishing permit limitations on a case-
by-case basis under § 12S.3, it is necessary to ex-
press the limitation on the metal in the dissolved
or valent or total form to carry out the provisions
of the CWA; or
(3) All approved analytical methods for the
metal inherently measure only its dissolved form
(e.g.. hexavalent chromium).
(d) Continuous discharges. For continuous dis-
charges all permit effluent limitations, standards,
and prohibitions, including those necessary to
achieve water quality standards, shall unless im-
practicable be stated as:
(1) Maximum daily and average monthly, dis-
charge limitations for all dischargers other than
publicly owned treatment works; and
(2) Average weekly and average monthly dis-
charge limitations for POTWs.
(e) Non-continuous discharges. Discharges
which are not continuous, as defined in § 122.2,
shall be particularly described and limited, consid-
ering 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 discharge);
(3) Maximum rale of discharge of pollutants
during the discharge (for example, not to exceed
2 kilograms of zinc per minute); and
(4) Prohibition or limitation of specified pollut-
ants by mass, concentration, or other appropriate
measure (for example, shall not contain at any
time more than 0.1 mg/1 zinc or more than 2SO
grams ('A kilogram) of zinc in any discharge).
(f)Mass limitations. (1) All pollutants limited in
permits shall have limitations, standards or prohi-
bitions expressed in terms of mass except:
(i) For pH, temperature, radiation, or other pol-
lutants which cannot appropriately be expressed by
mass;
49
-------
§122.46
(ii) When applicable standards and limitations
are expressed in terms of other units of measure-
ment; or
(iii) If in establishing permit limitations on a
case-by-case basis under §1253, limitations ex-
pressed 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 certain mining operations), and per-
mit conditions ensure that dilution will not be used
as a substitute for treatment
'(2) Pollutants limited in terms of mass addition-
ally may be limited in terms of other units of
measurement, and the permit shall require the per-
mittee to comply with both limitations.
(g) Pollutants in intake water. (1) Upon request
of the discharger, technology-based effluent limita-
tions or standards shall be adjusted to reflect credit
for pollutants in the discharger's intake water if:
(i) The applicable effluent limitations and stand-
ards contained in 40 CFR subchapter N specifi-
cally provide that they shall be applied on a net
basis; or
(ii) The discharger demonstrates that the control
system h proposes or uses to meet applicable tech-
nology-based limitations and standards would, if
properly installed and operated, meet the limita-
tions and standards in the absence of pollutants in
the intake waters.
(2) Credit for generic pollutants such as bio-
chemical oxygen demand (BOD) or total sus-
pended solids (TSS) should not be granted unless
the permittee demonstrates that the constituents of
the generic measure in the effluent are substan-
tially similar to the constituents of the generic
measure in the intake water or unless appropriate
additional limits are placed on process water pol-
lutants either at the outfall or elsewhere.
(3) Credit shall be granted only to the extent
necessary to meet the applicable limitation or
standard, up to a maximum value equal to the in-
fluent value. Additional monitoring may be nec-
essary to determine eligibility for credits and com-
pliance with permit limits.
(4) Credit shall be granted only if the discharger
demonstrates that the intake 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 environmental degradation will
result
(5) This section does not apply to the discharge
of raw water clarifler sludge generated from the
treatment of intake water.
(h) Internal waste streams. (1) When permit ef-
fluent limitations or standards imposed at the point
of discharge are impractical or infeasible, effluent
limitations or standards for discharges of pollut-
ants may be imposed on internal waste streams be-
fore mixing with other waste streams or cooling
water streams. In those instances, the monitoring
required by § 122.44(i) shall also be applied to the
internal waste streams.
(2) Limits on internal waste streams will be im-
posed only when the fact sheet under § 124.56 sets
forth the exceptional circumstances which make
such limitations necessary, such as when the final
discharge point is inaccessible (for example, under
10 meters of water), the wastes at the point of dis-
charge are to diluted as to make monitoring im-
practicable, or the interferences among pollutants
at the point of discharge would make detection or
analysis impracticable.
(i) Disposal of pollutants into wells, into
POTWi or by land application. Permit limitations
and standards shall be calculated as provided in
§ 122.50.
[4S FR 14153. Apr. 1. 1983, as amended »t 49 FR 38049,
Sept 26. 1984; 50 FR 4514, Ian. 31. 1985; 54 FR 258.
Jan. 4. 1989. 54 FR 18784. May 2. 1989]
§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 be-
yond the maximum duration specified in this sec-
tion.
(c) The Director may issue any permit for a du-
ration 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 301(bX2)
(AX (C), and (E), if the permit includes effluent
limitations to meet the requirements of section
301(bX2) (A), (C), (D), (E) and (F), whether or
not applicable effluent limitations guidelines have
been promulgated or approved.
(e) A determination that a particular discharger
falls within a given industrial category for pur-
poses of setting a permit expiration date under
paragraph (d) of this section is not conclusive as
to the discharger's inclusion in that industrial cat-
egory for any other purposes, and does not preju-
dice any rights to challenge or change that inclu-
sion at the time that a permit based on that deter-
mination is formulated.
[48 FR 14153. Apr. 1. 1983. as amended at 49 FR 31842.
Aug. 8. 1984; 50 FR 6940. Feb. 19. 1985; 60 FR 33931.
June 29. 1995]
§ 122.47 Schedules of compliance.
(a) General (applicable to State programs, see
§123.25). The permit may, when appropriate,
specify a schedule of compliance leading to com-
pliance with CWA and regulations.
(1) Time for compliance. Any schedules of com-
pliance under this section shall require compliance
50
-------
§122.62
to the total wastestream, N is the wastewater flow
to be treated and discharged to waters of the Unit-
ed States, and T is the total wastewater flow.
(b) Paragraph (a) of this section does not apply
to the extent that promulgated effluent limitations
guidelines:
(1) Control concentrations of pollutants dis-
charged but not mass; or
(2) Specify a different specific technique for ad-
justing effluent limitations to account for well in-
jection, land application, or disposal into POTWs.
(c) Paragraph (a) of this section does not alter
a discharger's obligation to meet any more strin-
gent requirements established under §§122.41,
122.42, 122.43, and 122.44.
[48 FR 14153. Apr. 1. 1983, as amended at 49 FR 38050.
Sept 26. 1984]
Subpart DTransfer, Modification,
Revocation and Reissuance,
and Termination of Permits
§122.61 Transfer of permits (applica-
ble to State programs, see § 123.25).
(a) Transfers by modification. Except as pro-
vided in paragraph (b) of this section, a permit
may be transferred by the permittee to a new
owner or operator only if the permit has been
modified or revoked and reissued (under
§ 122.62(bX2)X or a minor modification made
(under §122.63(d)X to identify the new permittee
and incorporate such other requirements as may be
necessary under CWA.
(b) Automatic transfers. As an alternative to
transfers under paragraph (a) of this section, any
NPDES 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 be-
tween the existing and new permittees containing
a specific date for transfer of permit responsibility,
coverage, and liability between them; and
(3) The Director does not notify the existing
permittee and the proposed new permittee of his
or her intent to modify or revoke and reissue the
permit A modification under this subparagraph
may also be a minor modification under § 122.63.
If this notice is not received, the transfer is effec-
tive on the date specified in the agreement men-
tioned in paragraph (bX2) of this section.
§122.62 Modification or revocation
and reissuance of permits (applica-
ble to State programs, see § 123.25).
When the Director receives any information (for
example, inspects the facility, receives information
submitted by the permittee as required in the per-
mit (see § 122.41), receives a request for modifica-
tion or revocation and reissuance under § 124.5, 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 sec-
tion for modification or revocation and reissuance
or both exist If cause exists, the Director may
modify or revoke and reissue the permit accord-
ingly, subject to the limitations of § 124.5(c), and
may request an updated application if necessary.
When a permit is modified, only the conditions
subject to modification are reopened. If a permit
is revoked and reissued, the entire permit is re-
opened and subject to revision and the permit is
reissued for a new term. See §124.5(cX2). If
cause does not exist under this section or § 122.63,
the Director shall not modify or revoke and re-
issue the permit. If a permit modification satisfies
the criteria in § 122.63 for "minor modifications"
the permit may be modified without a draft permit
or public review. Otherwise, a draft permit must
be prepared and other procedures in part 124 (or
procedures of an approved State program) fol-
lowed.
(a) Causes for modification. The following are
causes for modification but not revocation and
reissuance of permits except when the permittee
requests or agrees.
(1) Alterations. There are material and substan-
tial alterations or additions to the permitted facility
or activity (including a change or changes in the
permittee's sludge use or disposal practice) which
occurred after permit issuance which justify the
application of permit conditions that are different
or absent in the existing permit
NOTE: Certain reconstruction activities may cause the
new source provisions of § 122.29 to be applicable.
(2) Information. The Director has received 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 regulations, guidance, or test meth-
ods) and would have justified the application of
different permit conditions at the time of issuance.
For NPDES general permits (§ 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
significant information derived from effluent test-
ing required under § 122.21(kXSXvi) or
§ 122.21(hX4)(iii) after issuance of the permit
(3) New regulations. The standards or regula-
tions on which the permit was based have been
changed by promulgation of amended standards or
regulations or by judicial decision after the permit
was issued. Permits may be modified during their
terms for this cause only as follows:
53
-------
§122.62
(i) For promulgation of emended itandards or
regulations, when:
(A) The permit condition requested to be modi-
fied was based on a promulgated effluent limita-
tion guideline, EPA approved or promulgated
water quality standards, or the Secondary Treat-
ment Regulations under part 133; and
(B) EPA has revised, withdrawn, or modified
that portion of the regulation or effluent limitation
guideline on which the permit condition was
based, or has approved a State action with regard
to a water quality standard on which the permit
condition was based; and
. (C) A permittee requests modification in accord-
ance with §124.5 within ninety (90) days after
FEDERAL REGISTER notice of the action on which
the request is based.
(ii) For judicial decisions, a court of competent
jurisdiction has remanded and stayed EPA promul-
gated regulations or effluent limitation guidelines,
if the remand and stay concern that portion of the
regulations or guidelines on which the permit con-
dition was based and a request is filed by the per-
mittee in accordance with §124.5 within ninety
(90) days of judicial remand.
(iii) For changes based upon modified State cer-
tifications of NPDES permits, see § 124.55(b).
(4) Compliance schedules. The Director deter-
mines good cause exists for modification of a
compliance schedule, such as an act of God,
strike, flood, or materials shortage or other events
over which the permittee has little or no control
and for which there is no reasonably available
remedy. However, in no case may an NPDES
compliance schedule be modified to extend be-
yond an applicable CWA statutory deadline. See
also § 122.63(c) (minor modifications) and para-
graph (aX14) of this section (NPDES innovative
technology).
(5) When the permittee has filed a request for
a variance under CWA section 30I(c), 301(g),
30100, 301(i), 301(k), or 316(a) or for "fun-
damentally different factors" within the time spec-
ified in § 122.21 or § 125.27(a).
(6) 301 (a) toxics. When required to incorporate
an applicable 307(a) toxic effluent standard or pro-
hibition (see § 122.44(b)).
(7) Reopener. When required 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).
(8X0 Net limits. Upon request of a permittee
who qualifies for effluent limitations on a net
basis under § 122.45(h).
(ii) When a discharger is no longer eligible for
net limitations, as provided in
§122.45(hXl)("XB).
(9) Pretreatment. As necessary under 40 CFR
403.8(e) (compliance schedule for development of
pretreatment program).
(10) Failure to notify. Upon failure of an ap-
proved State to notify, as required by section
4020>X3X another State whose waters may be af-
fected 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 exceeds the level which can be
achieved by the technology-based treatment re-
quirements appropriate to the permittee under
§ 125.3(c).
(12) Notification levels. To establish a "notifi-
cation level" as provided in § 122.44(f).
(13) Compliance schedules. To modify a sched-
ule of compliance to reflect the time lost during
construction of an innovative or alternative facil-
ity, in the case of a POTW which has received a
grant under section 202(aX3) of CWA for 100%
of the costs to modify or replace facilities con-
structed with a grant for innovative and alternative
wastewater technology under section 202(aX2). In
no case shall the compliance schedule be modified
to extend beyond an applicable CWA statutory
deadline for compliance.
(14) [Reserved]
(15) To correct technical mistakes, such as er-
rors in calculation, or mistaken interpretations of
law made in determining permit conditions.
(16) When the discharger has installed the treat-
ment technology considered by the permit writer
in setting effluent limitations imposed under sec-
tion 402(aXl) of the CWA and has properly oper-
ated and maintained the facilities but nevertheless
has been unable 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 stringent
than required by a subsequently promulgated efflu-
ent limitations guideline).
(17) [Reserved]
(18) Land application plans. When required by
a permit condition to incorporate a land applica-
tion plan for beneficial reuse of sewage sludge, to
revise an existing land application plan, or to add
a land application plan.
(b) Causes for modification or revocation and
reissuance. The following are causes to modify or,
alternatively, revoke and reissue a permit:
(1) Cause exists for termination under § 122.64,
and the Director determines that modification or
revocation and reissuance is appropriate.
(2) The Director has received notification (as re-
quired in the permit, see § 122.41(1X3)) of a pro-
posed transfer of the permit. A permit also may be
modified to reflect a transfer after the effective
date of an automatic transfer (§ 122.61(b)) but will
not be revoked and reissued after the effective
54
-------
Pt. 122, App. A
date of the transfer except upon the request of the
new permittee.
[48 FR 14153. Apr. 1. 1983, «J 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. Jin. 4, 1989; 54 FR 18784. May 2. 1989; 60
FR 33931, June 29.1995]
§122.63 Minor
mits. '
modifications of per-
Upon the consent of the permittee, the Director
may modify a permit to make the corrections or
allowances for changes in the permitted activity
listed in this section, without following the proce-
dures of part 124. Any permit modification not
processed as a minor modification under this sec-
tion must be made for cause and with part 124
draft permit and public notice «a required in
§ 122.62. Minor modifications may only:
(a) Correct typographical errors;
(b) Require more frequent monitoring or report-
ing by the permittee;
(c) Change an interim compliance date in a
schedule of compliance, provided the new date is
not more than 120 days after the date specified in
the existing permit and does not interfere with at-
tainment of the final compliance date requirement;
or
(d) Allow for a change in ownership or oper-
ational control of a facility where the Director de-
termines that no other change in the permit is nec-
essary, provided that a written agreement contain-
ing a specific date for transfer of permit respon-
sibility, coverage, and liability between the current
and new permittees has been submitted to the Di-
rector.
(eXO Change the construction schedule for a
discharger which is a new source. No such change
shall affect a discharger's obligation to have all
pollution control equipment installed and in oper-
ation prior to discharge under § 122.29.
(2) Delete a point source outfall when the dis-
charge from that outfall is terminated and does not
result in discharge of pollutants from other outfalls
except in accordance with permit limits.
(0 [Reserved]
(g) Incorporate conditions of a POTW
pretreatment program that has been approved in
accordance with the procedures in 40 CFR 403.11
(or a modification thereto that has been approved
in accordance with the procedures in 40 CFR
403.18) as enforceable conditions of the POTW's
permits.
[48 FR 14153. Apr. 1. 1983. as amended at 49 FR 38051.
Sept 26. 1984; 51 FR 20431. June 4, 1986; 53 FR 40616,
Oct 17. 1988; 60 FR 33931. June 29, 1995]
§122.64 Termination of permits (ap-
?licable to State programs, see
123.25).
(a) The following are causes for terminating a
permit during its term, or for denying a permit re-
newal application:
(1) Noncompliance by the permittee with any
condition of the permit;
(2) The permittee's failure in the application or
during the permit issuance process to disclose
fully all relevant facts, or the permittee's misrepre-
sentation of any relevant facts at any time;
(3) A determination that the permitted activity
endangers human health or the environment and
can only be regulated to acceptable levels by per-
mit modification or termination; or
(4) A change in any condition that requires ei-
ther a temporary or permanent reduction or elimi-
nation of any discharge or sludge use or disposal
practice controlled by the permit (for example,
plant closure or termination of discharge by con-
nection to a POTW).
(b) The Director shall follow the applicable pro-
cedures in part 124 or State procedures in termi-
nating any NPDES permit under this section.
[48 FR 14153. Apr. 1. 1983; 50 FR 6940. Feb. 19. 1985.
as amended at 54 FR 18784. May 2.-1989]
APPENDIX A TO PART 122NPDES PRIMARY
INDUSTRY CATEGORIES
Any permit issued after June 30, 1981 to dischargers
in the following categoric* shall include effluent limita-
tions and a compliance schedule to meet the requirements
of section 301(bX2XAX (CX (D), (E) and (F) of CWA.
whether or not applicable effluent limitations guidelines
have been promulgated. See §§ 122.44 and 122.46.
Industry Category
Adhesives and sealants
Aluminum forming
Auto and other laundries
Battery manufacturing
Coal mining
Coil coating
Copper forming
Electrical and electronic components
Electroplating
Explosives manufacturing
Foundries
Gum and wood chemicals
Inorganic chemicals manufacturing
Iron and steel manufacturing
Leather tanning and finishing
Mechanical products manufacturing
Nonfenous metals manufacturing
Ore mining
Organic chemicals manufacturing
Paint and ink formulation
Pesticides
Petroleum refining
Pharmaceutical preparations
Photographic equipment and supplies
55
-------
PL 122, App. B
Plastics processing
Plastic and synthetic materials manufacturing
Porcelain enameling
Printing and publishing
Pulp and paper mills
Rubber processing
Soap and detergent manufacturing
Steam electric power plants
Textile mills
Timber products processing
APPENDIX B TO PART 122CRITERIA FOR DETER-
MINING A CONCENTRATED ANIMAL FEEDING
OPERATION (§ 122.23)
An animal feeding operation is a concentrated animal
feeding operation for purposes of § 122.23 if either of the
following criteria are met
(a) More than the numbers of animals ipecified in any
of the following categories are confined:
(1) 1,000 slaughter and feeder cattle.
(2) 700 mature dairy cattle (whether milked or dry
cows),
(3) 2,500 swine each weighing over 25 kilograms (ap-
proximately 55 pounds),
(4) 500 horses.
(5) 10,000 sheep or Iambs.
(6) 55.000 turkeys.
(7) 100,000 laying hens or broilers (if the facility has
continuous overflow watering),
(8) 30,000 laying hens or broilers (if the facility has a
liquid manure systemX
(9) 5.000 ducks, or
(10) 1,000 animal units; or
(b) More than the following number and types of ani-
mals are confined:
(1) 300 slaughter or feeder cattle,
(2) 200 mature dairy cattle (whether milked or dry
cows),
(3) 750 swine each weighing over 25 kilograms (ap-
proximately 55 pounds),
(4) 150 horses.
(5) 3.000 sheep or lambs.
(6) 16.500 turkeys.
(7) 30,000 laying hens or broilers (if the facility has
continuous overflow watering).
(8) 9,000 laying hens or broilers (if the facility hu a
liquid manure handling systemX
(9) 1.500 ducks, or
(10) 300 animal units;
and either one of the following conditions are met: pollut-
ants are discharged into navigable waters through a man-
made ditch, flushing system or other similar man-made
device; or pollutants are discharged directly into waters of
the United Sutes 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.
Provided, however, that no animal feeding operation is
a concentrated animal feeding operation as defined above
if such animal feeding operation discharges only in the
event of a 25 year, 24-hour storm event
The term animal unit means a unit of measurement for
any animal feeding operation calculated by adding the fol-
lowing numbers: the number of slaughter and feeder cat-
tle multiplied by 1.0, plus the number of mature dairy cat-
tle multiplied by 1.4, plus the number of swine weighing
over 25 kilograms (approximately 55 pounds) multiplied
by 0.4, plus the number of sheep multiplied by 0.1, plus
the number of horses multiplied by 2.0.
The term manmade means constructed by man and
used for the purpose of transporting wastes.
APPENDIX C TO PART 122CRITERIA FOR DETER-
MINING A CONCENTRATED AQUATIC ANIMAL
PRODUCTION FACILITY (§ 122.24)
A hatchery, fish farm, or other facility is a concentrated
aquatic animal production facility for purposes of
§ 122.24 if it contains, grows, or holds aquatic animals in
either of the following categories:
(a) Cold water fish species or other cold water aquatic
animals in ponds, raceways, or other similar structures
which discharge at least 30 days per year but does not in-
clude:
(1) Facilities which produce less than 9,090 harvest
weight kilograms (approximately 20.000 pounds) of
aquatic animals per year, and
(2) Facilities which feed less than 2,272 kilograms (ap-
proximately 5,000 pounds) of food during the calendar
month of maximum feeding.
(b) Warm water fuh species or other warm water
aquatic animals in ponds, raceways, or other similar struc-
tures which discharge at least 30 days per year, but does
not include:
(1) Closed ponds which discharge only during periods
of excess runoff, or
(2) Facilities which produce less than 45.454 harvest
weight kilograms (approximately 100,000 pounds) of
aquatic animals per year.
"Cold water aquatic animals" include, but are not lim-
ited to, the Salmonidae family of fish; e.g., trout and
salmon.
"Warm water aquatic animals" include, but are not
limited to, the Ameiuride, Centrarchidae and Cypnnidae
families of fish; e.g., respectively, catfish, sunfish and
minnows.
APPENDIX D TO PART 122NPDES PERMIT
APPLICATION TESTING REQUIREMENTS (§ 122.21)
TABLE ITESTING REQUIREMENTS FOR ORGANIC
Toxic POLLUTANTS BY INDUSTRIAL CAT-
EGORY FOR EXISTING DISCHARGERS
Industrial category
Adheswes and
Aluminum Forming
Auto and Other Laun-
dries
Battery Manufacturing
Copper Forming
Electric and Electronic
Components
Electroplating
Explosives Manufac-
Gum and Waod
Chemicals , , ,.
GC/MS Fraction '
Volatile
3
3
Add
3
3
3
3
Base/
neutral
3
3
3
3
3
3
3
3
3
3
3
3
Pes-
ticide
i
7
3
3
56
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PL 122, App. D
Industrial category
Inorganic Chemicals
Manufacturing
lion and Steal Manu-
facturing _
Laather Tanning and
Mechanical Products
Manufacturing
Nonfenous Metals
Manufacturing
Organic Chemical*
Manufacturing
Paint and Ink Formu-
lation
Pesticides
Petroleum Refining ....
Pharmaceutical Prep-
Photographic Equip-
ment and Supplies .
Plastic and Synthetic
Materials Manufac-
Ptostic Processing
Porcelain Enameling ..
Printing and Publish-
ing
Pulp and Paper Mite ..
Rubber Processing ....
Soap and Detergent
Manufacturing
Steam Electric Povwr
Plants
Textile Mills
Timber Products Proc-
essing :
Volatile
1
i
2
>
>
2
1
2
2
2
3
2
2
2
2
2
2
2
2
2
2
2
GC/MSF
Acid
a
>
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
ractjon1
Base/
neutral
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
Pes-
ticide
>
2
2
2
2
2
2
2
2
2
2
2
2
a
'The toxic pollutants in each fraction are listed in Table II.
3 Testing required.
TABLE IIORGANIC Toxic POLLUTANTS IN EACH
OF FOUR FRACTIONS IN ANALYSIS BY GAS
CHROMATOGRAPHY/MASS SPECTROSCOPY
(OS/MS)
Volotilfs
IV tcrolein
2V tcrylonitrile
3V benzene
5V bromofonn
6V carbon tetrachloride
TV chlorobenzene
8V chlorodibromomethanc
9V chloroethane
10V 2-chlorocthylvinyl ether
11V chloroform
12V dichlorobromomethane
14V 1,1-dichloroethane
1SV 1,2-dichloroethane
16V 1.1-dichloroethylene
17V 1,2-dichloropropane
18V 1,3-dichloropropylene
19V ethylbenzene
20V methyl bromide
21V methyl chloride
22V methylene chloride
23V 1,1,2,2-tetrachlcroethane
24V tetrachloroethylene
2SV toluene
26V 1,2-trans-dichloroethylene
27V 1.1.1-trichloroethane
28V 1,1.2-trichloroclhane
29V tnchloroethylenc
31V vinyl chloride
Acid Compounds
1A 2-chlorophenol
2A 2,4-dichlorophenol
3A 2.4-dimethylphenol
4A 4,6-dinitro-o-creso!
5A 2,4-dinitrophenol
6A 2-nitrophenol
7A 4-nitrophenol
8A p-chloro-m-cresol
9A pentachlorophenol
IDA phenol
11A 2.4.6-trichlorophenol
Bcae/Nmtral
IB acenaphthcne
2B acenaphthylene
3B anthracene
4B benzidine
SB benzo(a)anthracene
6B benzo(a)pyrene
7B 3,4-benzofluoranthene
SB benzo(ghi)perylene
9B benzo(k)fluoranthene
1 OB bis(2-chJoroethoxy>ncthane
1 IB bis(2-chloroethyl)ether
12B bi?(2-chloroisopropyl)ether
13B bii (2-ethylhexyl)phthalate
14B 4-bromophenyl phenyl ether
1SB butylbenzyl phthalate
16B 2-chloronaphthalene
17B 4-chlorophenyl phenyl ether
18B chrysene
19B dibenzo(aji)anthiacene
20B 1,2-dichlorobenzene
21B 1.3-dichlorobcnzcne
22B 1,4-dichlorobenzene
23B 3.3'-dichlorobenzidinc
24B diethyl phthalate
25B dimethyl phthalate
26B di-n-butyl phthalate
27B 2.4-dinitrotoluene
28B 2,6-dinitrotolucne
29B di-n-octyl phthalate
30B 1,2-diphenylhydrazine (as azobenzene)
31B fluroranthene
32B fluorene
33B hexachlorobenzene
34B hexachlorobutadiene
3SB hexachlorocyclopcnUdienc
36B hexachlorocthane
37B indeno(1.2,3-cd)pyrene
3 SB isophorone
39B napthalene
40B nitrobenzene
4IB N-nitrosodimcthylamine
42B N-nitrosodi-n-propylamine
43B N-nitrosodiphenylamine
44B phcnanthrene
57
-------
PL 122, App. D
45B pyreoe
46B 1.2.4-trichlorobeazene
Ptttiddti
IP aldrin
2P alpha-BHC
3P bcU-BHC
4P gamma-BHC
SP delta-BHC
6P chlordane
7P 4.4'-DDT
8P 4.4'-DDE
9P 4.4'-DDD
10P dieldrin
1 IP alpha-eodosuUan
12P beta-endosuUan
13P endosulfan sulfate
14P endrin
ISP endrin aldehyde
16P heptachlor
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 m OTHER Toxic POLLUTANTS (METALS
AND CYANIDE) AND TOTAL PHENOLS
Antimony, Total
Araenic, 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
NONCONVENTIONAL POLLUTANTS REQUIRED
To BE TESTED BY EXISTING DISCHARGERS IF
EXPECTED TO BE PRESENT
Bromide
Chlorine, Total Residual
Color
Fecal Coliform
Fluoride
Nitrate-Nitrite
Nitrogen, Total Organic
Oil and Greaie
Phosphorus, Total
Radioactivity
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 POLLUTANTS AND
SUBSTANCES REQUIRED To BE
HAZARDOUS
IDENTIFIED
BY EXISTING DISCHARGERS IF EXPECTED To
BE PRESENT
Toxic Pollutants
Asbestos
Hazardous Substances
Acetaldehyde
Alryl alcohol
Ally! chloride
Amyl acetate
Aniline
Benzonitrile
Benzyl chloride
Butyl acetate
Butylamine
Captan
Carbaryl
Carbofuran
Carbon disuliidc
Chlorpyrifos
Coumaphos
Cresol
Crotonaldehyde
Cyclohexane
2.4-D (2,4-Dichlorophenoxy acetic acid)
Diazinon
Dicamba
Dichlobenil
Dichlone
2.2-Dichloropropionic acid
Dichlorvoj
Diethyl amine
Dimethyl amine
Dintrobenzene
Oiquat
Disulfoton
Diuron
Epichlorohydnn
Ethion
Ethylene diamine
Ethylene dibromide
Formaldehyde
Furfural
Guthion
Isoprene
Isopropanolamine Dodecylbenzenesulfonate
Kcllhane
Kepone
Ma lath ion
Mercaptodimethur
Mcthoxychlor
58
-------
PL 122. App. 0
Methyl mercaptan
Methyl methacrylate
Methyl parathion
Mevinphos
Mexacarbate
Monoethyl amine
Monomethyl amine
Naled
Napthenic acid
Nitrotolueoe
Parathion
Phenolsulfanate
Phosgene
Propargite
Propylene oxide
Pyrethriiu
Qu incline
Resorcinol
Strontium
Strychnine
Styrenc
2,4.5-T (2,4.S-Trichlorophenoxy acetic acid)
TDE (Tetrachlorodiphenylethane)
2.4,5-TP (2-(2,4.5-TiichIorophenoxy) propanoic acid]
Trichlorofan
Triethanolaminc dodecylbenzenesulfonate
Triethylamine
Trimethylaminc
Uranium
Vanadium
Vinyl acetate
Xylene
Xylenol
Zirconium
[Note 1: The Environmental Protection Agency has
suspended the requirements of § 122.21 (gXTXiiXA) and
Table I of Appendix D as they apply to certain industrial
categories. The suspensions are as follows:
a. At 46 FR 2046, Jan. 8, 1981. the Environmental Pro-
tection Agency suspended until further notice
§ 122.21 (gX7X»XA) as it applies to coal mines.
b. At 46 FR 22S8S, Apr. 20. 1981, the Environmental
Protection Agency suspended until further notice
§122.21(gX7XiiXA) and the corresponding portions of
Item V-C of the NPDES application Form 2c as they
apply to:
1. Testing and reporting for all four organic fractions
in the Grejge Mills Subcategory of the Textile Mills in-
dustry (Subpart CLow water use processing of 40 CFR
part 410), and testing and reporting for the pesticide frac-
tion in all other subcategories of this industrial category.
2. Testing and reporting 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 subcategories of this in-
dustrial category.
3. Testing and reporting for all four GC/MS fractions
in the Porcelain Enameling industry.
c. At 46 FR 35090, July 1, 1981. the Environmental
Protection Agency suspended until further notice
§122.21(gX7X"XA) and the corresponding portions of
Item V-C of the NPDES application Form 2c as they
apply to:
1. 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/hetural fractions
in all other subcategories of this industrial category.
2. Testing and reporting for the pesticide fraction in the
Leather Tanning and Finishing, Paint and Ink Formula-
tion, and Photographic Supplies industrial categories.
3. Testing, and reporting for the acid, base/neutral and
pesticide fractions in the Petroleum Refining industrial
category.
4. Testing and reporting for the pesticide fraction in the
Papergrade Sulfite subcategories (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 QX Dissolving
Kraft (subpart F). and Paperboard from Waste Paper (sub-
part E); testing and reporting for the volatile, base/neutral
and pesticide fractions in the following subcategories:
BCT Bleached Kraft (subpart H). Semi-Chemical (sub-
parts 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 (subpart OX Mar-
ket Bleached Krafl (subpart GX Tissue from Wastepaper
(subpart T), and Nonintegrated-Tissue Papers (subpart S\
5. Testing and reporting for the base/neutral 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 these suspensions.]*
For the duration of the suspensions, therefore. Table I
effectively reads:
TABLE ITESTING REQUIREMENTS FOR OR-
GANIC Toxic POLLUTANTS BY INDUSTRY CAT-
EGORY
Industry category
Adhesive* and sealants
Auto and other laundries ...
Battery manufacturing
Coil coating
Electric and electronic com-
pounds
Electroplating
Explosives manufacturing ..
Gum and wood (all cub-
parts except D and F) ....
Subpart D tall oil rosin
Subpart F rosin- based de-
Inorganic chemicals manu-
Iron and steel manufactur-
ing ..
Leather tanning and finish-
Mechanical products manu-
facturing
GC/MS fraction'
Vola-
tile
O
C)
C)
C)
C)
C)
C)
0)
C)
C)
0
C)
(')
C)
(1)
{')
Acid
C)
C)
C)
(')
C)
C)
{')
(1)
C)
C)
C)
C)
(')
C)
C)
C)
Neu-
tral
C)
C)
C)
(') -
C)
C)
C)
C)
C)
C)
C)
0)
{')
C)
C)
(')
Pes-
ticide
C)
C)
Editorial Note: The words "This revision" refer to
the document published at 48 FR 14153. Apr. 1. 1983.
59
-------
PL 122, App. E
TABLE ITESTING REQUIREMENTS FOR OR-
GANIC Toxic POLLUTANTS BY INDUSTRY CAT-
EGORYContinued
'The pollutants in each fraction we listed in (tarn V-C.
>Pulp and Paperboard Mite
Industry category
Nonferreu* metals manu-
Ore mining (applie* to the
baae and precious met-
Organic chemicala manu-
fscturino
Paint and ink formulation ...
Pesticides
Pptrpkium refinina
Pharmaceutical prepara-
tion*
Photographic equipment
Plastic and synthetic mate-
rials manufacturing
Plastic processing
Porcelain enameling
Printing and publishing
Pulp and papertaoard
mills see footnote'
Soap and detergent manu-
facturing
Steam electric power plants
Textile mills (Subpart C
Greige MiDs are exempt
Timber products processing
Vote-
tic
P)
P)
C)
{')
(i)
(i)
(i)
O
P)
0)
(1)
(1)
C)
(1)
0)
BO/MSI
Acid
C)
P)
o
C)
C)
(i)
(i)
C)
C)
(I)
(1)
C)
(1)
C)
faction'
Neu-
tral
C)
(>)
C)
C)
(1)
(')
C)
C)
(1)
(1)
(1)
(')
Pes-
ticide
(i)
C)
P)
P)
P)
P)
.
.Subpart >
A ..
B
C
D
E
p
G ..
H
1
J ...
K
L
M ..
N
O
P ..
Q
R
s
T
U
VOA
»
i
}
i
(i)
C)
C)
C)
(1)
(1)
C)
(1)
C)
(1)
C)
(1)
(1)
3
(1)
C)
(')
GS/MSf
Acid
(i)
C)
P)
(i)
C)
(i)
C)
P)
(i)
C)
(<)
(1)
P)
(1)
C)
(1)
(1)
P)
(1)
(1)
P)
factions
Base/
neu-
tral
(t
m
Pes-
ti-
cides
(1)
ri
P)
i
P)
(1
2
'Testing required.
'Mustiest
'Do not test unless "reason to believe" it is discharged.
»Subparts are defined in 40 CFR Part 430.
[48 FR 14153. Apr. 1. 1983, as amended at 49 FR 38050.
Sept 26. 1984, 50 FR 6940. Feb. 19, 1985]
APPENDIX E TO PART 122RAINFALL ZONES OF THE UNITED STATES
EC01MR82016
60
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The Pretreatment Training Course The National Pretreatment Program
(Following, are excerpts from the United States Code (USC) as originated in the Clean Water Act (CWA). Sections that apply
to the National Pretreatment Program are highlighted in the Table of Contents with the full text of these sections attached.)
CHAPTER 26 - WATER POLLUTION PREVENTION AND CONTROL
SUBCHAPTERI - RESEARCH AND RELATED PROGRAMS
S1251 Congressional declaration of goals and policy. (CWA SfOf)
§1252 Comprehensive programs for water pollution control.
§1252a Reservoir projects, water storage; modification; storage for other than for water quality, opinion of Federal agency,
committee resolutions of approval; provisions inapplicable to projects with certain prescribed water quality benefits in
relation to total project benefits.
§1253 Interstate cooperation and uniform laws.
§1254 Research, investigations, training, and information.
§1254a Research on effects of pollutants.
§ 1255 Grants for research and development
§1256 Grants for pollution control programs.
§1257 Mine water pollution control demonstrations.
§1257a State demonstration programs for cleanup of abandoned mines for use as waste disposal sites; authorization of
appropriations.
§1258 Pollution control in the Great Lakes.
§1259 Training grants and contracts.
§1260 Applications; allocation.
§1261 Scholarships.
§1262 Definitions and authorizations.
§1263 Alaska village demonstration projects.
§1264 Omitted.
§ 1265 In-place toxic pollutants.
§1266 Hudson River reclamation demonstration project
§1267 Chesapeake Bay.
§1268 Great Lakes.
§1269 Long Island Sound.
§1270 Lake Champlain Management Conference.
§1271 Sediment survey and monitoring.
SUBCHAPTER II - GRANTS FOR CONSTRUCTION OF TREATMENT WORKS
§1281 Congressional declaration of purpose.
§1281a Total treatment system funding.
§}281b Availability of Farmers Home Administration funds for non-Federal share.
§1282 Federal share.
§1283 Plans, specifications, estimates, and payments.
§1284 Limitations and conditions.
§1285 Allotment of grant funds.
§1286 Reimbursement and advanced construction.
§ 1287 Authorization of appropriations.
§1288 Area wide waste treatment management
§1289 Basin planning.
§1290 Annual survey.
§1291 Sewage collection systems.
ff292 Definitions. (CWA
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The National Pretreatment Program The Pretreatment Training Course
SUBCHAPTER III - STANDARDS AND ENFORCEMENT
61311 fffluenf limitations. (CWA 6301}
§1312 Water quality related effluent limitations.
§1313 Water quality standards and implementation plans.
§1313a Revised water quality standards.
§1314 Information and guidelines
§ 1315 State reports on water quality, transmittal to Congress.
§1316 National standards of performance.
$1317 Toxic and pretreatment effluent standards. (CWA $307)
§1318 Records and reports: inspections. (CWA {308)
61319 Enforcement (CWA 6309}
§1320 International pollution abatement
§1321 Oil and hazardous substance liability.
§1322 Marine sanitation devices.
§ 1323 Federal facilities pollution control.
§1324 Clean lakes.
§1325 National Study Commission.
§1326 Thermal discharges.-
§1327 Omitted.
§1328 Aquaculture.
§ 1329 - Nonpoint source management programs.
§1330 National estuary program.
SUBCHAPTER IV - PERMITS AND LICENSES
§1341 Certification.
§1342 National pollutant discharge elimination system. (CWA 6402}
§1343 Ocean discharge criteria.
§1344 Permits for dredged or fill material.
§1345 Disposal or use of sewage sludge.
SUBCHAPTER V - GENERAL PROVISIONS
§1361 Administration.
61362 Definitions. (CWA 6502}
§ 1363 Water Pollution Control Advisory Board.
§ 1364 Emergency powers.
§1365 Citizen suits.
§1366 Appearance.
§1367 Employee protection.
§1368 Federal procurement
§1369 Administrative procedure and judicial review.
§1370 State authority.
§1371 Authority under other laws and regulations.
§1372 Labor standards.
§1373 Public health agency coordination.
§1374 Effluent Standards and Water Quality Information Advisory Committee.
§1375 Reports to Congress.
§1376 Authorization of appropriations.
§1377 Indian tribes.
SUBCHAPTER VI - STATE WATER POLLUTION CONTROL REVOLVING FUNDS
§1381 Grants to States for establishment of revolving funds.
§ 1382 Capitalization grant agreements.
§1383 Water pollution control revolving loan funds.
§1384 Allotment of funds.
§1385 Corrective action.
§ 1386 Audits, reports, and fiscal controls; intended use plan.
§ 1387 Authorization of appropriations.
Page 2 - Appendix: Clean Water Act (Table of Contents) Module 1
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TTie Pretreatment Treating Course The National Pretreatment Program
1251. Congressional declaration of goals and policy fCWA $101}
(a) Restoration and maintenance of chemical, physical and biological integrity of Nation's waters; national goals for achievement
of objective
The objective of this chapter is to restore and maintain the chemical, physical, and biological integrity of the Nation's waters.
In order to achieve this objective it is hereby declared that consistent with the provisions of this chapter -
(1) it is the national goal that the discharge of pollutants into the navigable waters be eliminated by 1985;
(2) it is the national goal that wherever attainable, an interim goal of water quality which provides for the protection and
propagation offish, shellfish, and wildlife and provides for recreation in and on the water be achieved by July 1,1983;
(3) it is the national policy that the discharge of toxic pollutants in toxic amounts be prohibited;
(4) it is the national policy that Federal financial assistance be provided to construct publicly owned waste treatment works;
(5) it is the national policy that Area wide waste treatment management planning processes be developed and implemented
to assure adequate control of sources of pollutants in each State;
(6) it is the national policy that a major research and demonstration effort be made to develop technology necessary to
eliminate the discharge of pollutants into the navigable waters, waters of the contiguous zone, and the oceans; and
(7) it is the national policy that programs for the control of nonpoint sources of pollution be developed and implemented in
an expeditious manner so as to enable the goals of this chapter to be met through the control of both point and nonpoint
sources of pollution.
(b) Congressional recognition, preservation, and protection of primary responsibilities and rights of States
It is the policy of the Congress to recognize, preserve, and protect the primary responsibilities and rights of States to prevent,
reduce, and eliminate pollution, to plan the development and use (including restoration, preservation, and enhancement) of land
and water resources, and to consult with the Administrator in the exercise of his authority under this chapter. It is the policy of
Congress that the States manage the construction grant program under this chapter and implement the permit programs under
sections 1342 and 1344 of this title. It is further the policy of the Congress to support and aid research relating to the prevention,
reduction, and elimination of pollution and to provide Federal technical services and financial aid to State and interstate
agencies and municipalities in connection with the prevention, reduction, and elimination of pollution.
(c) Congressional policy toward Presidential activities with foreign countries
It is further the policy of Congress that the President acting through the Secretary of State and such national and international
organizations as he determines appropriate, shall take such action as may be necessary to insure that to the fullest extent
possible an foreign countries shall take meaningful action for the prevention, reduction, and elimination of pollution in their waters
and in international waters and for the achievement of goals regarding the elimination of discharge of pollutants and the
improvement of water quality to at least the same extent as the United States does under its laws.
(d) Administrator of Environmental Protection Agency to administer chapter
Except as otherwise expressly provided in this chapter, the Administrator of the Environmental Protection Agency (hereinafter
in this chapter called "Administrator") shall administer this chapter.
(e) Public participation in development revision, and enforcement of any regulation, etc.
Public participation in the development revision, and enforcement of any regulation, standard, effluent limitation, plan, or
program established by the Administrator or any State under this chapter shall be provided for, encouraged, and assisted by
the Administrator and the States. The Administrator, in cooperation with the States, shall develop and publish regulations
specifying minimum guidelines for public participation in such processes.
(f) Procedures utilized for implementing chapter
It is the national policy that to the maximum extent possible the procedures utilized for implementing this chapter shall
encourage the drastic minimization of paperwork and interagency decision procedures, and the best use of available manpower
and funds, so as to prevent needless duplication and unnecessary delays at all levels of government
(g) Authority of States over water
Module 1 Appendix: Clean Water Act (Excerpts) Page 3
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The National Pretreetment Program The Pretreatment Training Course
It is the policy of Congress that the authority of each State to allocate quantities of water within its jurisdiction shall not be
superseded, abrogated or otherwise impared by this chapter. It is the further policy of Congress that nothing in this chapter shall
be construed to supersede or abrogate rights to quantities of water which have been established by any State. Federal agencies
shall co-operate with State and local agencies to develop comprehensive solutions to prevent, reduce and eliminate pollution
in concert with programs for managing water resources.
61292. Deffn/ffons (CWA 6212)
As used in this subchapter -
(1) The term 'construction" means any one or more of the following: preliminary planning to determine the feasibility of treatment
works, engineering, architectural, legal, fiscal, or economic investigations or studies, surveys, designs, plans, working drawings,
specifications, procedures, field testing of innovative or alternative waste water treatment processes and techniques meeting
guidelines promulgated under section 1314(d)(3) of this title, or other necessary actions, erection, building, acquisition,
alteration, remodeling, improvement or extension of treatment works, or the inspection or supervision of any of the foregoing
items.
(2) (A) The term treatment works" means any devices and systems used in the storage, treatment recycling, and reclamation
of municipal sewage or industrial wastes of a Gquid nature to implement section 1281 of this title, or necessary to recycle
or reuse water at the most economical cost over the estimated life of the works, including intercepting sewers, outfall
sewers, sewage collection systems, pumping, power, and other equipment and their appurtenances; extensions,
improvements, remodeling, additions, and alterations thereof; elements essential to provide a reliable recycled supply
such as standby treatment units and clear well facilities; and any works, including site acquisition of the land that will
be an integral part of the treatment process (including land used for the storage of treated wastewater in land treatment
systems prior to land application) or is used for ultimate disposal of residues resulting from such treatment
(B) In addition to the definition contained in subparagraph (A) of this paragraph, "treatment works" means any other method
or system for preventing, abating, reducing, storing, treating, separating, or disposing of municipal waste, including storm
water runoff, or industrial waste, including waste in combined storm water and sanitary sewer systems. Any application
for construction grants which includes wholly or in part such methods or systems shall, in accordance with guidelines
published by the Administrator pursuant to subparagraph (C) of this paragraph, contain adequate data and analysis
demonstrating such proposal to be, over the life of such works, the most cost efficient alternative to comply with sections
1311 or 1312 of this title, or the requirements of section 1281 of this tide.
(C) For the purposes of subparagraph (B) of this paragraph, the Administrator shall, within one hundred and eighty days
after October 18, 1972, publish and thereafter revise no less often than annually, guidelines for the evaluation of
methods, including cost-effective analysis, described in subparagraph (B) of this paragraph.
(3) The term "replacement" as used in this subchapter means those expenditures for obtaining and installing equipment
accessories, or appurtenances during the useful fife of the treatment works necessary to maintain the capacity and performance
for which such works are designed and constructed.
61311. Effluent limitations (CWA 63011
(a) Illegality of pollutant discharges except in compliance with law
Except as in compliance with this section and sections 1312,1316,1317,1328,1342, and 1344 of this title, the discharge of
any pollutant by any person shall be unlawful.
(b) Timetable for achievement of objectives
In order to carry out the objective of this chapter there shall be achieved -
(1) (A) not later than July 1,1977. effluent limitations for point sources, other than publicly owned treatment works, (i)
which shall require the application of the best practicable control technology currently available as defined by
the Administrator pursuant to section 1314(b) of this title, or (ii) in the case of a discharge into a publicly owned
treatment works which meets the requirements of subparagraph (B) of this paragraph, which shall require
compliance with any applicable pretreatment requirements and any requirements under section 1317 of this tide;
and
Page 4 - Appendix Clean Water Act (Excerpts) : Module 1
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The Preireatment Training Course The National Pretreatment Program
(B) for publicly owned treatment works in existence on July 1,1977, or approved pursuant to section 1283 of this
title prior to June 30,1974 (for which construction must be completed within four years of approval), effluent
limitations based upon secondary treatment as defined by the Administrator pursuant to section 1314(d)(1) of
this title; or,
(C) not later than July 1,1977, any more stringent limitation, including those necessary to meet water quality
standards, treatment standards, or schedules of compliance, established pursuant to any State law or
regulations (under authority preserved by section 1370 of this tide) or any other Federal law or regulation, or
required to implement any applicable water quality standard established pursuant to this chapter.
(2) (A) for pollutants identified in subparagraphs (C), (D), and (F) of this paragraph, effluent limitations for categories
and classes of point sources, other than publicly owned treatment works, which (i) shall require application of
the best available technology economically achievable for such category or class, which will result in reasonable
further progress toward the national goal of eliminating the discharge of all pollutants, as determined in
accordance with regulations issued by the Administrator pursuant to section 1314(b)(2) of this title, which such
effluent limitations shall require the elimination of discharges of all pollutants if the Administrator finds, on the
basis of information available to him (including information developed pursuant to section 1325 of this title), that
such elimination is technologically and economically achievable for a category or class of point sources as
determined in accordance with regulations issued by the Administrator pursuant to section 1314(b)(2) of this
title, or (ii) in the case of the introduction of a pollutant into a publicly owned treatment works which meets the
requirements of subparagraph (B) of this paragraph, shall require compliance with any applicable pretreatment
requirements and any other requirement under section 1317 of this tide;
(B) Repealed. Pub. L 97-117. Sec. 21(b). Dec. 29.1981,95 Slat 1632.
(C) With respect to all toxic pollutants referred to in table 1 of Committee Print Numbered 95-30 of the Committee
on Public Works and Transportation of the House of Representatives compliance with effluent limitations in
accordance with subparagraph (A) of this paragraph as expeditiously as practicable but in no case later than
three years after the date such limitations are promulgated under section 1314(b) of this title, and in no case
later than March 31,1989;
(D) for all toxic pollutants listed under paragraph (1) of subsection (a) of section 1317 of this title which are not
referred to in subparagraph (C) of this paragraph compliance with effluent limitations in accordance with
subparagraph (A) of this paragraph as expeditiously as practicable, but in no case later than three years after
the date such limitations are promulgated under section 1314(b) of this title, and in no case later than March 31,
1989;
(E) as expeditiously as practicable but in no case later than three years after the date such limitations are
promulgated under section 1314(b) of this title, and in no case later than March 31,1989, compliance with
effluent limitations for categories and classes of point sources, other than publicly owned treatment works, which
in the case of poDutants identified pursuant to section 1314(a)(4) of this title shall require application of the best
conventional pollutant control technology as determined in accordance with regulations issued by the
Administrator pursuant to section 1314(b)(4) of this title; and
(F) for all pollutants (other than those subject to subparagraphs (C), (D), or (E) of this paragraph) compliance with
effluent limitations in accordance with subparagraph (A) of this paragraph as expeditiously as practicable but
in no case later than 3 years after the date such limitations are established, and in no case later than March 31,
1989.
(3) (A) for effluent limitations under paragraph (1)(A)(i) of this subsection promulgated after January 1, 1982, and
requiring a level of control substantially greater or based on fundamentally different control technology than
under permits for an industrial category issued before such date, compliance as expeditiously as practicable
but in no case later than three years after the date such limitations are promulgated under section 1314(b) of
this tide, and in no case later than March 31.1989; and
(B) for any effluent limitation in accordance with paragraph (1 )(A)(i), (2)(A)(i). or (2)(E) of this subsection established
only on the basis of section 1342(a)(1) of this title in a permit issued after February 4,1987, compliance as
expeditiously as practicable but in no case later than three years after the date such limitations are established,
and in no case later than March 31,1989.
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(c) Modification of timetable
The Administrator may modify the requirements of subsection (b)(2)(A) of this section with respect to any point source for which
a permit application is filed after July 1.1977, upon a showing by the owner or operator of such point source satisfactory to the
Administrator that such modified requirements (1) will represent the maximum use of technology within the economic capability
of the owner or operator; and (2) will result in reasonable further progress toward the elimination of the discharge of pollutants.
(d) Review and revision of effluent limitations
Any effluent limitation required by paragraph (2) of subsection (b) of this section shall be reviewed at least every five years and,
if appropriate, revised pursuant to the procedure established under such paragraph.
(e) All point discharge source application of effluent limitations
Effluent limitations established pursuant to this section or section 1312 of this title shall be applied to all point sources of
discharge of pollutants in accordance with the provisions of this chapter.*
(f) Illegality of discharge of radiological, chemical, or biological warfare agents, high-level radioactive waste, or medical waste
Notwithstanding any other provisions of this chapter it shall be unlawful to discharge any radiological, chemical, or biological
warfare agent, any high-level radioactive waste, or any medical waste, into the navigable waters.
(g) Modifications for certain nonconventional pollutants
(1) General authority
The Administrator, with the concurrence of the State, may modify the requirements of subsection (b)(2)(A) of this section
with respect to the discharge from any point source of ammonia, chlorine, color, iron, and total phenols (4AAP) (when
determined by the Administrator to be a pollutant covered by subsection (b)(2)(F) of this section) and any other pollutant
which the Administrator lists under paragraph (4) of this subsection.
(2) Requirements for granting modifications
A modification under this subsection shall be granted only upon a showing by the owner or operator of a point source
satisfactory to the Administrator that -
(A) such modified requirements wfll result at a minimum in compliance with the requirements of subsection (b)(1)(A)
or (C) of this section, whichever is applicable;
(B) such modified requirements wfll notresult in any additional requirements on any other point or nonpoint source;
and
(C) such modification will not interfere with the attainment or maintenance of that water quality which shall assure
protection of public water supplies, and the protection and propagation of a balanced population of shellfish, fish,
and wildlife, and allow recreational activities, in and on the water and such modification will not result in the
discharge of pollutants in quantities which may reasonably be anticipated to pose an unacceptable risk to
human health or the environment because of bioaccumulation, persistency in the environment, acute toxicity,
chronic toxicity (including carcinogenicity, mutagenicity or teratogenicity), or synergistic propensities.
(3) Limitation on authority to apply for subsection (c) modification
If an owner or operator of a point source applies for a modification under this subsection with respect to the discharge
of any pollutant such owner or operator shall be eligible to apply for modification under subsection (c) of this section
with respect to such pollutant only during the same time period as he is eligible to apply for a modification under this
subsection.
(4) Procedures for listing additional pollutants
(A) General authority
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Upon petition of any person, the Administrator may add any pollutant to the list of pollutants for which
modification under this section is authorized (except for pollutants identified pursuant to section 1314(a)(4) of
this title, toxic pollutants subject to section 1317(a) of this title, and the thermal component of discharges) in
accordance with the provisions of this paragraph.
(B) Requirements for listing
(i) Sufficient information
The person petitioning for listing of an additional pollutant under this subsection shall submit to the
Administrator sufficient information to make the determinations required by this subparagraph.
(ii) Toxic criteria determination
The Administrator shall determine whether or not the pollutant meets the criteria for listing as a toxic
pollutant under section 1317(a) of this title.
(iii) Listing as toxic pollutant
If the Administrator determines that the pollutant meets the criteria for listing as a toxic pollutant under
section 1317(a) of this title, the Administrator shall list the pollutant as a toxic pollutant under section
1317(a) of this title.
(iv) Nonconventional criteria determination
If the Administrator determines that the pollutant does not meet the criteria for listing as a toxic pollutant
under such section and determines that adequate test methods and sufficient data are available to make
the determinations required by paragraph (2) of this subsection with respect to the pollutant, the
Administrator shall add the pollutant to the list of pollutants specified in paragraph (1) of this subsection
for which modifications are authorized under this subsection.
(C) Requirements for filing of petitions
A petition for listing of a pollutant under this paragraph -
(i) must be filed not later than 270 days after the date of promulgation of an applicable effluent guideline
under section 1314 of this title;
(ii) may be filed before promulgation of such guideline; and
(iii) may be filed with an application for a modification under paragraph (1) with respect to the discharge of
such pollutant
(D) Deadline for approval of petition
A decision to add a pollutant to the list of pollutants for which modifications under this subsection are authorized
must be made within 270 days after the date of promulgation of an applicable effluent guideline under section
1314 of this tide.
(E) Burden of proof
The burden of proof for making the determinations under subparagraph (B) shall be on the petitioner.
(5) Removal of pollutants
The Administrator may remove any poDutant from the list of pollutants for which modifications are authorized under this
subsection if the Administrator determines that adequate test methods and sufficient date are no longer available for
determining whether or not modifications may be granted with respect to such pollutant under paragraph (2) of this
subsection.
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(h) Modification of secondary treatment requirements
The Administrator, with the concurrence of the State, may issue a permit under section 1342 of this title which modifies the
requirements of subsection (b)(1)(B) of this section with respect to the discharge of any pollutant from a publicly owned
treatment works into marine waters, if the applicant demonstrates to the satisfaction of the Administrator that -
(1) there is an applicable water quality standard specific to the pollutant for which the modification is requested, which has
been identified under section 1314(a)(6) of this title;
(2) the discharge of pollutants in accordance with such modified requirements will not interfere, alone or in combination with
pollutants from other sources, with the attainment or maintenance of that water quality which assures protection of public
water supples and the protection and propagation of a balanced, indigenous population of shellfish, fish, and wildlife,
and allows recreational activities, In and on the water,
(3) the applicant has established a system for monitoring the impact of such discharge on a representative sample of
aquatic biota, to the extent practicable, and the scope of such monitoring is limited to include only those scientific
investigations which are necessary to study the effects of the proposed discharge;
(4) such modified requirements will not result in any additional requirements on any other point or nonpoint source;
(5) all applicable pretreatment requirements for sources introducing waste into such treatment works will be enforced;
(6) in the case of any treatment works serving a population of 50,000 or more, with respect to any toxic pollutant introduced
into such works by an industrial discharger for which pollutant there is no applicable pretreatment requirement in effect,
sources introducing waste into such works are in compliance with all applicable pretreatment requirements, the applicant
wffl enforce such requirements, and the applicant has in effect a pretreatment program which, in combination with the
treatment of discharges from such works, removes the same amount of such pollutant as would be removed if such
works were to apply secondary treatment to discharges and if such works had no pretreatment program with respect
to such pollutant;
(7) to the extent practicable, the applicant has established a schedule of activities designed to eliminate the entrance of
toxic pollutants from nonindustrial sources into such treatment works;
(8) there wiD be no new or substantially increased discharges from the point source of the pollutant to which the modification
applies above that volume of discharge specified in the permit;
(9) the applicant at the time such modification becomes effective will be discharging effluent which has received at least
primary or equivalent treatment and which meets the criteria established under section 1314(a)(1) of this title after initial
mixing in the waters surrounding or adjacent to the point at which such effluent is discharged. For the purposes of this
subsection the phrase the discharge of any pollutant into marine waters" refers to a discharge into deep waters of the
territorial sea or the waters of the contiguous zone, or into saline estuarine waters where there is strong tidal movement
and other hydro-logical and geological characteristics which the Administrator determines necessary to allow compliance
with paragraph (2) of this subsection, and section 1251 (a)(2) of this title. For the purposes of paragraph (9), "primary
or equivalent treatment" means treatment by screening, sedimentation, and skimming adequate to remove at least 30
percent of the biological oxygen demanding material and of the suspended solids in the treatment works influent, and
disinfection, where appropriate. A municipality which applies secondary treatment shall be eligible to receive a permit
pursuant to this subsection which modifies the requirements of subsection (b)(1)(B) of this section with respect to the
discharge of any pollutant from any treatment works owned by such municipality into marine waters. No permit issued
under this subsection shall authorize the discharge of sewage sludge into marine waters. In order for a permit to be
issued under this subsection for the discharge of a pollutant into marine waters, such marine waters must exhibit
characteristics assuring that water providing dilution does not contain significant amounts of previously discharged
effluent from such treatment works. No permit issued under this subsection shall authorize the discharge of any pollutant
into saline estuarine waters which at the time of application do not support a balanced indigenous population of shellfish,
fish and wildlife, or allow recreation in and on the waters or which exhibit ambient water quality below applicable water
quality standards adopted for the protection of public water supplies, shellfish, fish and wildlife or recreational activities
or such other standards necessary to assure support and protection of such uses. The prohibition contained in the
preceding sentence shall apply without regard to the presence or absence of a causal relationship between such
characteristics and the applicant's current or proposed discharge. Notwithstanding any other provisions of this
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subsection, no permit may be issued under this subsection for discharge of a pollutant into the New York Bight Apex
consisting of the ocean waters of the Atlantic Ocean westward of 73 degrees 30 minutes west longitude and northward
of 40 degrees 10 minutes north latitude.
(i) Municipal time extensions
(1) Where construction is required in order for a planned or existing publicly owned treatment works to achieve limitations
under subsection (b)(1)(B) or (b)(1)(C) of this section, but (A) construction cannot be completed within the time required
in such subsection, or (B) the United States has failed to make financial assistance under this chapter available in time
to achieve such limitations by the time specified in such subsection, the owner or operator of such treatment works may
request the Administrator (or if appropriate the State) to issue a permit pursuant to section 1342 of this title or to modify
a permit issued pursuant to that section to extend such time for compliance. Any such request shall be filed with the
Administrator (or if appropriate the State) within 180 days after February 4,1987. The Administrator (or if appropriate
the State) may grant such request and issue or modify such a permit which shall contain a schedule of compliance for
the publicly owned treatment works based on the earliest date by which such financial assistance will be available from
the United States and construction can be completed, but in no event later than July 1,1988, and shall contain such
other terms and conditions, including those necessary to carry out subsections (b) through (g) of section 1281 of this
title, section 1317 of this title, and such interim effluent limitations applicable to that treatment works as the Administrator
determines are necessary to carry out the provisions of this chapter.
(2)' (A) Where a point source (other than a publicly owned treatment works) will not achieve the requirements of
subsections (b)(1)(A) and (b)(1)(C) of this section and -
(i) if a permit issued prior to July 1,1977, to such point source is based upon a discharge into a publicly
owned treatment works; or
(ii) if such point source (other than a publicly owned treatment works) had before July 1,1977, a contract
(enforceable against such point source)'to discharge into a publicly owned treatment works; or
(iii) if either an application made before July 1,1977, for a construction grant un der this chapter for a publicly
owned treatment works, or engineering or architectural plans or working drawings made before July 1,
1977, for a publicly owned treatment works, show that such point source was to discharge into such
publicly owned treatment works, and such publicly owned treatment works is presently unable to accept
such discharge without construction, and in the case of a discharge to an existing publicly owned
treatment works, such treatment works has an extension pursuant to paragraph (1) of this subsection,
the owner or operator of such point source may request the Administrator (or if appropriate the State)
to issue or modify such a permit pursuant to such section 1342 of this title to extend such time for
compliance. Any such request shall be filed with the Administrator (or if appropriate the State) within 180
days after December 27,1977, or the filing of a request by the appropriate publicly owned treatment
works under paragraph (1) of this subsection, whichever is later. If the Administrator (or if appropriate
the State) finds that the owner or operator of such point source has acted in good faith, he may grant
such request and issue or modify such a permit, which shall contain a schedule of compliance for the
point source to achieve the requirements of subsections (b)(1)(A) and (C) of this section and shall
contain such other terms and conditions, including pretreatment and interim effluent limitations and water
conservation requirements applicable to that point source, as the Administrator determines are
necessary to carry out the provisions of this chapter.
(B) No time modification granted by the Administrator (or if appropriate the State) pursuant to paragraph (2)(A) of
this subsection shall extend beyond the earliest date practicable for compliance or beyond the date of any
extension granted to the appropriate publicly owned treatment works pursuant to paragraph (1) of this
subsection, but in no event shall it extend beyond Ju V1,1988; and no such time modification shall be granted
unless (i) the publicly owned treatment works will be in operation and available to the point source before July
1,1988, and will meet the requirements of subsections (b)(1)(B) and (C) of this section after receiving the
discharge from that point source; and (ii) the point source and the publicly owned treatment works have entered
-into an enforceable contract requiring the point source to discharge into the publicly owned treatment works,
the owner or operator of such point source to pay the costs required under section 1284 of this title, and the
pubOdy owned treatment works to accept the discharge from the point source; and (iii) the permit for such point
source requires that point source to meet all requirements under section 1317(a) and (b) of this title during the
period of such time modification.
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(j) Modification procedures
(1) Any application filed under this section for a modification of the provisions of -
(A) subsection (b)(1)(B) of this section under subsection (h) of this section shall be filed not later that (FOOTNOTE
1) the 365th day which begins after December 29,1981, except that a publicly owned treatment works which
prior b December 31.1982, had a contractual arrangement to use a portion of the capacity of an ocean outfall
operated by another publicly owned treatment works which has applied for or received modification under
subsection (h) of this section, may apply for a modification of subsection (h) of this section in its own right not
later than 30 days after February 4,1987;
(FOOTNOTE 1) So in original. Probably should be "than".
(B) subsection (b)(2)(A) of this section as it applies to pollutants identified in subsection (b)(2)(F) of this section shall
be filed not later than 270 days after the date of promulgation of an applicable effluent guideline under section
1314 of this title or not later than 270 days after December 27,1977, whichever is later.
(2) Subject to paragraph (3) of this section, any application for a modification filed under subsection (g) of this section shall
not operate to stay any requirement under this chapter, unless in the judgment of the Administrator such a stay or the
modification sought will not result in the discharge of pollutants in quantities which may reasonably be anticipated to
pose an unacceptable risk to human health or the environment because of bioaccumulation, persistency in the
environment, acute toxicity, chronic toxicity (including carcinogenicity, mutagenicity, or teratogenicity), or synergistic
propensities, and that there is a substantial likelihood that the applicant will succeed on the merits of such application.
In the case of an application filed under subsection (g) of this section, the Administrator may condition any stay granted
under this paragraph on requiring the filing of a bond or other appropriate security to assure timely compliance with the
requirements from which a modification is sought
(3) Compliance requirements under subsection (g). -
(A) Effect of filing. -An application for a modification under subsection (g) of this section and a petition for listing of
a pollutant as a pollutant for which modifications are authorized under such subsection shall not stay the
requirement that the person seeking such modification or listing comply with effluent limitations under this
chapter for all pollutants not the subject of such application or petition.
(B) Effect of disapproval. - Disapproval of an application for a modification under subsection (g) of this section shall
not stay the requirement that the person seeking such modification comply with all applicable effluent limitations
under this chapter.
(4) Deadline for subsection (g) decision. - An application for a modification with respect to a pollutant filed under subsection
(g) of this section must be approved or disapproved not later than 365 days after the date of such filing; except that in
any case in which a petition for listing such pollutant as a pollutant for which modifications are authorized under such
subsection is approved, such application must be approved or disapproved not later than 365 days after the date of
approval of such petition.
(k) Innovative technology
In the case of any facility subject to a permit under section 1342 of this title which proposes to comply with the requirements
of subsection (b)(2)(A) or (b)(2)(E) of this section by replacing existing production capacity with an innovative production process
which will result in an effluent reduction significantly greater than that required by the limitation otherwise applicable to such
facility and moves toward the national goal of eliminating the discharge of all pollutants, or with the installation of an innovative
control technique that has a substantial likelihood for enabling the facility to comply with the applicable effluent limitation by
achieving a significantly greater effluent reduction than that required by the applicable effluent limitation and moves toward the
national goal of eliminating the discharge of all pollutants, or by achieving the required reduction with an innovative system that
has the potential for significantly lower costs than the systems which have been determined by the Administrator to be
economically achievable, the Administrator (or the State with an approved program under section 1342 of this title, in
consultation with the Administrator) may establish a date for compliance under subsection (b)(2)(A) or (b)(2)(E) of this section
no later than two years after the date for compliance with such effluent limitation which would otherwise be applicable under
such subsection, if it is also determined that such innovative system has the potential for industry wide application.
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(I) Toxic pollutants
Other than as provided in subsection (n) of this section, the Administrator may not modify any requirement of this section as
it applies to any specific pollutant which is on the toxic pollutant list under section 1317(a)(1) of this title.
(m) Modification of effluent limitation requirements for point sources
(1) The Administrator, with the concurrence of the State, may issue a permit under section 1342 of this title which modifies
the requirements of subsections (b)(1)(A) and (b)(2)(E) of this section, and of section 1343 of this title, with respect to
effluent limitations to the extent such limitations relate to biochemical oxygen demand and pH from discharges by an
industrial discharger in such State into deep waters of the territorial seas, if the applicant demonstrates and the
Administrator finds that -
(A) the facility for which modification is sought is covered at the time of the enactment of this subsection by National
Pollutant Discharge Elimination System permit number CA0005894 or CA0005282;
(B) the energy and envronmental costs of meeting such requirements of subsections (b)(1)(A) and (b)(2)(E) of this
section and section 1343 of this title exceed by an unreasonable amount the benefits to be obtained, including
the objectives of this chapter;
(C) the applicant has established a system for monitoring the impact of such discharges on a representative sample
of aquatic biota;
(D) such modified requirements will not result in any additional requirements on any other point or nonpoint source;
(E) there will be no new or substantially increased discharges from the point source of the pollutant to which the
modification applies above that volume of discharge specified in the permit
(F) the discharge is into waters where there is strong tidal movement and other hydrological and geological
characteristics which are necessary to allow compliance with this subsection and section 1251(a)(2) of this title;
(G) the applicant accepts as a condition to the permit a contractual (FOOTNOTE 2) obligation to use funds in the
amount required (but not less than $250,000 per year for ten years) for research and development of water
pollution control technology, including but not limited to closed cycle technology;
(FOOTNOTE 2) So in original. Probably should be "contractual".
(H) the facts and circumstances present a unique situation which, if relief is granted, will not establish a precedent
or the relaxation of the requirements of this chapter applicable to similarly situated discharges; and
(I) no owner or operator of a facility comparable to that of the applicant situated in the United States has
demonstrated that it would be put at a competitive disadvantage to the applicant (or the parent company or any
subsidiary thereof) as a result of the issuance of a permit under this subsection.
(2) The effluent limitations established under a permit issued under paragraph (1) shall be sufficient to implement the
applicable State water quality standards, to assure the protection of public water supplies and protection and
propagation of a balanced, indigenous population of shellfish, fish, fauna, wildlife, and other aquatic organisms, and to
allow recreational activities in and on the water. In setting such limitations, the Administrator shall take into account any
seasonal variations and the need for an adequate margin of safety, considering the lack of essential knowledge
concerning the relationship between effluent limitations and water quality and the lack of essential knowledge of the
effects of discharges on beneficial uses of the receiving waters.
(3) A permit under this subsection may be issued for a period not to exceed five years, and such a permit may be renewed
for one additional period not to exceed five years upon a demonstration by the applicant and a finding by the
Administrator at the time of application for any such renewal that the provisions of this subsection are met
(4) The Administrator may terminate a permit issued under this subsection if the Administrator determines that there has
been a decline in ambient water quality of the receiving waters during the period of the permit even if a direct cause and
effect relationship cannot be shown: Provided, That if the effluent from a source with a permit issued under this
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subsection is contributing b a decline in ambient water quality of the receiving waters, the Administrator shall terminate
such permit
(n) Fundamentally different factors
(1) General rule
The Administrator, with the concurrence of the State, may establish an alternative requirement under subsection (b)(2)
of this section or section 1317(b) of this title for a facility that modifies the requirements of national effluent limitation
guidelines or categorical pretreatment standards that would otherwise be applicable to such facility, if the owner or
operator of such facility demonstrates b the satisfaction of the Administrator that -
(A) the facility is fundamentally different with respect b the factors (other than cost) specified in section 1314(b) or
1314(g) of this title and considered by the Administrator in establishing such national effluent limitation guidelines
or categorical pretreatment standards;
(B) the application
(i) b based solely on information and supporting data submitted b the Administrator during the rulemaking
for establishment of the applicable national effluent limitation guidelines or categorical pretreatment
standard specifically raising the factors that are fundamentally different for such facility; or
(ii) is based on information and supporting data referred b in clause (i) and information and supporting data
the applicant did not have a reasonable opportunity b submit during such rulemaking;
(C) the alternative requirement is no less stringent than justified by the fundamental difference; and
(D) the alternative requirement will not result in a non-water quality environmental impact which is markedly more
adverse than the impact considered by the Administrator in establishing such national effluent limitation guideline
or categorical pretreatment standard.
(2) Time limit for applications
An application for an alternative requirement which modifies the requirements of an effluent limitation or pretreatment
standard under this subsection must be submitted b the Administrator within 180 days after the date on which such
limitation or standard is established or revised, as the case may be.
(3) Time limit for decision
The Administrator shall approve or deny by final agency action an application submitted under this subsection within
180 days after the dab such application is filed with the Administrator.
(4) Submission of information
The Administrator may allow an applicant under this subsection b submit information and supporting data until the
earlier of the dab the application is approved or denied or the last day that the Administrator has b approve or deny
such application.
(5) Treatment of pending applications
For the purposes of this subsection, an application for an alternative requirement based on fundamentally different
factors which is pending on February 4,1987, shall be treated as having been submitted b the Administrator on the
180th day following February 4,1987. The applicant may amend the application b take into account the provisions of
this subsection.
(6) Effect of submission of application
An application for an alternative requirement under this subsection shall not stay the applicant's obligation b comply
with the effluent limitation guideline or categorical pretreatment standard which is the subject of the application.
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(7) Effect of denial
If an application for an alternative requirement which modifies the requirements of an effluent limitation or pretreatment
standard under this subsection is denied by the Administrator, the applicant must comply with such limitation or standard
as established or revised, as the case may be.
(8) Reports
Every 6 months after February 4,1987, the Administrator shall submit to the Committee on Environment and Public
Works of the Senate and the Committee on Public Works and Transportation of the House of Representatives a report
on the status of applications for alternative requirements which modify the requirements of effluent limitations under
section 1311 or 1314 of this fitte or any national categorical pretreatment standard under section 1317(b) of this title filed
before, on, or after February 4,1987.
(o) Application fees
The Administrator shall prescribe and collect from each applicant fees reflecting the reasonable administrative costs incurred
in reviewing and processing applications for modifications submitted to the Administrator pursuant to subsections (c), (g), (i),
(k), (m), and (n) of this section, section 1314(d)(4) of this title, and section 1326(a) of this title. All amounts collected by the
Administrator under this subsection shall be deposited into a special fund of the Treasury entitled "Water Permits and Related
Services' which shall thereafter be available for appropriation to carry out activities of the Environmental Protection Agency for
which such fees were collected.
(p) Modified permit for coal remining operations
(1) In general
Subject to paragraphs (2) through (4) of this subsection/the Administrator, or the State in any case which the State has
an approved permit program under section 1342(b) of this title, may issue a permit under section 1342 of this title which
modifies the requirements of subsection (b)(2)(A) of this section with respect to the pH level of any pre-existing
discharge, and with respect to pre-existing discharges of iron and manganese from the remined area of any coal
remining operation or with respect to the pH level or level of iron or manganese in any pre-existing discharge affected
by the remining operation. Such modified requirements shall apply the best available technology economically
achievable on a case-by-case basis, using best professional judgment, to set specific numerical effluent limitations in
each permit
(2) Limitations
The Administrator or the State may only issue a permit pursuant to paragraph (1) if the applicant demonstrates to the
satisfaction of the Administrator or the State, as the case may be, that the coal remining operation will result in the
potential for improved water quality from the remining operation but in no event shall such a permit allow the pH level
of any discharge, and in no event shall such a permit allow the discharges of iron and manganese, to exceed the levels
being discharged from the remined area before the coal remining operation begins. No discharge from, or affected by,
the remining operation shall exceed State water quality standards established under section 1313 of this tide.
(3) Definitions
For purposes of this subsection -
(A) Coal remining operation
The term 'coal remining operation* means a coal mining operation which begins after February 4,1987 at a site
on which coal mining was conducted before August 3,1977.
(B) . Remined area
The term "remined area" means only that area of any coal remining operation on which coal mining was
conducted before Augusts, 1977.
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(C) Pre-existing discharge
The term 'pre-existing discharge* means any discharge at the time of permit application under this subsection.
r
(4) Applicability of strip mining laws
Nothing in this subsection shall affect the application of the Surface Mining Control and Reclamation Act of 1977 (30 U.S.C.
1201 et seq.) b any coal remining operation, including the application of such Act to suspended solids.
§1317. Toxic and oretreatment effluent standards (CWA §307}
(a) Toxic pollutant list; revision; hearing; promulgation of standards; effective date; consultation
(1) On and after December 27,1977, the list of toxic pollutants or combination of pollutants subject to this chapter shall
consist of those toxic poDutants listed in table 1 of Committee Print Numbered 95-30 of the Committee on Public Works
and Transportation of the House of Representatives, and the Administrator shall publish, not later than the thirtieth day
after December 27, 1977, that list From time to time thereafter, the Administrator may revise such list and the
Administrator is authorized to add to or remove from such list any pollutant The Administrator in publishing any revised
fist including the addition or removal of any pollutant from such list shall take into account toxicity of the pollutant its
persistence, degradability, the usual or potential presence of the affected organisms in any waters, the importance of
the affected organisms, and the nature and extent of the effect of the toxic pollutant on such organisms. A determination
of the Administrator under this paragraph shall be final except that if, on judicial review, such determination was based
on arbitrary and capricious action of the Administrator, the Administrator shall make a redetermination.
(2) Each toxic pollutant listed in accordance with paragraph (1) of this subsection shall be subject to effluentjimitations
resulting from the application of the best available technology economically achievable for the applicable category or
class of point sources established in accordance with sections 1311(b)(2)(A) and 1314(b)(2) of this title. The
Administrator, in his discretion, may publish in the Federal Register a proposed effluent standard (which may include
a prohibition) establishing requirements for a toxic pollutant which, if an effluent limitation is applicable to a class or
category of point sources, shall be applicable to such category or class only if such standard imposes more stringent
requirements. Such published effluent standard (or prohibition) shall take into account the toxicity of the pollutant its
persistence, degradability, the usual or potential presence of the affected organisms in any waters, the importance of
the affected organisms and the nature and extent of the effect of the toxic pollutant on such organisms, and the extent
to which effective control is being or may be achieved under other regulatory authority. The Administrator shall allow
a period of not less than sixty days following publication of any such proposed effluent standard (or prohibition) for
written comment by interested persons on such proposed standard. In addition, if within thirty days of publication of any
such proposed effluent standard (or prohibition) any interested person so requests, the Administrator shall hold a public
hearing in connection therewith. Such a public hearing shall provide an opportunity for oral and written presentations,
such cross-examination as the Administrator determines is appropriate on disputed issues of material fact and the
transcription of a verbatim record which shall be available to the public. After consideration of such comments and any
information and material presented at any public hearing held on such proposed standard or prohibition, the
Administrator shall promulgate such standard (or prohibition) with such modification as the Administrator finds are
justified. Such promulgation by the Administrator shall be made within two hundred and seventy days after publication
of proposed standard (or prohibition). Such standard (or prohibition) shall be final except that if, on judicial review, such
standard was not based on substantial evidence, the Administrator shall promulgate a revised standard. Effluent
limitations shall be established in accordance with sections 1311(b)(2)(A) and 1314(b)(2) of this title for every toxic
pollutant referred to in table 1 of Committee Print Numbered 95-30 of the Committee on Public Works and
Transportation of the House of Representatives as soon as practicable after December 27,1977, but no later than July
1,1980. Such effluent limitations or effluent standards (or prohibitions) shall be established for every other toxic pollutant
listed under paragraph (1) of this subsection as soon as practicable after it is so listed.
(3) Each such effluent standard (or prohibition) shall be reviewed and, if appropriate, revised at least every three years.
(4) Any effluent standard promulgated under this section shall be at that level which the Administrator determines provides
an ample margin of safety.
(5) When proposing or promulgating any effluent standard (or prohibition) under this section, the Administrator shall
designate the category or categories of sources to which the effluent standard (or prohibition) shall apply. Any disposal
of dredged material may be included in such a category of sources after consultation with the Secretary of the Army.
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(6) Any effluent standard (or prohibition) established pursuant to this section shall take effect on such date or dates as
specified in the order promulgating such standard, but in no case, more than one year from the date of such
promulgation. If the Administrator determines that compliance within one year from the date of promulgation is
technologically infeasible for a category of sources, the Administrator may establish the effective date of the effluent
standard (or prohibition) for such category at the earliest date upon which compliance can be feasibly attained by
sources within such category, but in no event more than three years after the date of such promulgation.
(7) Prior to publishing any regulations pursuant to this secb'on the Administrator shall, to the maximum extent practicable
within the time provided, consult with appropriate advisory committees, States, independent experts, and Federal
departments and agencies.
(b) Pretreatment standards; hearing; promulgation; compliance period; revision; application to State and local laws
(1) The Administrator shall, within one hundred and eighty days after October 18,1972, and from time to time thereafter,
publish proposed regulations establishing pretreatment standards for introduction of pollutants into treatment works (as
defined in section 1292 of this title) which are publicly owned for those pollutants which are determined not to be
susceptible to treatment by such treatment works or which would interfere with the operation of such treatment works.
Not later than ninety days after such publication, and after opportunity for public hearing, the Administrator shall
promulgate such pretreatment standards. Pretreatment standards under this subsection shall specify a time for
compliance not to exceed three years from the date of promulgation and shall be established to prevent the discharge
of any pollutant through treatment works (as defined in section 1292 of this title) which are publicly owned, which
pollutant interferes with, passes through, or otherwise is incompatible with such works. If, in the case of any toxic
pollutant under subsection (a) of this section introduced by a source into a publicly owned treatment works, the
treatment by such works removes all or any part of such toxic pollutant and the discharge from such works does not
violate that effluent limitation or standard which would be applicable to such toxic pollutant if it were discharged by such
source other than through a publicly owned treatment works, and does not prevent sludge use or disposal by such
works in accordance with section 1345 of this title, then the pretreatment requirements for the sources actually
discharging such toxic pollutant into such publicly owned treatment works may be revised by the owner or operator of
such works to reflect the removal of such toxic pollutant by such works.
(2) The Administrator shall, from time to time, as control technology, processes, operating methods, or other alternatives
change, revise such standards following the procedure established by this subsection for promulgation of such
standards.
(3) When proposing or promulgating any pretreatment standard under this section, the Administrator shall designate the
category or categories of sources to which such standard shall apply.
(4) Nothing in this subsection shall affect any pretreatment requirement established by any State or local law not in conflict
with-any pretreatment standard established under this subsection.
(C) New sources of pollutants into publicly owned treatment works
In order to insure that any source introducing pollutants into a publicly owned treatment works, which source would be a new
source subject to section 1316 of this title if it were to discharge pollutants, will not cause a violation of the effluent limitations
established for any such treatment works, the Administrator shall promulgate pretreatment standards for the category of such
sources simultaneously with the promulgation of standards of performance under section 1316 of this title for the equivalent
category of new sources. Such pretreatment standards shall prevent the discharge of any pollutant into such treatment works,
which pollutant may interfere with, pass through, or otherwise be incompatible with such works.
(d) Operation in violation of standards unlawful
After the effective date of any effluent standard or prohibition or pretreatment standard promulgated under this section, it shall
be unlawful for any owner or operator of any source to operate any source in violation of any such effluent standard or
prohibition or pretreatment standard.
(e) Compliance.date extension for innovative pretreatment systems
In the case of any existing facility that proposes to comply with the pretreatment standards of subsection (b) of this section by
applying an innovative system that meets the requirements of section 1311(k) of this title, the owner or operator of the publicly
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owned treatment works receiving the treated effluent from such facility may extend the date for compliance with the applicable
pretreatment standard established under this section for a period not to exceed 2 years -
(1) if the Administrator determines that the innovative system has the potential for industrywide application, and
(2) if the Administrator (or the State in consultation with the Administrator, in any case in which the State has a pretreatment
program approved by the Administrator) -
(A) determines that the proposed extension will not cause the publicly owned treatment works to be in violation of
its permit under section 1342 of this title or of section 1345 of this title or to contribute to such a violation, and
(B) concurs with the proposed extension.
S1318. Records and reports: inspections (CWA §308}
(a) Maintenance; monitoring equipment; entry; access to information
Whenever required to carry out the objective of this chapter, including but not limited to
(1) developing or assisting in the development of any effluent limitation, or other limitation, prohibition, or effluent standard,
pretreatment standard, or standard of performance under this chapter;
(2) determining whether any person is in violation of any such effluent limitation, or other limitation, prohibition or effluent
standard, pretreatment standard, or standard of performance;
(3) any requirement established under this section; or
(4) carrying out sections 1315,1321,1342,1344 (relating to State permit programs), 1345, and 1364 of this title -
(A) the Administrator shall require the owner or operator of any point source to
(i) establish and maintain such records,
(ii) make such reports,
(iii) install, use, and maintain such monitoring equipment or methods (including where appropriate, biological
monitoring methods),
(iv) sample such effluents (in accordance with such methods, at such locations, at such intervals, and in
such manner as the Administrator shall prescribe), and
(v) provide such other information as he may reasonably require; and
(B) the Administrator or his authorized representative (including an authorized contractor acting as a representative
of the Administrator), upon presentation of his credentials -
(i) shall have a right of entry to, upon, or through any premises in which an effluent source is located or in
which any records required to be maintained under clause (A) of this subsection are located, and
(ii) may at reasonable times have access to and copy any records, inspect any monitoring equipment or
method required under clause (A), and sample any effluents which the owner or operator of such source
is required to sample under such clause.
(b) Availability to public; trade secrets exception; penalty for disclosure of confidential information
Any records, reports, or information obtained under this section
(1) shall, in the case of effluent data, be related to any applicable effluent limitations, toxic, pretreatment, or new source
performance standards, and
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(2) shall be available to the public, except that upon a showing satisfactory to the Administrator by any person that records,
reports, or information, or particular part thereof (other than effluent data), to which the Administrator has access under
this section, if made public would divulge methods or processes entitled to protection as trade secrets of such person,
the Administrator shall consider such record, report, or information, or particular portion thereof confidential in
accordance with the purposes of section 1905 of title 18. Any authorized representative of the Administrator (including
an authorized contractor acting as a representative of the Administrator) who knowingly or willfully publishes, divulges,
discloses, or makes known in any manner or to any extent not authorized by law any information which is required to
be considered confidential under this subsection shall be fined not more than $1,000 or imprisoned not more than 1
year, or both. Nothing in this subsection shall prohibit the Administrator or an authorized representative of the
Administrator (including any authorized contractor acting as a representative of the Administrator) from disclosing
records, reports, or information to other officers, employees, or authorized representatives of the United States
concerned with carrying out this chapter or when relevant in any proceeding under this chapter.
(c) Application of State law
Each State may develop and submit to the Administrator procedures under State law for inspection, monitoring, and entry with
respect to point sources located in such State. If the Administrator finds that the procedures and the law of any State relating
to inspection, monitoring/and entry are applicable to at least the same extent as those required by this section, such State is
authorized to apply and enforce its procedures for inspection, monitoring, and entry with respect to point sources located in such
State (except with respect to point sources owned or operated by the United States).
(d) Access by Congress
Notwithstanding any limitation contained in this section or any other provision of law, all information reported to or otherwise
obtained by the Administrator (or any representative of the Administrator) under this chapter shall be made available, upon
written request of any duly authorized committee of Congress, to such committee.
G1319. Enforcement (CWA S309)
(a) State enforcement; compliance orders
(1) Whenever, on the basis of any information available to him, the Administrator finds that any person is in violation of any
condition or limitation which implements section 1311,1312.1316,1317,1318,1328, or 1345 of this title in a permit
issued by a State under an approved permit program under section 1342 or 1344 of this title he shall proceed under
his authority in paragraph (3) of this subsection or he shall notify the person in alleged violation and such State of such
finding. If beyond the thirtieth day after the Administrator's notification the State has not commenced appropriate
enforcement action, the Administrator shall issue an order requiring such person to comply with such condition or
limitation or shall bring a civil action in accordance with subsection (b) of this section.
(2) Whenever, on the basis of information available to him, the Administrator finds that violations of permit conditions or
limitations as set forth in paragraph (1) of this subsection are so widespread that such violations-appear to result from
a failure of the State to enforce such permit conditions or limitations effectively, he shall so notify the State. If the
Administrator finds such failure extends beyond the thirtieth day after such notice, he shall give public notice of such
finding. During the period beginning with such public notice and ending when such State satisfies the Administrator that
it will enforce such conditions and limitations (hereafter referred to in this section as the period of "federally assumed
enforcement"), except where an extension has been granted under paragraph (5)(B) of this subsection, the
Administrator shall enforce any permit condition or limitation with respect to any person -
(A) by issuing an order to comply with such condition or limitation, or
(B) by bringing a civil action under subsection (b) of this section.
(3) Whenever on the basis of any information available to him the Administrator finds that any person is in violation of
section 1311,1312,1316,1317,1318,1328, or 1345 of this title, or is in violation of any permit condition or limitation
implementing any of such sections in a permit issued under section 1342 of this title by him or by a State or in a permit
issued under section 1344 of this title by a State, he shall issue an order requiring such person to comply with such
section or requirement, or he shall bring a civil action in accordance with subsection (b) of this section.
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(4) A copy of any order issued under this subsection shall be sent immediately by the Administrator to the State in which
the violation occurs and other affected States. In any case in which an order under this subsection (or notice to a violator
under paragraph (1) of this subsection) is issued to a corporation, a copy of such order (or notice) shall be served on
any appropriate corporate officers. An order issued under this subsection relating to a violation of section 1318 of this
title shall not take effect until the person to whom it is issued has had an opportunity to confer with the Administrator
concerning the alleged violation.
(5) (A) Any order issued under this subsection shall be by personal service, shall state with reasonable specificity the
nature of the violation, and shall specify a time for compliance not to exceed thirty days in the case of a violation
of an interim compliance schedule or operation and maintenance requirement and not to exceed a time the
Administrator determines to be reasonable in the case of a violation of a final deadline, taking into account the
seriousness of the violation and any good faith efforts to comply with applicable requirements.
(B) The Administrator may, if he determines (i) that any person who is a violator of, or any person who is otherwise
not in compliance with, the time requirements under this chapter or in any permit issued under this chapter, has
acted in good faith, and has made a commitment (in the form of contracts or other securities) of necessary
resources to achieve compliance by the earliest possible date after July 1,1977, but not later than April 1,1979;
(ii) that any extension under this provision will not result in the imposition of any additional controls on any other
point or nonpoint source; (iii) that an application for a permit under section 1342 of this title was filed for such
person prior to December 31,1974; and (iv) that the facilities necessary for compliance with such requirements
are under construction, grant an extension of the date referred to in section 1311 (b)(1)(A) of this tiHe to a date
which will achieve compliance at the earliest time possible but not later than April 1,1979.
(6) Whenever, on the basis of information available to him, the Administrator finds
(A) that any person is in violation of section 1311 (b)(1 )(A) or (C) of this tide,
(B) that such person cannot meet the requirements for a time extension under section 1311(i)(2) of this title, and
(C) that the most expeditious and appropriate means of compliance with this chapter by such person is to discharge
into a pubOdy owned treatment works, then, upon request of such person, the Administrator may issue an order
requiring such person to comply with this chapter at the earliest date practicable, but not later than July 1,1983,
by discharging into a publicly owned treatment works if such works concur with such order. Such order shall
include a schedule of compliance.
(b) Civil actions
The Administrator is authorized to commence a civil action for appropriate relief, including a permanent or temporary injunction,
for any violation for which he is authorized to issue a compliance order under subsection (a) of this section. Any action under
this subsection may be brought in the district court of the United States for the district in which the defendant is located or
resides or is doing business, and such court shall have jurisdiction to restrain such violation and to require compliance. Notice
of the commencement of such action shall be given immediately to the appropriate State.
(c) Criminal penalties
(1) Negligent violations
Any person who -
(A) negligently violates section 1311.1312.1316,1317,1318.1321(b)(3), 1328. or 1345 of this title, or any permit
condition or limitation implementing any of such sections in a permit issued under section 1342 of this title by
the Administrator or by a State, or any requirement imposed in a pretreatment program approved under section
1342(a)(3) or 1342(b)(8) of this tide or in a permit issued under section 1344 of this title by the Secretary of the
Army or by a State; or
(B) negligently introduces into a sewer system or into a publicly owned treatment works any pollutant or hazardous
substance which such person knew or reasonably should have known could cause personal injury or property
damage or, other than in compliance with all applicable Federal, State, or local requirements or permits, which
causes such treatment works to violate any effluent limitation or condition in any permit issued to the treatment
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works under section 1342 of this title by the Administrator or a State; shall be punished by a fine of not less than
$2,500 nor more than $25,000 per day of violation, or by imprisonment for not more than 1 year, or by both. If
a conviction of a person is for a violation committed after a first conviction of such person under this paragraph,
punishment shall be by a fine of not more than $50,000 per day of violation, or by imprisonment of not more than
2 years, or by both.
(2) Knowing violations
Any person who -
(A) knowingly violates section 1311,1312.1316.1317.1318,1321(b)(3), 1328. or 1345 of this title, or any permit
condition or limitation implementing any of such sections in a permit issued under section 1342 of this title by
the Administrator or by a State, or any requirement imposed in a pretreatment program approved under section
1342(a)(3) or 1342(b)(8) of this title or in a permit issued under section 1344 of this title by the Secretary of the
Army or by a State; or
(B) knowingly introduces into a sewer system or inb a publicly owned treatment works any pollutant or hazardous
substance which such person knew or reasonably should have known could cause personal injury or property
damage or, other than in compliance with all applicable Federal, State, or local requirements or permits, which
causes such treatment works to violate any effluent limitation or condition in a permit issued to the treatment
works under section 1342 of this title by the Administrator or a State; shall be punished by a fine of not less than
$5,000 nor more than $50,000 per day of violation, or by imprisonment for not more than 3 years, or by both.
If a conviction of a person is for a violation committed after a first conviction of such person under this paragraph,
punishment shall be by a fine of not more than $100,000 per day of violation, or by imprisonment of not more
than 6 years, or by both.
(3) Knowing endangerment
(A) General rule
Any person who knowingly violates section 1311.1312,1313.1316.1317.1318.1321(b)(3). 1328.or1345of
this title, or any permit condition or limitation implementing any of such sections in a permit issued under section
1342 of this title by the Administrator or by a State, or in a permit issued under section 1344 of this title by the
Secretary of the Army or by a State, and who knows at that time that he thereby places another person in
imminent danger of death or serious bodily injury, shall, upon conviction, be subject to a fine of not more than
$250,000 or imprisonment of not more than 15 years, or both. A person which is an organization shall, upon
conviction of violating this subparagraph, be subject to a fine of not more than $1,000,000. If a conviction of a
person is for a violation committed after a first conviction of such person under this paragraph, the maximum
punishment shall be doubled with respect to both fine and imprisonment
(B) Additional provisions
For the purpose of subparagraph (A) of this paragraph -
(i) in determining whether a defendant who is an individual knew that his conduct placed another person
in imminent danger of death or serious bodily injury -
(I) the person is responsible only for actual awareness or actual belief that he possessed; and
(II) knowledge possessed by a person other than the defendant but not by the defendant himself
may not be attributed to the defendant; except that in proving the defendants possession of
actual knowledge, circumstantial evidence may be used, including evidence that the defendant
took affirmative steps to shield himself from relevant information;
(ii) it is an affirmative defense to prosecution that the conduct charged was consented to by the person
endangered and that the danger and conduct charged were reasonably foreseeable hazards of -
(I) an occupation, a business, or a profession; or
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(II) medical treatment or medical or scientific experimentation conducted by professionally approved
methods and such other person had been made aware of the risks involved prior to giving
consent and such defense may be established under this subparagraph by a preponderance
of the evidence;
(ifl) the term 'organization' means a legal entity, other than a government established or organized for any
purpose, and such term includes a corporation, company, association, firm, partnership, joint stock
company, foundation, institution, trust society, union, or any other association of persons; and
(iv) the term "serious bodily injury* means bodily injury which involves a substantial risk of death,
unconsciousness, extreme physical pain, protracted and obvious disfigurement or protracted loss or
impairment of the function of a bodily member, organ, or mental faculty.
(4) False statements
Any person who knowingly makes any false material statement representation, or certification in any application, record.
report plan, or other document filed or required to be maintained under this chapter or who knowingly falsifies, tampers
with, or renders inaccurate any monitoring device or method required to be maintained under this chapter, shall upon
conviction, be punished by a fine of not more than $10,000, or by imprisonment for not more than 2 years, or by both.
If a conviction of a person is for a violation committed after a first conviction of such person under this paragraph,
punishment shall be by a fine of not more than $20,000 per day of violation, or by imprisonment of not more than 4
years, or by both.
(5) Treatment of single operational upset
For purposes of this subsection, a single operational upset which leads to simultaneous violations of more than one
pollutant parameter shall be treated as a single violation.
(6) Responsible corporate officer as "person"
For the purpose of this subsection, the term "person" means, in addition to the definition contained in section 1362(5)
of this title, any responsible corporate officer.
(7) Hazardous substance defined
For the purpose of this subsection, the term "hazardous substance" means (A) any substance designated pursuant to
section 1321(b)(2)(A) of this title, (B) any element compound, mixture, solution, or substance designated pursuant to
section 9602 of title 42. (C) any hazardous waste having the characteristics identified under or listed pursuant to section
3001 of the Solid Waste Disposal Act (42 U.S.C. 6921) (but not including any waste the regulation of which under the
Solid Waste Disposal Act (42 U.S.C. 6901 et seq.) has been suspended by Act of Congress), (D) any toxic pollutant
fisted under section 1317(a) of this title, and (E) any imminently hazardous chemical substance or mixture with respect
to which the Administrator has taken action pursuant to section 2606 of title 15.
(d) Civil penalties; factors considered in determining amount
Any person who violates section 1311,1312.1316.1317.1318.1328, or 1345 of this titie, or any permit condition or limitation
implementing any of such sections in a permit issued under section 1342 of this titie by the Administrator, or by a State, or in
a permit issued under section 1344 of this titie by a State,, (FOOTNOTE 1) or any requirement imposed in a pretreatment
program approved under section 1342(a)(3) or 1342(b)(8) of this titie, and any person who violates any order issued by the
Administrator under subsection (a) of this section, shall be subject to a civil penalty not to exceed $25,000 per day for each
violation. In determining the amount of a civil penalty the court shall consider the seriousness of the violation or violations, the
economic benefit (if any) resulting from the violation, any history of such violations, any good-faith efforts to comply with the
applicable requirements, the economic impact of the penalty on the violator, and such other matters as justice may require. For
purposes of this subsection, a single operational upset which leads to simultaneous violations of more than one pollutant
parameter shall be treated as a single violation.
(FOOTNOTE 1) So in original.
(e) State liability for judgments and expenses
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Whenever a municipality is a party to a civil action brought by the United States under this section, the State in which such
municipality is located shall be joined as a party. Such State shall be liable for payment of any judgment, or any expenses
incurred as a result of complying with any judgment, entered against the municipality in such action to the extent that the laws
of that State prevent the municipality from raising revenues needed to comply with such judgment
(f) Wrongful introduction of pollutants into treatment works
Whenever, on the basis of any information available to him, the Administrator finds that an owner or operator of any source is
introducing a pollutant into a treatment works in violation of subsection (d) of section 1317 of this tide, the Administrator may
notify the owner or operator of such treatment works and the State of such violation. If the owner or operator of the treatment
works does not commence appropriate enforcement action within 30 days of the date of such notification, the Administrator may
commence a civil action for appropriate relief, including but not limited to, a permanent or temporary injunction, against the
owner or operator of such treatment works. In any such civil action the Administrator shall join the owner or operator of such
source as a party to the action. Such action shall be brought in the district court of the United States in the district in which the
treatment works is located. Such court shall have jurisdiction to restrain such violation and to require the owner or operator of
the treatment works and the owner a operator of the source to take such action as may be necessary to come into compliance
with this chapter. Notice of commencement of any such action shall be given to the State. Nothing in this subsection shall be
construed to limit or prohibit any other authority the Administrator may have under this chapter.
(g) Administrative penalties
(1) Violations
Whenever on the basis of any information available -
(A) the Administrator finds that any person has violated section 1311,1312,1316,1317.1318.1328. or 1345 of
this tide, or has violated any permit condition or limitation implementing any of such sections in a permit issued
under section 1342 of this title by the Administrator or by a State, or in a permit issued under section 1344 of
this title by a State, or
(B) the Secretary of the Army (hereinafter in this subsection referred to as the "Secretary") finds that any person has
violated any permit condition or limitation in a permit issued under section 1344 of this title by the Secretary, the
Administrator or Secretary, as the case may be, may, after consultation with the State in which the violation
occurs, assess a class I civil penalty or a class II civil penalty under this subsection.
(2) Classes of penalties
(A) Class I
The amount of a class I civil penalty under paragraph (1) may not exceed $10,000 per violation, except that the
maximum amount of any class I civil penalty under this subparagraph shall not exceed $25,000. Before issuing
an order assessing a civil penalty under this subparagraph, the Administrator or the Secretary, as the case may
be, shall give to the person to be assessed such penalty written notice of the Administrator's or Secretary's
proposal to issue such order and the opportunity to request, within 30 days of the date the notice is received
by such person, a hearing on the proposed order. Such hearing shall not be subject to section 554 or 556 of
title 5, but shall provide a reasonable opportunity to be heard and to present evidence.
(B) Class II
The amount of a class II ch/O penalty under paragraph (1) may not exceed $10,000 per day for each day during
which the violation continues; except that the maximum amount of any class II civil penalty under this
subparagraph shall not exceed $125,000. Except as otherwise provided in this subsection, a class II civil penalty
shall be assessed and collected in the same manner, and subject to the same provisions, as in the case of civil
penalties assessed and collected after notice and opportunity for a hearing on the record in accordance with
section 554 of title 5. The Administrator and the Secretary may issue rules for discovery procedures for hearings
under this subparagraph.
(3) Determining amount
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In determining the amount of any penalty assessed under this subsection, the Administrator or the Secretary, as the
case may be, shall take into account the nature, circumstances, extent and gravity of the violation, or violations, and,
with respect to the violator, ability to pay, any prior history of such violations, the degree of culpability, economic benefit
or savings (if any) resulting from the violation, and such other matters as justice may require. For purposes of this
subsection, a single operational upset which leads to simultaneous violations of more than one pollutant parameter shall
be treated as a single violation.
(4) Rights of interested persons
(A) Public notice
Before issuing an order assessing a civil penalty under this subsection the Administrator or Secretary, as the
case may be, shall provide public notice of and reasonable opportunity to comment on the proposed issuance
of such order.
(B) Presentation of evidence
Any person who comments on a proposed assessment of a penalty under this subsection shall be given notice
of any hearing held under this subsection and of the order assessing such penalty. In any hearing held under
this subsection, such person shall have a reasonable opportunity to be heard and to present evidence.
(C) Rights of interested persons to a hearing
If no hearing is held under paragraph (2) before issuance of an order assessing a penalty under this subsection,
any person who commented on the proposed assessment may petition, within 30 days after the issuance of
such order, the Administrator or Secretary, as the case may be, to set aside such order and to provide a hearing
on the penalty. If the evidence presented by the petitioner in support of the petition is material and was not
considered in the issuance of the order, the Administrator or Secretary shall immediately set aside such order
and provide a hearing in accordance with paragraph (2)(A) in the case of a class I civil penalty and paragraph
(2)(B) in the case of a class II civil penalty. If the Administrator or Secretary denies a hearing under this
subparagraph, the Administrator or Secretary shall provide to the petitioner, and publish in the Federal Register,
notice of and the reasons for such denial.
(5) Finality of order
An order issued under this subsection shall become final 30 days after its issuance unless a petition for judicial review
is filed under paragraph (8) or a hearing is requested under paragraph (4)(C). If such a hearing is denied, such order
shall become final 30 days after such denial.
(6) Effect of order
(A) Limitation on actions under other sections
Action taken by the Administrator or the Secretary, as the case may be, under this subsection shall not affect
or limit the Administrator's or Secretary's authority to enforce any provision of this chapter; except that any
violation -
(I) with respect to which the Administrator or the Secretary has commenced and is diligently prosecuting
an action under this subsection,
(ii) with respect to which a State has commenced and is diligently prosecuting an action under a State law
comparable to this subsection, or
(Hi) for which the Administrator, the Secretary, or the State has issued a final order not subject to further
judicial review and the violator has paid a penalty assessed under this subsection, or such comparable
Slate law, as the case may be, shall not be the subject of a civil penalty action under subsection (d) of
this section or section 1321 (b) of this title or section 1365 of this title.
(B) Applicability of limitation with respect to citizen suits
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The limitations contained in subparagraph (A) on civil penalty actions under section 1365 of this title shall not
apply with respect to any violation for which -
(i) a civil action under section 1365(a)(1) of this title has been filed prior to commencement of an action
under this subsection, or
(ii) notice of an alleged violation of section 1365(a)(1) of this title has been given in accordance with section
1365(b)(1)(A) of this title prior b commencement of an action under this subsection and an action under
section 1365(a)(1) of this title with respect to such alleged violation is filed before the 120th day after the
date on which such notice is given.
(7) Effect of action on compliance
No action by the Administrator or the Secretary under this subsection shall affect any person's obligation b comply with
any section of this chapter or with the terms and conditions of any permit issued pursuant b section 1342 or 1344 of
this tide.
(8) Judicial review-
Any person against whom a civil penalty is assessed under this subsection or who commented on the proposed
assessment of such penalty in accordance with paragraph (4) may obtain review of such assessment -
(A) in the case of assessment of a class I civil penalty, in the United States District Court for the District of Columbia
or in the district in which the violation is alleged b have occurred, or
(B) in the case of assessment of a class II civil penalty, in United States Court of Appeals for the District of Columbia
Circuit or for any other circuit in which such person resides or transacts business, by filing a notice of appeal in
such court within the 30-day period beginning on the date the civil penalty order is issued and by simultaneously
sending a copy of such notice by certified mail b the Administrator or the Secretary, as the case may be, and
the Attorney General. The Administrator or the Secretary shall promptly file in such court a certified copy of the
record on which the order was issued. Such court shall not set aside or remand such order unless there is not
substantial evidence in the record, taken as a whole, b support the finding of a violation or unless the
Administrator's or Secretary's assessment of the penalty constitutes an abuse of discretion and shall not impose
additional civil penalties for the same violation unless the Administrator's or Secretary's assessment of the
penalty constitutes an abuse of discretion.
(9) Collection
If any person fails b pay an assessment of a civil penalty -
(A) after the order making the assessment has become final, or
(B) after a court in an action brought under paragraph (8) has entered a final judgment in favor of the Administrator
or the Secretary, as the case may be, the Administrator or the Secretary shall request the Attorney General to
bring a civil action in an appropriate district court b recover the amount assessed (plus interest at currently
prevailing rates from the date of the final order or the date of the final judgment, as the case may be). In such
an action, the validity, amount, 'and appropriateness of such penalty shall not be subject to review. Any person
who fails b pay on a timely basis the amount of an assessment of a civil penalty as described in the first
sentence of this paragraph shall be required b pay, in addition b such amount and interest, attorneys fees and
costs for collection proceedings and a quarterly nonpayment penalty for each quarter during which such failure
b pay persists. Such nonpayment penalty shall be in an amount equal b 20 percent of the aggregate amount
of such person's penalties and nonpayment penalties which are unpaid as of the beginning of such quarter.
(10) Subpoenas
The Administrator or Secretary, as the case may be, may issue subpoenas for the attendance and testimony of
witnesses and the production of relevant papers, books, or documents in connection with hearings under this
subsection. In case of contumacy or refusal to obey a subpoena issued pursuant b this paragraph and served upon
any person, the district court of the United States for any district in which such person is found, resides, or transacts
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business, upon application by the United States and after notice to such person, shall have jurisdiction to issue an order
requiring such person to appear and give testimony before the administrative law judge or to appear and produce
documents before the administrative law judge, or both, and any failure to obey such order of the court may be punished
by such court as a contempt thereof.
(11) Protection of existing procedures
Nothing in this subsection shall change the procedures existing on the day before February 4,1987, under other
subsections of this section for issuance and enforcement of orders by the Administrator.
S1342. National pollutant discharge elimination system tCWA S402)
(a) Permits for discharge of pollutants
(1) Except as provided in sections 1328 and 1344 of this title, the Administrator may, after opportunity for public hearing
issue a permit for the discharge of any pollutant, or combination of pollutants, notwithstanding section 1311 (a) of this
title, upon condition that such discharge will meet either (A) all applicable requirements under sections 1311,1312,
1316,1317,1318, and 1343 of this title, or (B) prior to the taking of necessary implementing actions relating to all such
requrements. such conditions as the Administrator determines are necessary to carry out the provisions of this chapter.
(2) The Administrator shall prescribe conditions for such permits to assure compliance with the requirements of paragraph
(1) of this subsection, including conditions on data and information collection, reporting, and such other requirements
as he deems appropriate.
(3) The permit program of the Administrator under paragraph (1) of this subsection, and permits issued thereunder, shall
be subject to the same terms, conditions, and requirements as apply to a State permit program and permits issued
thereunder under subsection (b) of this section.
(4) All permits for discharges into the navigable waters issued pursuant to section 407 of this title shall be deemed to be
permits issued under this subchapter, and permits issued under this subchapter shall be deemed to be permits issued
under section 407 of this title, and shall continue in force and effect for their term unless revoked, modified, or
suspended in accordance with the provisions of this chapter.
(5) No permit for a discharge into the navigable waters shall be issued under section 407 of this title after October 18,1972.
Each application for a permit under section 407 of this title, pending on October 18,1972, shall be deemed to be an
application for a permit under this section. The Administrator shall authorize a State, which he determines has the
capability of administering a permit program which will carry out the objectives of this chapter to issue permits for
discharges into the navigable waters within the jurisdiction of such State. The Administrator may exercise the authority
* * granted him by the preceding sentence only during the period which begins on October 18,1972, and ends either on
the ninetieth day after the date of the first promulgation of guidelines required by section 1314(i)(2) of this title, or the
date of approval by the Administrator of a permit program for such State under subsection (b) of this section, whichever
date first occurs, and no such authorization to a State shall extend beyond the last day of such period. Each such permit
shall be subject to such conditions as the Administrator determines are necessary to carry out the provisions of this
chapter. No such permit shall issue if the Administrator objects to such issuance.
(b) State permit programs
At any time after the promulgation of the guidelines required by subsection (i)(2) of section 1314 of this tide, the Governor of
each State desiring to administer its own permit program for discharges into navigable waters within its jurisdiction may submit
to the Administrator a full and complete description of the program it proposes to establish and administer under State law or
under an interstate compact In addition, such State shall submit a statement from the attorney general (or the attorney for those
State water pollution control agencies which have independent legal counsel), or from the chief legal officer in the case of an
interstate agency, that the laws of such State, or the interstate compact, as the case may be. provide adequate authority to carry
out the described program. The Administrator shall approve each submitted program unless he determines that adequate
authority does not exist
(1) To issue permits which -
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(A) apply, and insure compliance with, any applicable requirements of sections 1311,1312.1316.1317,1343 of
this title;
(B) are for fixed terms not exceeding five years; and
(C) can be terminated or modified for cause including, but not limited to, the following:
(i) violation of any condition of the permit;
(ii) obtaining a permit by misrepresentation, or failure to disclose fully all relevant facts;
(Hi) change in any condition that requires either a temporary or permanent reduction or elimination of the
permitted discharge;
(D) control the disposal of pollutants into wells;
(2) (A) To issue permits which apply, and insure compliance with, all applicable requirements of section 1318 of this
title; or
(B) To inspect monitor, enter, and require reports to at least the same extent as required in section 1318 of this tide;
(3) To insure that the public, and any other State the waters of which may be affected, receive notice of each application
for a permit and to provide an opportunity for public hearing before a ruling on each such application;
(4) To insure that the Administrator receives notice of each application (including a copy thereof) for a permit;
(5) To insure that any State (other than the permitting State), whose waters may be affected by the issuance of a permit
may submit written recommendations to the permitting State (and the Administrator) with respect to any permit
application and, if any part of such written recommendations are not accepted by the permitting State, that the permitting
State will notify such affected State (and the Administrator) in writing of its failure to so accept such recommendations
together with its reasons for so doing;
(6) To insure that no permit will be issued if, in the judgment of the Secretary of the Army acting through the Chief of
Engineers, after consultation with the Secretary of the department in which the Coast Guard is operating, anchorage
and navigation of any of the navigable waters would be substantially impaired thereby;
(7) To abate violations of the permit or the permit program, including civil and criminal penalties and other ways and means
of enforcement
(8) To insure that any permit for a discharge from a publicly owned treatment works includes conditions to require the
identification in terms of character and volume of pollutants of any significant source introducing pollutants subject to
pretreatment standards under section 1317(b) of this title into such works and a program to assure compliance with such
pretreatment standards by each such source, in addition to adequate notice to the permitting agency of (A) new
introductions into such works of pollutants from any source which would be a new source as defined in section 1316
of this title if such source were discharging pollutants, (B) new introductions of pollutants into such works from a source
which would be subject to section 1311 of this title if it were discharging such pollutants, or (C) a substantial change in
volume or character of pollutants being introduced into such works by a source introducing pollutants into such works
at the time of issuance of the permit Such notice shall include information on the quality and quantity of effluent to be
introduced into such treatment works and any anticipated impact of such change in the quantity or quality of effluent
to be discharged from such publicly owned treatment works; and
(9) To insure that any industrial user of any publicly owned treatment works will comply with sections 1284(b), 1317, and
1318 of this title.
(c) Suspension of Federal program upon submission of State program; withdrawal of approval of State program; return of State
program to Administrator
(1) Not later than ninety days after the date on which a State has submitted a program (or revision thereof) pursuant to
subsection (b) of this section, the Administrator shall suspend the issuance of permits under subsection (a) of this
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section as to those discharges subject to such program unless he determines that the State permit program does not
meet the requirements of subsection (b) of this section or does not coriform to the guidelines issued under section
1314(i)(2) of this title. If the Administrator so determines, he shall notify the State of any revisions or modifications
necessary to conform to such requirements or guidelines.
(2) Any State permit program under this section shall at all times be in accordance with this section and guidelines
promulgated pursuant to section 1314(i](2) of this tide.
(3) Whenever the Administrator determines after public hearing that a State is not administering a program approved under
this section in accordance with requirements of this section, he shall so notify the State and, if appropriate corrective
action is not taken within a reasonable time, not to exceed ninety days, the Administrator shall withdraw approval of such
program. The Administrator shall not withdraw approval of any such program unless he shall first have notified the State,
and made public, in writing, the reasons for such withdrawal.
(4) Limitations on partial permit program returns and withdrawals. - A State may return to the Administrator administration,
and the Administrator may withdraw under paragraph (3) of this subsection approval, of -
(A) a State partial permit program approved under subsection (n)(3) of this section only if the entire permit program
being administered by the State department or agency at the time is returned or withdrawn; and
(B) a State partial permit program approved under subsection (n)(4) of this section only if an entire phased
component of the permit program being administered by the State at the time is returned or withdrawn.
(d) Notification of Administrator
(1) Each State shall transmit to the Administrator a copy of each permit application received by such State and provide
notice to the Administrator of every action related to the consideration of such permit application, including each permit
proposed to be issued by such State.
(2) No permit shall issue (A) if the Administrator within ninety days of the date of his notification under subsection (b)(5) of
this section objects in writing to the issuance of such permit, or (B) if the Administrator within ninety days of the date of
transmittal of the proposed permit by the State objects in writing to the issuance of such permit as being outside the
guidelines and requrements of this chapter. Whenever the Administrator objects to the issuance of a permit under this
paragraph such written objection shaQ contain a statement of the reasons for such objection and the effluent limitations
and conditions which such permit would include if it were issued by the Administrator.
(3) The Administrator may, as to any permit application, waive paragraph (2) of this subsection.
(4) In any case where, after December 27,1977, the Administrator, pursuant to paragraph (2) of this subsection, objects
to the issuance of a permit, on request of the State, a public hearing shall be held by the Administrator on such
objection. If the State does not resubmit such permit revised to meet such objection within 30 days after completion of
the hearing, or, if no hearing is requested within 90 days after the date of such objection, the Administrator may issue
the permit pursuant to subsection (a) of this section for such source in accordance with the guidelines and requirements
of this chapter.
(e) Waiver of notification requirement
In accordance with guidelines promulgated pursuant to subsection (i)(2) of section 1314 of this title, the Administrator is
authorized to waive the requirements of subsection (d) of this section at the time he approves a program pursuant to subsection
(b) of this section for any category (including any class, type, or size within such category) of point sources within the State
submitting such program.
(f) Point source categories
The Administrator shall promulgate regulations establishing categories of point sources which he determines shall not be subject
to the requirements of subsection (d) of this section in any State with a program approved pursuant to subsection (b) of this
section. The Administrator may distinguish among classes, types, and sizes within any category of point sources.
(g) Other regulations for safe transportation, handling, carriage, storage, and stowage of pollutants
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Any permit issued under this section for the discharge of pollutants into the navigable waters from a vessel or other floating craft
shall be subject to any applicable regulations promulgated by the Secretary of the department in which the Coast Guard is
operating, establishing specifications for safe transportation, handling, carriage, storage, and stowage of pollutants.
(h) Violation of permit conditions; restriction or prohibition upon introduction of pollutant by source not previously utilizing treatment
works
In the event any condition of a permit for discharges from a treatment works (as defined in section 1292 of this title) which is
publicly owned is violated, a State with a program approved under subsection (b) of this section or the Administrator, where no
State program is approved or where the Administrator determines pursuant to section 1319(a) of this title that a State with an
approved program has not commenced appropriate enforcement action with respect to such permit may proceed in a court
of competent jurisdiction to restrict or prohibit the introduction of any pollutant into such treatment works by a source not utilizing
such treatment works prior to the finding that such condition was violated.
(i) Federal enforcement not limited
Nothing in this section shall be construed to limit the authority of the Administrator to take action pursuant to section 1319 of
this tide.
(j) Public information
A copy of each permit application and each permit issued under this section shall be available to the public. Such permit
application or permit, or portion thereof, shall further be available on request for the purpose of reproduction.
(k) Compliance with permits
Compliance with a permit issued pursuant to this section shall be deemed compliance, for purposes of sections 1319 and 1365
of this title, with sections 1311,1312,1316,1317, and 1343 of this title, except any standard imposed under section 1317 of
this title for a toxic pollutant injurious to human health. Until December 31,1974, in any case where a permit for discharge has
been applied for pursuant to this section, but final administrative disposition of such application has not been made, such
discharge shall not be a violation of (1) section 1311,1316, or 1342 of this title, or (2) section 407 of this titie, unless the
Administrator or other plaintiff proves that final administrative disposition of such application has not been made because of the
failure of the applicant to furnish information reasonably required or requested in order to process the application. For the
180-day period beginning on October 18,1972, in the case of any point source discharging any pollutant or combination of
pollutants immediately prior to such date which source is not subject to section 407 of this titie, the discharge by such source
shall not be a violation of this chapter if such a source applies for a permit for discharge pursuant to this section within such
180-day period.
(I) Limitation on permit requirement
(1) Agricultural return flows
The Administrator shall not require a permit under this section for discharges composed entirely of return flows from
irrigated agriculture, nor shall the Administrator directly or indirectly, require any State to require such a permit
(2) Stormwater runoff from oil, gas, and mining operations
The Administrator shall not require a permit under this section, nor shall the Administrator directly or indirectly require
any State to require a permit for discharges of stormwater runoff from mining operations or oil and gas exploration,
production, processing, or treatment operations or transmission facilities, composed entirely of flows which are from
conveyances or systems of conveyances (including but not limited to pipes, conduits, ditches, and channels) used for
collecting and conveying precipitation runoff and which are not contaminated by contact with, or do not come into
contact with, any overburden, raw material, intermediate products, finished product byproduct or waste products
located on the site of such operations.
(m) Additional pretreatment of conventional pollutants not required
To the extent a treatment works (as defined in section 1292 of this titie) which is publicly owned is not meeting the requirements
of a permit issued under this section for such treatment works as a result of inadequate design or operation of such treatment
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works, the Administrator, in issuing a permit under this section, shall not require pretreatment by a person introducing
conventional poDutants identified pursuant to section 1314(a)(4) of this title into sqch treatment works other than pretreatment
required to assure compliance with pretreatment standards under subsection (b)(8) of this section and section 1317(b)(1) of
this title. Nothing in this subsection shall affect the Administrator's authority under sections 1317 and 1319 of this title, affect
State and local authority under sections 1317(b)(4) and 1370 of this title, relieve such treatment works of its obligations to meet
requirements established under this chapter, or otherwise preclude such works from pursuing whatever feasible options are
available to meet its responsibility to comply with its permit under this section.
(n) Partial permit program
(1) State submission
The Governor of a State may submit under subsection (b) of this section a permit program for a portion of the discharges
into the navigable waters in such State.
(2) Minimum coverage
A partial permit program under this subsection shall cover, at a minimum, administration of a major category of the
discharges into the navigable waters of the State or a major component of the permit program required by subsection
(b) of this section.
(3) Approval of major category partial permit programs
The Administrator may approve a partial permit program covering administration of a major category of discharges
under this subsection if-
(A) such program represents a complete permit program and covers all of the discharges under the jurisdiction of
a department or agency of the State; and
(B) the Administrator determines that the partial program represents a significant and identifiable part of the State
program required by subsection (b) of this section.
(4) Approval of major component partial permit programs
The Administrator may approve under this subsection a partial and phased permit program covering administration of
a major component (including discharge categories) of a State permit program required by subsection (b) of this section
"f-
(A) the Administrator determines that the partial program represents a significant and identifiable part of the State
program required by subsection (b) of this section; and
(B) the State submits, and the Administrator approves, a plan for the State to assume administration by phases of
the remainder of the State program required by subsection (b) of this section by a specified date not more than
5 years after submission of the partial program under this subsection and agrees to make all reasonable efforts
to assume such administration by such date.
(o) Anti-backsliding
(1) General prohibition
In the case of effluent limitations established on the basis of subsection (a)(1)(B) of this section, a permit may not be
renewed, reissued, or modified on the basis of effluent guidelines promulgated under section 1314(b) of this title
subsequent to the original issuance of such permit, to contain effluent limitations which are less stringent than the
comparable effluent limitations in the previous permit In the case of effluent limitations established on the basis of
section 1311 (b)(1)(C) or section 1313(d) or (e) of this title, a permit may not be renewed, reissued, or modified to contain
effluent limitations which are less stringent than the comparable effluent limitations in the previous permit except in
compliance with section 1313(d)(4) of this title.
(2) Exceptions
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A permit with respect b which paragraph (1) applies may be renewed, reissued, or modified to contain a less stringent
effluent limitation applicable to a pollutant if -
(A) material and substantial alterations or additions to the permitted facility occurred after permit issuance which
justify the application of a less stringent effluent limitation;
(B) (i) information is available which was not available at the time of permit issuance (other than revised
regulations, guidance, or test methods) and which would have justified the application of a less stringent
effluent limitation at the time of permit issuance; or
(ii) the Administrator determines that technical mistakes or mistaken interpretations of law were made in
issuing the permit under subsection (a)(1 )(B) of this section;
(C) a less stringent effluent limitation is necessary because of events over which the permittee has no control and
for which there is no reasonably available remedy;
(D) the permittee has received a permit modification under section 1311(c), 1311(g), 1311(h), 1311(i), 1311(k),
1311{n); or 1326(a} of this titie; or
(E) the permittee has installed the treatment facilities required to meet the effluent limitations in the previous permit
and has properly operated and maintained the facilities but has nevertheless been unable to achieve the
previous effluent limitations, in which case the limitations in the reviewed, reissued, or modified permit may
reflect the level of pollutant control actually achieved (but shall not be less stringent than required by effluent
guidelines in effect at the time of permit renewal, reissuance, or modification). Subparagraph (B) shall not apply
to any revised waste load allocations or any alternative grounds for translating water quality standards into
effluent limitations, except where the cumulative effect of such revised allocations results in a decrease in the
amount of pollutants discharged into the concerned waters, and such revised allocations are not the result of
a discharger eliminating or substantially reducing its discharge of pollutants due to complying with the
requirements of this chapter or for reasons otherwise unrelated to water quality.
(3) Limitations
In no event may a permit with respect to which paragraph (1) applies be renewed, reissued, or modified to contain an
effluent limitation which is less stringent than required by effluent guidelines in effect at the time the permit is renewed,
reissued, or modified. In no event may such a permit to discharge into waters be renewed, reissued, or modified to
contain a less stringent effluent limitation if the implementation of such limitation would result in a violation of a water
quality standard under section 1313 of this titie applicable to such waters.
(p) Municipal and industrial stormwater discharges
(1) General rule
Prior to October 1,1994, the Administrator or the State (in the case of a permit program approved under this section)
shall not require a permit under this section for discharges composed entirely of stormwater.
(2) Exceptions
Paragraph (1) shall not apply with respect to the following stormwater discharges:
(A) A discharge with respect to which a permit has been issued under this section before February 4,1987.
(B) A discharge associated with industrial activity.
(C) A discharge from a municipal separate storm sewer system serving a population of 250,000 or more.
(D) A discharge from a municipal separate storm sewer system serving a population of 100,000 or more but less
than 250,000.
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(E) A discharge for which the Administrator or the State, as the case may be, determines that the stormwater
discharge contributes to a violation of a water quality standard or is a significant contributor of pollutants to
waters of the United States.
(3) Permit requirements
(A) Industrial discharges
Permits for discharges associated with industrial activity shall meet all applicable provisions of this section and
section 1311 of this title.
(B) Municipal discharge
Permits for discharges from municipal storm-sewers -
(!) may be issued on a system- or jurisdiction-wide basis;
(ii) shaD include a requirement to effectively prohibit non-stormwater discharges into the storm sewers; and
(iii) shall require controls to reduce the discharge of pollutants to the maximum extent practicable, including
management practices, control techniques and system, design and engineering methods, and such
other provisions as the Administrator or the State determines appropriate for the control of such
pollutants.
(4) Permit application requirements
(A) Industrial and large municipal discharges
Not later than 2 years after February 4,1987, the Administrator shall establish regulations setting forth the permit
application requrements for stormwater discharges described in paragraphs (2)(B) and (2)(C). Applications for
permits for such discharges shall be filed no later than 3 years after February 4,1987. Not later than 4 years
after February 4,1987. the Administrator or the State, as the case may be, shall issue or deny each such permit
Any such permit shaD provide for compliance as expeditiously as practicable, but in no event later than 3 years
after the date of issuance of such permit.
(B) Other municipal discharges
Not later than 4 years after February 4,1987, the Administrator shall establish regulations setting forth the permit
application requirements for stormwater discharges described in paragraph (2)(D). Applications for permits for
such discharges shall be filed no later than 5 years after February 4,1987. Not later than 6 years after February
4,1987, the Administrator or the State, as the case may be, shall issue or deny each such permit Any such
permit shall provide for compliance as expeditiously as practicable, but in no event later than 3 years after the
date of issuance of such permit
(5) Studies
The Administrator, in consultation with the States, shall conduct a study for the purposes of -
(A) identifying those stormwater discharges or classes of stormwater discharges for which permits are not required
pursuant to paragraphs (1) and (2) of this subsection;
(B) determining, to the maximum extent practicable, the nature and extent of pollutants in such discharges; and
(C) establishing procedures and methods to control stormwater discharges to the extent necessary to mitigate
. impacts on water quality. Not later than October 1,1988, the Administrator shall submit to Congress a report on
the results of the study described in subparagraphs (A) and (B). Not later than October 1, 1989, the
Administrator shall submit to Congress a report on the results of the study described in subparagraph (C).
(6) Regulations
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Not later than October 1,1993, the Administrator, in consultation with State and local officials, shall issue regulations (based
on the results of the studies conducted under paragraph (5)) which designate stormwater discharges, other than those
discharges described in paragraph (2), to be regulated to protect water quality and shall establish a comprehensive program
to regulate such designated sources. The program shall, at a minimum, (A) establish priorities, (B) establish requirements for
State stormwater management programs, and (C) establish expeditious deadlines. The program may include performance
standards, guidelines, guidance, and management practices and treatment requirements, as appropriate.
$1362. Definitions (CWA $502)
Except as otherwise specifically provided, when used in this chapter
(1) The term "State water pollution control agency" means the State agency designated by the Governor having responsibility for
enforcing State laws relating to the abatement of pollution.
(2) The term "interstate agency" means an agency of two or more States established by or pursuant to an agreement or compact
approved by the Congress, or any other agency of two or more States, having substantial powers or duties pertaining to the
control of pollution as determined and approved by the Administrator.
(3) The term 'Slate" means a State, the District of Columbia, the Commonwealth of Puerto Rico, the virgin Islands, Guam, American
Samoa, the Commonwealth of the Northern Mariana Islands, and the Trust Territory of the Pacific Islands.
(4) The term "municipality" means a city, town, borough, county, parish, district, association, or other public body created by or
pursuant to State law and having jurisdiction over disposal of sewage, industrial wastes, or other wastes, or an Indian tribe or
an authorized Indian tribal organization, or a designated and approved management agency under section 1288 of this tide.
(5) The term "person" means an individual, corporation, partnership, association, State, municipality, commission, or political
subdivision of a State, or any interstate body.
(6) The term "pollutant" means dredged spoil, solid waste, incinerator residue, sewage, garbage, sewage sludge, munitions,
chemical wastes, biological materials, radioactive materials, heat, wrecked or discarded equipment, rock, sand, cellar dirt and
industrial, municipal, and agricultural waste discharged into water. This term does not mean (A) "sewage from vessels" within
the meaning of section 1322 of this title; or (B) water, gas, or other material which is injected into a well to facilitate production
of oil or gas, or water derived in association with oil or gas production and disposed of in a well, if the well used either to facilitate
production or for disposal purposes is approved by authority of the State in which the well is located, and if such State
determines that such injection or disposal will not result in the degradation of ground or surface water resources.
(7) The term "navigable waters" means the waters of the United States, including the territorial seas.
(8) The term territorial seas' means the belt of the seas measured from the line of ordinary 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 three miles.
(9) The term "contiguous zone" means the entire zone established or to be established by the United States under article 24 of
the Convention of the Territorial Sea and the Contiguous Zone.
(10) The term "ocean" means any portion of the high seas beyond the contiguous zone.
(11) The term "effluent limitation" means any restriction established by a State or the Administrator on quantities, rates, and
concentrations of chemical, physical, biological, and other constituents which are discharged from point sources into navigable
waters, the waters of the contiguous zone, or the ocean, including schedules of compliance.
(12) The term "discharge of a pollutant" and the term "discharge of pollutants" each means (A) any addition of any pollutant to
navigable waters from any point source, (B) any addition of any pollutant to the waters of the contiguous zone or the ocean from
any point source other than a vessel or other floating craft
(13) The term "toxic pollutant" means those pollutants, or combinations of pollutants, including disease-causing agents, which after
discharge and upon exposure, ingestion, inhalation or assimilation into any organism, either directly from the environment or
indrectly by ingestion through food chains, wBI, on the basis of information available to the Administrator, cause death, disease,
Module 1 Appendix: Clean Water Act (Excerpts) - Page 31
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behavioral abnormalities, cancer, genetic mutations, physiological malfunctions (including malfunctions in reproduction) or
physical deformations, in such organisms or their offspring.
(14) The term "point source' means any discernible, confined and discrete conveyance, including but not limited to any pipe, ditch,
channel, tunnel, conduit, weO, discrete fissure, container, rolling stock, concentrated animal feeding operation, or vessel or other
floating craft, from which pollutants are or may be discharged. This term does not include agricultural stormwater discharges
and return flows from irrigated agriculture.
(15) The term "biological monitoring" shaD mean the determination of the effects on aquatic life, including accumulation of pollutants
in tissue, in receiving waters due to the discharge of pollutants (A) by techniques and procedures, including sampling of
organisms representative of appropriate levels of the food chain appropriate to the volume and the physical, chemical, and
biological characteristics of the effluent and (B) at appropriate frequencies and locations.
(16) The term "discharge" when used without qualification includes a discharge of a pollutant, and a discharge of pollutants.
(17) The term "schedule of compliance" means a schedule of remedial measures including an enforceable sequence of actions or
operations leading to compliance with an effluent limitation, other limitation, prohibition, or standard.
' (18) The term "industrial user" means those industries identified in the Standard Industrial Classification Manual, Bureau of the
Budget, 1967, as amended and supplemented, under the category of "Division D - Manufacturing" and such other classes of
significant waste producers as, by regulation, the Administrator deems appropriate.
(19) The term "pollution" means tbe man-made or man-induced alteration of the chemical, physical, biological, and radiological
integrity of water.
(20) The term "medical waste" means isolation wastes; infectious agents; human blood and blood products; pathological wastes;
sharps; body parts; contaminated bedding; surgical wastes and potentially contaminated laboratory wastes; dialysis wastes;
and such additional medical items as the Administrator shall prescribe by regulation.
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Pretreatment Program Regulations: Legal Authority
Pretreatment
Program Regulations
[40 CFR Part 403]
Local Pretreatment Programs
§ 403.8 Requirements of a POTW developed
pretreatment program
§ 403.9 Contents/legal authority of a POTW
pretreatment program
§403.11 POTW pretreatment program
approval procedures
§403.18 Modifications of POTW Pretreatment
Programs
Program Requirements Affecting lUs
§ 403.5 General & specific prohibitions
§ 403.6 Categorical standards
§403.7 Removal credits
§403.13 Variances for fundamentally different
factors
§403.15 Net/Gross calculation
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POTW and IU Requirements
§ 403.12 POTW & IU reporting
requirements
Specific IU Rights
§403.16 Upset provisions
§403.17 Bypass provisions
Miscellaneous Requirements
§ 403.2 Objectives of regulations
§ 403.3 Definitions
§ 403.4 State or local law
§ 403.14 Confidentiality
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Pretreatment Program Regulations: Legal Authority
What Minimum Procedures Make Up
a Pretreatment Program?
[40CFR§403.8(f)(2)]
Industrial Users
-identity, locate, and notify
-receive, sample, and analyze
-survey, investigate, and enforce
Public
-allow participation
-notify of violators
Minimum Pretreatment Program
Procedures, continued
[40 CFR § 403.8(f)(2)]
Additional procedures:
-Funding
-Local limits
-Enforcement Response Plan
-SIU list
Legal Authority, a Must
State law
Local regulations
-Sewer Use Ordinance("SUO")
or
-Rules and Regulations
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Pretreatment Program Regulations: Legal Authority
POTW Legal Authority
[40 CFR § 403.8(f)(1)]
Deny or condition discharges
Require compliance
Control through permit or similar means
Require compliance schedules to comply
Inspect, survey, and monitor
Enforce
Comply with confidentiality requirements
Local Regulations
Sewer Use Ordinance
Rules and Regulations
Prohibitions and Limitations
General/Specific
Categorical Standards
Local Limits
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Pretreatment Program Regulations: Legal Authority
Control Discharges
Deny/condition new or increased
contributions
Issue control mechanisms/compliance
schedules
Require development of slug/spill
control plans
Require pretreatment facilities
Reports & Notices
BMRs/90 day compliance reports
Compliance schedule progress reports
Periodic compliance reports
Notice of potential problems
Notice of limit violations and resampling
Notice of changed conditions/discharge
Notice of hazardous waste discharged
Compliance Monitoring
Right of entry
Right to inspect
Right to sample
Right to require installation of
monitoring/flow measuring equipment
Right to inspect and copy record
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Pretreatment Program Regulations: Legal Authority
Remedies for Noncompliance
(Enforcement)
Non-emergency response
-injunctive relief
- civil/criminal penalties
Emergency response
Other Requirements
» Test procedures
» Signatory
» Record keeping
» Confidentiality
» Annual publishing of IDs in SNC
> Public participation/access to
information
Local Regulations-
Approval Process
Submission to Approval Authority
Public notice
Approval Authority decision
Public access to information
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Pretreatment Program Regulations: Legal Authority
Ancillary Issues
Chamber of Commerce
Big Business
Politics
Attorney familiarity with subject
Special interest groups
Interjurisdictional Issues
A POTW's program accepts discharges
from IDs located outside the Control
Authority's legal jurisdiction.
Municipality With POTW Receiving
Discharge From Another Municipality
CiiyA.
CltyB
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Pretreatment Program Regulations: Legal Authority
Ancillary Issues
Chamber of Commerce
Big Business
Politics
Attorney familiarity with subject
Special interest groups
Interjurisdictional Issues
A POTW's program accepts discharges
from IDs located outside the Control
Authority's legal jurisdiction.
Municipality With POTW Receiving
Discharge From Another Municipality
City A
CltyB
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Pretreatment Program Regulations: Legal Authority
Pretreatment Program Regulations: Legal Authority
General Pretreatment Program Regulations f40 CFR Part 403]
The preamble to the General Pretreatment Regulations explains the purpose of the regulations and how they were developed.
Where regulations have been challenged, regulatory agencies and courts have looked b the preamble (among other sources) for the
intent and interpretation of the regulations. Consequently, State and POTW personnel implementing regulations should review
applicable sections of the preamble b better interpret the regulations. Preambles are published in the Federal Register for most
regulations or regulation amendments.
The General Pretreatment Program Regulations are found in 40 CFR(Code of Federal Regulations), Chapter I, Subchapter N,
Part 403; commonly referred b as 40 CFR Part 403. These regulations are divided inb 18 sections (§), and 7 appendices (three of
which are 'reserved"). These are listed below, along with brief explanations of the contents.
§ 403.1 Purpose and Applicability
Establishes responsibilities for Federal, State and local government industry, and the public.
§ 403.2 Objectives of General Pretreatment Regulations
to prevent the introduction of pollutants inb POTWs which will interfere with the POTWs operation or its
municipal sludge use and/or disposal; pass through the POTW treatment plant; or be incompatible with the
POTW
b improve opportunities b recycle and reclaim municipal and industrial wasbwaters and sludges.
§ 403.3 Definitions
The following are key terms which are defined under this section of the General Pretreatment Regulations. [An
understanding of these terms is important b ensure adequab implementation and enforcement of a pretreatment
program.]
Industrial user (IU)
Inbrference
National pretreatment standard
New source
Pass through
Publicly Owned Treatment Works (POTW)
Significant industrial user (SIU)
State or Local Law
The General Pretreatment Regulations are not meant b affect any Stab or local regulatory requirements as long
as these requirements are not less stringent than the Federal regulations. Stabs with approved NPDES permit
programs are required b develop an approved Slate pretreatment program.
§ 403.5 National Pretreatment Standards: Prohibited Discharges
General and specific prohibited discharge standards that Control Authorities must incorporate inb their pretreatment
programs are provided in this section. The general prohibitions specify that pollutants introduced inb Publicly Owned
Treatment Works (POTWs) by a nondomestic source shall not pass through the POTW or interfere with the operation
or performance of the treatment works. Control Authorities that are required b develop local pretreatment programs
(and other POTWs where interference and pass through are likely b recur) must develop and enforce specific
limitations (local limits) b implement the general prohibitions against interference, pass through, and sludge
contamination. The specific prohibitions specify prevention of the discharge of pollutants that cause any of the
following conditions b occur at the POTW:
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Fire or explosion hazard (including discharges with a closed-cup flashpoint less than 140'F)
Corrosive structural damage (no pH < 5.0 S.U.)
Solid or viscous pollutants in amounts which will cause obstruction to the flow in the POTW resulting in
interference
Any pollutant released in a discharge at a flow rate and/or pollutant concentration causing interference
Heat in amounts causing inhibition of biological activity in the POTW resulting in interference or raising
temperatures at the POTW treatment plant greater than 40'C (104'F)
Petroleum oil, nonbiodegradable cutting oil, or products of mineral oil origin in quantities that will cause pass
through or interference
Pollutants resulting in the presence of toxic gases, vapors, or fumes within the POTW in a quantity that may
cause acute worker health and safety problems
Trucked or hauled wastes, except at discharge locations designated by the POTW.
Amendments to 40 CFR Part 403 on January 14,1987, provided industrial users with an affirmative defense (if
specified conditions are met) for actions brought against it for alleged violations of the general or specific prohibitions
contained in this section regarding interference, pass through, or worker health and safety problems.
§ 403.6 National Pretreatment Standards: Categorical Pretreatment Standards
Development and implementation of categorical pretreatment standards, including compliance deadlines, con-
centration and mass limits, equivalent limits, prohibition of dilution as a substitute for treatment and use of the
combined wastestream formula to determine discharge limitations is discussed in this section.
§ 403.7 Revision of Categorical Pretreatment Standards to Reflect Control Authority Removal of Pollutants
This provision on removal credits provides the criteria and procedures to be used by a Control Authority to grant a
categorical industrial user (CIU) variance from a pollutant limit specified in a categorical pretreatment standard to
reflect removal by the POTW treatment plant of said pollutant
§ 403.8 Control Authority Pretreatment Programs: Development by Control Authority
The'requirements for pretreatment program development by a Control Authority are outlined in this section. Included
are criteria for determining which POTWs must develop pretreatment programs; program approval deadlines;
incorporation of approved programs and compliance schedules in NPDES permits; and program and funding
requirements.
The Control Authority is required to have sufficient legal authority to enforce the approved pretreatment program.
At a minimum, this legal authority shall enable the Control Authority to:
Deny or condition new or increased contributions
Issue significant industrial users individual control mechanisms
Require compliance schedules for the installation of technology
Require self-monitoring and reporting by industrial users
Carry out all inspection, surveillance and monitoring procedures
Obtain remedies for noncompliance.
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TTie Pretreatment Training Course Pretreatment Program Regulations: Legal Authority
It is also stated in this section that all Control Authorities with approved programs, or programs under development
must develop and implement procedures to ensure compliance with the requirements of a pretreatment program.
Such procedures shall enable the Control Authority to:
Identify and locate appropriate industrial users
Identify the character and volume of pollutants being discharged by those industrial users
Notify those industrial users of applicable pretreatment standards and requirements
Receive and analyze reports and notices
Sample and analyze the effluent from industrial users and conduct surveillance activities
Evaluate the need for each significant industrial user to develop a slug/spill plan
Investigate instances of noncompliance and enforce
Comply with public participation requirements (along with this procedure, the regulations define significant
noncompliance).
Under this provision, the Control Authority also must have sufficient resources to implement the regulatory
requirements, develop local limits (or demonstrate that they are not necessary), and develop an Enforcement
Response Plan.
§ 403.9 Control Authority Pretreatment Programs and/or Authorization to Revise Prelreatment Standards: Submission for
Approval
Requrements and procedures for submission and review of Control Authority pretreatment programs are discussed
in this section. Included are discussions of conditional program approval; Approval Authority action; and notification
where submissions are defective.
§ 403.10 Development and Submission of NPDES State Pretreatnient Programs
Requirements and procedures for submission and review of NPDES State pretreatment programs are provided in
this section. Included are discussions of deadlines for approval of State programs; legal authority, procedural and
funding requirements; and contents of program submissions.
§403.11 Approval Procedures for POTW Pretreatment Programs and POTW Granting of Removal Credits
Included in this section are procedures for accepting or denying Control Authority requests for program approval or
for removal credits.
§ 403.12 Reporting Requirements for Control Authorities and Industrial Users
Reports required from industrial users include the following:
Baseline monitoring reports - Required to be submitted to the Control Authority within 180 days of the effective
date of the categorical pretreatment standards. In addition, new source BMR reporting requirements are
discussed.
Compliance schedule ffor meeting categorical pretreatment standards^ progress reports - Required to be
submitted to the Control Authority within 14 days of completion of compliance schedule milestone or due dates.
Report on compliance with categorical pretreatment standard deadline (final compliance report) - Required to
be submitted to the Control Authority within 90 days of the compliance date of the categorical pretreatment
standards.
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Periodic reports on continued compliance - Required to be submitted by categorical and significant
noncategorical industrial users to the Control Authority at least semiannually, usually in June and December
after the compliance date.
Notice of potential problems including slug loadings - Requfred to be submitted by all industrial users
immediately upon identification of discharges including slug loadings that could cause problems to the POTW.
Notice of changed discharge - Required to be submitted to the Control Authority by all industrial users in
advance of any significant change in volume or character of pollutants discharged.
Notice of Violation/Resampling regu'rement- Reguired to be submitted to the Control Authority by an industrial
users within 24 hours of becoming aware of a violation. Resampling must be conducted and the results
submitted to the Control Authority within 30 days.
Notice of Discharge of Hazardous Waste - Required to be submitted to the POTW. EPA, and the State by all
industrial users whose discharge would be considered a hazardous waste, if disposed of in a different manner.
Reports required from POTWs include the following:
Compliance schedule progress reports (for development of pretreatment programs)
Annual reports to Approval Authority
Signatory certification and record keeping and analytical testing requirements for POTW/Control Authorities and
industrial users are also specified in this section.
§403.13 Variances from Categorical Pretreatment Standards for Fundamentally Different Factors
This provision allows an industrial user or any interested person to request a variance from categorical pretreatment
standards based on the factors considered by EPA in developing the applicable category/subcategory being
fundamentally different than factors relating to a specific industrial user.
§403.14 Confidentiality
The confidentiality requirements and prohibitions for EPA, States, and POTWs are covered in this section. This
section expressly states that effluent data is available to the public without restriction.
§ 403.15 Net/Gross Calculation
This provision allows for adjustment of categorical pretreatment standards to reflect the presence of pollutants in the
industrial user's intake water if said water draws from the same body of water as that which the POTW discharges.
§ 403.16 Upset Provision
This provision allows -an upset (which meets the conditions of an upset as specified in this provision) to be an
affirmative defense against an action brought for noncompliance with categorical pretreatment standards. The
industrial user shall have the burden of proof for such a defense.
§ 403.17 Bvoass
Requires industrial users to operate their treatment systems at all times. Defines criteria for allowing a bypass to
occur and notification procedures for both anticipated an unanticipated bypasses.
S 403.18 Modification of POTW Pretreatment Programs
This provision specifies procedures and criteria for 'minor* and 'substantial* modifications to approved POTW
pretreatment programs and incorporation of substantial modifications into the POTWs NPDES permit
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Appendix A: Program Guidance Memorandum
Addresses EPA policy on grants for treatment and control of combined sewer overflows (CSO) and stormwater
discharges.
Appendix B: [Reserved]
Appendix C: (Reserved]
Appendix D: Selected Industrial Subcateoories Considered Dilute for Purposes of the Combined Wastestream Formula
The Appendix D published on January 21,1981, provided a list of industrial subcategories that had been exempted
(pursuant to Paragraph 8 of the NRDC, Inc. et at. vs. Costle Consent Decree) from regulation by categorical pre-
treatment standards. Appendix D was revised on October 9, 1986, to update the list of exempted industrial
categories and to correct previous errors by either adding or removing various subcategories or by changing the
names of some categories or subcategories. Each of the subcategories, as indicated by the Appendix D tide,
contains wastestreams that are classified as dilute for purposes of applying categorical pretreatment standards to
other wastestreams and for using the combined wastestream formula to adjust these standards.
Appendix E: Sampling Procedures
This appendix discusses the composite and grab sampling methods for the collection of influent and effluent samples
at a POTW treatment plant
Appendix F: [Reserved]
Appendix G: Pollutants Eligible for a Removal Credit
This appendix identifies regulated pollutants in 40 CFR Part 503 as well as additional pollutants eligible for a removal
credit
POTW Legal Authority
[Note-unless specified otherwise, for the purposes of this section, Control Authority means an approved POTW pretreatment program.]
Overview
The Control Authority's ability to implement and enforce its pretreatment program is determined by its legal authority. Control
Authorities must have the legal authority to impose and enforce the National categorical pretreatment standards in 40 Code of Federal
Regulations (CFR) Chapter I, Subchapter N, Parts 405-471 and the requirements found in the General Pretreatment Regulations (40
CFR Part 403). Federal regulations do not provide Control Authorities with the legal authority to cany out local pretreatment programs;
Federal regulations [40 CFR § 403.8(f)] merely set forth the legal authority requirements which POTWs seeking to obtain (and maintain)
pretreatment program approval must possess.
Regardless of whether the Control Authority is'a single municipality or a regional sewerage authority composed of several
jurisdictions, its legal authority derives from State law. Most Control Authorities have broad regulatory powers. For example, many
State laws authorize Control Authorities to enforce 'pretreatment requirements" against users discharging wastes to their sewer
systems. This broad legal authority allows the local pretreatment program to be tailored to individual circumstances while, at the same
time, satisfying minimum Federal program requirements. When the Control Authority is a municipality, the basic implementation and
enforcement requirements of its pretreatment program are detailed in a sewer use ordinance. Typically, this ordinance is part of city
or county code. Regional Control Authorities frequently adopt similar provisions in the form of regulations. Likewise, State agencies
implementing a State-wide program under 40 CFR § 403.10(e) set out pretreatment requirements as agency regulations, rather than
as a sewer use ordinance. If State law does not confer adequate authority on the Control Authority to comply with minimum Federal
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requ'rements, the Control Authority must request the State to enact or amend statutory provisions granting such authority [40 CFR §
403.8(f)(1)]. ;
Sewer use ordinances and regulations "implement" the legal authority which State law confers on the Control Authority. The
sewer use ordinance cannot give the Control Authority greater enforcement powers (such as higher penalty authority) than are allowed
under State laws which created or empowered the Control Authority. Therefore, once the ordinance is adopted, it defines the Control
Authority's legal authority. If an industry believes that the Control Authority has acted beyond or contrary to its ordinance when enforcing
against that user, the user may challenge the action in court If, in turn, the reviewing court finds that the Control Authority has indeed
acted beyond its authority or in an arbitrary or capricious manner, the court may prevent or overturn the enforcement action. Thus, the
Control Authority must ensure that its legal authority is both specific and comprehensive, particularly with regard to its enforcement
provisions.
Control Authorities should enact sewer use ordinances which fulfill the legal authority requirements of 40 CFR § 403.8(f)(1).
Although Federal regulations authorize Control Authorities to operate pursuant to legal authority conferred through State statutes, most
statutes are not sufficiently detailed to be 'self-implementing," and the broad grants of regulatory authority which statutes confer to
Control Authorities must be detailed in specific ordinance provisions to be legally enforceable. For example, a State statute which
provides that Control Authorities may enforce pretreatment program requirements through 'Administrative Orders' does not set forth
the specific types of Administrative Orders which a Control Authority may issue to its industrial users, or whether administrative fines
may be assessed through the Administrative Orders. While Control Authorities may also operate pursuant to legal authority provided
by contracts (with industries or with neighboring jurisdictions), or joint powers agreements (with the neighboring jurisdictions), these
sources of legal authority are most effective in multijurisdictional situations (i.e., when a Control Authority must regulate industries
located beyond its territorial jurisdiction).
A review of the sewer use ordinance should be performed to ensure it grants the Control Authority legal authority to implement
the Federal requirements detailed below.
Definitions
Although the Federal pretreatment regulations do not require local sewer use ordinances or regulations to include a "definitions'
section, EPA believes that definitions clarify and strengthen the substantive pretreatment provisions. Furthermore, to the extent that
Control Authorities choose to use terms which are defined in the Federal regulations [40 CFR §§ 403.3 and 403.8(f)(2)(vii)], the
definitions may not be less stringent or less inclusive than EPA's definitions.
Prohibited Discharges
Discharges which cause interference [40 CFR § 403.5(a)(1)]
Discharges which cause pass through [40 CFR § 403.5(a)(1)]
Discharges which violate the specific prohibitions [40 CFR § 403.5(b)(1)-(8)]
Discharges which violate local limits adopted by the Control Authority [40 CFR § 403.5(c) and (d)]
Discharges which use dilution as a partial or complete substitute for adequate treatment to achieve compliance with a
pretreatment standard or requirement [40 CFR § 403.6(d)]
Discharges which violate National categorical pretreatment standards [40 CFR § 403.8(f)(1)(ii)j
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Control Discharges to POTW Treatment Plant and Collection System
Deny or condition new or increased contributions of pollutants or changes in the nature of pollutants to the POTW by
industrial users where such contributions do not meet applicable pretreatment standards and requirements or where such
contributions would cause the Control Authority to violate its National Pollutant Discharge Elimination System (NPDES)
permit [40 CFR§403.8(f)(1)(i)]
Require industrial users to notify the Control Authority in advance of any substantial change in volume or characteristics
of their discharge [40 CFR § 403.120)]
Requre compliance with applicable pretreatment standards (including National categorical pretreatment standards, local
limits, and prohibited discharge standards) and requirements by industrial users [40 § 403.8(f)(1)(ii)]
Control through permit, order, or similar means, (he contribution to the POTW by each industrial user to ensure compliance
with applicable pretreatment standards and requirements. Control significant industrial user discharges through an
individual control mechanism that contains five minimum conditions-(40 CFR § 403.8(f](1)(iii)].
Require Development of Compliance Schedules. Plans, and Reports
Require each industrial user to develop a compliance schedule to install necessary pretreatment technology [40 CFR §
403.8{f){1)(iv)]
Require industrial users to submit to the Control Authority plans to control slug discharges which contain 4 minimum
elements [40 CFR § 403.8(f)(2)(v)]
Requre each industrial user to submit all notices and self-monitoring reports necessary to assess and ensure compliance
with pretreatment standards and requirements, including reports and applicable signatories and certifications required in
40 CFR § 403.12 [40 CFR § 403.8(f)(1)(iv)].
Inspection and Monitoring Procedures
Authority to carry out all inspections, surveillance, and monitoring procedures necessary to determine (independent of
information supplied by industrial users) compliance or noncompliance with applicable pretreatment standards and
requirements at least once a year [40 CFR § 403.8(f)(1)(v)] including:
Right to enter at reasonable times
Right to inspect generally for compliance
Right to take independent samples
Right to require installation of monitoring equipment
Right to inspect and copy records [40 CFR § 403.12(o)(2)]
Require the use of 40 CFR Part 136 methods for self-monitoring and analysis [40 CFR § 403.12(b)(5)(vi), (g)(4), and
(h)J.
Enforcement
Nonemeraencv Response - Authority to seek injunctive relief for noncompliance by industrial users with pretreatment
standards and requirements, and authority to seek or assess civil or criminal penalties in at least the amount of $1,000 a
day for each violation by industrial users of pretreatment standards and requirements [40 CFR 403.8(f)(vi)(A)]
Emergency Response - Authority to immediately and effectively halt or prevent any discharge of pollutants to the POTW
which threatens human health, the environment, or the POTW [40 CFR § 403.8(f)(1)(vi)(B)].
Confidentiality
Authority to ensure that effluent data are made available to the public [40 CFR § 403.8(f)(1)(vii) and 40 CFR § 403.14].
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Assessing Authority to Impose Pretreatment Requirements
The Control Authority should use the following five questions as a basis for its review of the sewer use ordinance:
Are all industrial users discharging b the sewer collection system subject to regulation?
Does the ordinance authorize it to implement program requirements under 40 CFR 403?
Does the ordinance authorize it to enforce local limits to prevent pass through and interference?
Does the ordinance incorporate all enforcement authorities allowable under State law?
Does the ordinance contain any obstacles to effective enforcement?
These questions are discussed in greater detail in the following subsections.
Authority Over All Industrial Users
The Control Authority's sewer use ordinance must be applicable to all nondomestic (industrial) users of the Control Authority.
The 'Scope* or "Applicability* section of the ordinance should specify that all users are subject to regulation. The definitions of "person*
and 'user* should also be reviewed to see whether they encompass all dischargers. For example, definitions of these terms in a
number of ordinances fail to include 'government facilities" (that is, Federal, State, or local government facilities) as part of the regulated
community. Since such governmental entities are subject to the pretreatment program, they must not be excluded from consideration
as regulated dischargers. If the ordinance contains similar exclusions or does not explicitly address all industrial dischargers, the
Control Authority must revise it Many Control Authorities treat wastewater from industrial users located outside their political
boundaries. These "multijurisdictionaP arrangements require special legal/contractual mechanisms to ensure adequate authority to
enforce program requrements. EPA has published guidance to assist Control Authorities in addressing multijurisdictional issues (1994
Multijurisdictional Pretreatment Programs - Guidance Manuat).
Implementation of Federal Program Requirements
The General Pretreatment Regulations establish minimum Federal requirements for industrial users. While these requirements
are Federally enforceable (which means that U.S. Attorneys can enforce them in Federal court), a Control Authority has the primary
responsibility for implementing and enforcing pretreatment requirements. However, the Control Authority will not be able to fulfill its
obligations unless these Federal requrements are specifically applied by its ordinance. In order for the Control Authority to successfully
impose and enforce Federal pretreatment requirements in local courts, its ordinance must either include these requirements verbatim
or incorporate them by reference. The Control Authority should examine its ordinance to determine whether Federal requirements are
satisfied and in which manner they are satisfied. EPA recommends that incorporation by reference be used to require compliance with
categorical pretreatment standards since reiteration of these standards could be cumbersome. Of course, the Control Authority should
make sure that it follows proper State legal procedure when it incorporates Federal requirements by reference.
Generally, a proper incorporation by reference includes specific language evidencing the intent to incorporate the standards and
includes a citation to where the standards are found (i.e., 'the National categorical pretreatment standards, located in 40 CFR Chapter
I, Subchapter N, Parts 405-471, are hereby incorporated"). However, State law may contain additional content and format requirements
with which the Control Authority must comply.
The Control Authority should be aware that incorporation of future (as yet unpromulgated) Federal rules is usually considered
invalid by reviewing courts. Generally, only regulations which are in existence on the date that the ordinance is adopted may be
incorporated into the ordinance. For instance, an ordinance provision adopted in 1983, incorporating the Federal categorical pre-
treatment standards and requirements, will only effectively incorporate Federal regulations promulgated as of 1983. Therefore, the
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77?e Pretreatment Training Course Pretreatment Program Regulations: Legal Authority
Control Authority must periodically reincorporate new or revised Federal regulations in order to ensure its own authority to impose and
enforce these requirements against local industrial users. It is recommended that the Control Authority evaluate the need to
reincorporate Federal and State requirements within 6 to 9 months of the effective date of new or revised categorical standards or
revisions to the General Pretreatment Regulations.
Local Limits
In addition to including Federal requirements, the Control Authority should examine its ordinance to make sure that it clearly
authorizes enforcement of more stringent discharge requirements (local limits) adopted to prevent pass through and interference. Local
Emits become Federal pretreatment standards if properly adopted pursuant to 40 CFR § 403.5. These limits may be narrative discharge
prohibitions, a set of pollutant-specific numeric limits, or a combination of both. EPA has published guidance to assist Control Authorities
in establishing local limits (1987 Guidance Manual for the Development and Implementation of Local Discharge Limitations).
Identifying Obstacles To Enforcement
The Control Authority must be confident that its choice and implementation of enforcement responses are free from procedural
obstacles which could delay their swift and effective use. The Control Authority should, therefore, closely scrutinize its sewer use
ordinance to identify and eliminate requrements which restrict the selection and use of particular enforcement responses. In reviewing
sewer use ordinances nationwide, EPA has identified numerous procedural obstacles to enforcement common to local programs. Too
often, ordinances vest enforcement authority in a single public official, such as the Mayor or the Director of Utilities, which results in
extensive delays in initiating enforcement actions. While city officials should be informed of enforcement activities, experience has
shown that enforcement is most expeditious if it is taken by officials who fully understand the pretreatment program's goals and
requirements. Therefore, it is suggested that the Control Authority make sure that its sewer use ordinance assigns enforcement
authority to the *POTW Superintendent or his/her designee.' In turn, the Superintendent should delegate the use of particular
enforcement responses as appropriate.
Another common obstacle is defining the use of particular enforcement responses in too narrow a manner. For example, the
ordinance should not require the use of a Notice of Violation (NOV) prior to initiation of a more stringent response. The Control Authority
must be free to use whatever action it deems appropriate as an initial action. Similarly, it should not establish a show cause hearing
as a precondition to the issuance of an Administrative Order. The Control Authority must be able to respond to emergency situations
quickly and be authorized to issue a cease and desist order or to seek a court order without delaying to schedule a hearing for the
industrial user. However, the Control Authority may build in an 'appeals process* after the immediate danger has passed.
Other common obstacles include making the maximum duration of a compliance schedule so brief (e.g., no more than 10 days)
that it is an unrealistic mechanism for effecting remedial action. The ordinance should not specify an automatic grace period between
identification of the violation and issuance of the enforcement response (that is, language such as the following: 'if the violation is not
corrected within 15 days of being notified of the noncompliance by the Control Authority, the Control Authority may seek appropriate
legal action*). Any violation by the industrial user should trigger immediate liability, and each day that a violation continues must count
as a separate instance of noncompliance.
Sometimes a sewer use ordinance is written so that it restricts the Control Authority's access to information about the industrial
user. For instance, it may limit the right of entry and inspection to only the pretreatment facility or monitoring areas. Control Authority
personnel need access to all areas which are potentially relevant to the wastewater discharge, including areas where chemicals and
raw materials are stored. Consequently, the sewer use ordinance (and discharge permit) should specify that original or duplicate
monitoring records be kept by the industry and that the Control Authority may examine and copy those records.
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Pretreatment Program Regulations: Legal Authority - The Pretreatment Training Course
A final obstacle commonly encountered involves provisions which operate b undermine the program or which are contrary to
Federal or State law. Some examples are:
Incorrectly designating analytical procedures to be conducted in accordance with Standard Methods, rather than 40 CFR
Part 136 or equivalent method approved by EPA.
Authorizing special agreements (hat waive ordinance (pretreatment) requirements. For example, this waiver should not
be available for Federal standards and requirements or any local limits or other requirements designed to protect the
POTW and its receiving stream from pass through or interference. Any waiver provision must also be in accordance with
explicit procedures outlined in the ordinance.
Failing to require significant industrial users to immediately report any noncompliance and repeat sampling for those
parameters found to be in violation as required in 40 CFR § 403.12(g).
Failing to specify authorized signatures for reports and applications submitted by industrial users. This omission may allow
someone without proper authority to respond on behalf of the company and submit permit applications and reports to the
Control Authority. The industry would then be allowed to disavow responsibility for violations or misrepresentations in these
documents.
Failing to require a certification statement as contained in 40 CFR 403.6(a)(2)(ii) for compliance reports submitted by
industrial users.
Authorizing enforcement actions for "willful" and "negligent" violations only (all violations must be actionable; under Federal
law, "knowing" and/or "negligent" violations are criminal offenses).
Excusing or absolving any noncompliance (e.g., accidental spills) from enforcement or limiting the enforcement response
to a recovery of actual damages.
The Control Authority should identify any obstacles to enforcement which it uncovers while evaluating its ordinance. It should
then eliminate these obstacles by adding, redrafting, or deleting ordinance provisions.
POTW Program Approval
Federal regulations at 40 CFR § 403.9 outline procedures for a POTW to obtain approval of their pretreatment program. A POTW
requesting approval must submit a POTW pretreatment program to the Approval Authority for review and comment Contents of the
submission must include:
a statement from the City Solicitor (or the Eke) that the POTW has adequate authority to carry out the program requirements
described in 40 CFR §403.8
a copy of statutes, ordinances, regulations, agreements, or other authorities the POTW relies upon to administer the
pretreatment program and a statement from the local board/body responsible for supervising and/or funding the POTW
pretreatment program is approved
a description of the program organization
a description of funding levels and manpower available.
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The Pretreatment Training Course Pretreatment Program Regulations: Legal Authority
Upon receipt, the Approval Authority had 60 days to make a preliminary determination of whether the submission meets the
requirements of 40 CFR § 403.9. Based on the Approval Authority review, the POTW may have b revise its submission, or the
Approval Authority may commence the public notice process and (after addressing any comments) formally approve the program.
Module 2 Narrative - Page 11
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BUREAU
OF
WATER QUALITY
MUNCIE'S
"WATER POLLUTION CONTROL PROGRAM"
INDUSTRIAL
PRETREATMENT ORDINANCE
1995
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BUREAU OF WATER QUALITY
* LOCAL WATER POLLUTION CONTROL '
5150 W. KILGORE AVE.
MUNCIE , INDIANA, USA 47304-4797
WE HAVE ONLY ONE EARTH "
" LET'S ALL WORK FOR ITS PROTECTION *
JOHN M. CRADDOCK
DIRECTOR
TEL.(317)747-4896 FAX.(317)747-4723
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INDUSTRIAL PRETREATMENT
ORDINANCE
1995
INSPECTION / ANALYSES / PERMITTING
MONITORING / REPORTING / ENFORCEMENT
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WE HAVE ONLY ONE EARTH"
"^ BUREAU OF WATER QUALITY
"LET'S ALL WORK
FOR ITS PROTECTION"
Muncie, Indiana
MUNCIE SANITARY DISTRICT
5150 W. KILGORE AVENUE
MUNCIE, INDIANA 47304-4797
TEL. (317) 747-4896
FAX. (317) 747-4723
INDUSTRIAL PRETREATMENT ORDINANCE
1995
The first local ordinance in Muncie, Indiana controlling the introduction of industrial
wastewater to the POTW, was passed in 1958. The original 1958 ordinance was very general
and only several pages in length. The Bureau of Water Quality was created on March 10, 1972
as a testing and enforcement agency, on the local level, that included, as part of it's
responsibility, the control of industrial wastewater being discharged to the Muncie, Indiana
POTW. The Bureau, in 1972 started holding, "Show Cause" hearings, requiring industrial
pretreatment to be installed, making it one of the older, active, ongoing local programs in the
USA. The Bureau, completely rewrote and updated, the pretreatment ordinance in 1976 and
again in 1980. The 1980 update, contained many of the provisions that ended up in the
Pretreatment Implementation Review Task Force (PIRT) revisions of October 1988, and the
Domestic Sewage Study (DSS) rule of July 1990. Because of this, the ordinance was able to
stand for fourteen years without change. The latest revision and update during 1993 and 1994
has fine tuned this ordinance, and incorporated the latest State and Federal legal requirements.
These requirements are needed, necessary and required, to continue to carry out the provisions of
40 CFR 403 of the Clean Water Act, to protect our receiving stream, which is the west fork of
I
the White River, for future generations to use and enjoy.
lonn M. Craddock
Director
Bureau of Water Quality
'LOCAL WATER POLLUTION CONTROL"
AN EQUAL OPPORTUNITY EMPLOYER
Printed on recycled paper
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"WE HAVE ONLY ONE EARTH"
^ BUREAU OF WATER QUALITY
"LET'S ALL WORK
FOR ITS PROTECTION '
MUNCIE SANITARY DISTRICT
5150 W. KILGORE AVENUE
MUNCIE, INDIANA 47304-4797
TEL. (317)747-4896
FAX. (317) 747-4723
INDUSTRIAL PRETREATMENT ORDINANCE
Chapter 53
Table of Contents
Section
53.01 General Provisions
1.1 Purpose and Policy
.1.2 Administration
1.3 Definitions
1.4 Abbreviations
Page
1
2
3
9
53.02 General Sewer User Requirements
2.1 Prohibited Discharge Standards
2.2 Federal Categorical Pretreatment Standards
2.3 State Requirements
2.4 Specific Pollutant Limitations
2.5 Sanitary District Right of Revision
2.6 Special Agreement
2.7 Dilution
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11
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11
12
12
13
53.03 Pretreatment of Wastewater
3.1 Pretreatment Facilities
3.2 Accidental Discharge/Slug Control Plan
3.3 Tenant Responsibility
3.4 Hauled Wastewater
3.5 Underground Storage Tank Wastewater
3.6 Vandalism
13
13
14
14
14
15
15
"LOCAL WATER POLLUTION CONTROL"
-\ =G'J£L OPPORTUNITY EMPLOYER
Printed on recycled paper
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Section ; Page
53.04 Wastewater Discharge Permit Eligibility 15
4.1 Wastewater Survey 15
4.2 Wastewater Discharge Permit Requirement 15
4.3 Wastewater Discharge Permitting Existing Connections 16
4.4 Wastewater Discharge Permitting New Connections 16
4.5 Wastewater Discharge Permitting Extra Jurisdictional
Industrial Users 16
4.6 Wastewater Discharge Permit Application Contents 16
4.7 Application Signatories and Certification . 17
4.8 Wastewater Discharge Permit Decisions 18
53.05 Wastewater Discharge Permit Issuance Process 18
5.1 Wastewater Discharge Permit Duration 18
5.2 Wastewater Discharge Permit Contents 18
5.3 Wastewater Discharge Permit Appeals 20
5.4 Wastewater Discharge Permit Modification 20
5.5 Wastewater Discharge Permit Transfer 21
5.6 Wastewater Discharge Permit Revocation 21
5.7 Wastewater Discharge Permit Reissuance 22
53.06 Reporting Requirements 22
6.1 Baseline Monitoring Reports 22
6.2 Compliance Schedule Progress Report 24
6.3 Report on Compliance with Categorical Pretreatment v
Standard Deadline 24
6.4 Periodic Compliance Reports 25
6.5 Report of Changed Conditions 25
6.6 Reports of Potential Problems 26
6.7 Reports from Nonsignificant Industrial Users 27
6.8 Notice of Violation/Repeat Sampling and Reporting 27
6.9 Notification of the Discharge of Hazardous Waste 27
6.10 Analytical Requirements 28
6.11 Sample Collection 28
6.12 Determination ofNoncompliance 29
6.13 Timing 29
6.14 Record Keeping 29
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Section Page
53.07 Compliance Monitoring 29
7.1 Inspection and Sampling 29
7.2 Search Warrants 30
53.08 Confidential Information 31
53.09 Publication of Industrial Users In Significant Noncompliance 31
53.10 Administrative Enforcement Remedies 32
10.1 Enforcement Response Guide (ERG) 32
10.2 Notification of Violation 33
10.3 Consent Orders 33
10.4 Show Cause Hearing 33
10.5 Compliance Orders 34
10.6 Cease and Desist Orders 34
10.7 Administrative Fines 35
10.8 Emergency Suspensions 35
10.9 Termination of Discharge 36
10.10 Appeals 36
53.11 Judicial Enforcement Remedies 37
11.1 Injunctive Relief 37
11.2 Civil Penalties 37
11.3 Remedies Nonexclusive 38
53.12 Supplemental Enforcement Action 38
12.1 Liability Insurance 38
53.13 Affirmative Defenses To Discharge Violations - 38
13.1 Upset 38
13.2 General/Specific Prohibitions 39
13.3 Bypass 40
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Section Page
53.14 Metered/Estimated Wastewater Volume 41
14.1 Metered Water Supply 41
14.2 Metered Wastewater Volume and Metered Diversions 41
14.3 Estimated Wastewater Volume 41
53.15 Surcharge Costs 42
53.16 Miscellaneous Provisions 43
16.1 Damage to Facilities . 43
16.2 Severability 43
16.3 Conflicts 43
53.17 Effective Date 43
Addendums
Environmental Protection Agency Approval letter -- March 3, 1994
Indiana Departmental of Environmental Management Approval letter - March 21, 1994
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BUREAU OF WATER QUALITY
INDUSTRIAL PRETREATMENT ORDINANCE
Chapter 53
Section
53.01 General Provisions
53.02 General Sewer User Requirements
53.03 Pretreatment of Wastewater
53.04 Wastewater Discharge Permit Eligibility
53.05 Wastewater Discharge Permit Issuance Process
53.06 Reporting Requirements
53.07 Compliance Monitoring
53.08 Confidential Information
53.09 Publication of Industrial User in Significant Noncompliance
53.10 Administrative Enforcement Remedies
53.11 Judicial Enforcement Remedies
53.12 Supplemental Effluent Action
53.13 Affirmative Defense to Discharge Violations
53.14 Metered/Estimated Wastewater Volume
53.15 Surcharge Cost
53.16 Miscellaneous Provisions
53.17 Effective date
53.01 - GENERAL PROVISIONS
1.1 Purpose and Policy
This ordinance sets forth uniform requirements for users of the wastewater
collection system and the Publicly Owned Treatment Works (POTW) for the Muncie
Sanitary District, of Muncie Indiana and to comply with all applicable State and Federal
laws including the Clean Water Act (33 U.S.C. 1251 et seq.). and the General
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Pretreatment Regulations (40 CFR Part 403). The objectives of this ordinance are:
A. To prevent the introduction of pollutants into the POTW that will interfere
with the operation of the POTW;
B. To prevent the introduction of pollutants into the POTW which will pass
through the POTW, inadequately treated, into receiving waters or
otherwise be incompatible with the POTW;
C. To ensure that the quality of the wastewater treatment plant sludge is
maintained at a level which allows its use and disposal in compliance with
applicable statutes and regulations;
D. To protect POTW personnel who may be affected by wastewater and
sludge in the course of their employment and to protect the general public;
E. To improve the opportunity to recycle and reclaim wastewater and sludge
from the POTW;
F. To provide for fees for excess strength of wastewater discharged to the
Muncie POTW.
G. To enable the Muncie Sanitary District to comply with its NPDES permit
conditions, sludge use and disposal requirements and any other Federal or
State laws to which the POTW is subject.
This ordinance shall apply to all industrial and/or any significant users of the Muncie,
Indiana POTW. The ordinance authorizes the issuance of wastewater discharge permits;
authorizes monitoring, compliance and enforcement activities; establishes administrative review
and enforcement procedures, requires industrial user reporting, and provides for fees for excess
strength of waste discharged to the POTW.
1.2 Administration
Except as otherwise provided herein, the Director of the Bureau of Water Quality,
Muncie Sanitary District shall administer, implement and enforce the provisions of this
ordinance. Any powers granted to or duties imposed upon the Director may be delegated by the
Director to other Bureau personnel.
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1.3 Definitions
Unless a provision explicitly states otherwise, the following terms and phrases, as used in
this ordinance, shall have the meanings hereinafter designated.
A. Act or "the Act". The Federal Water Pollution Control act, also known as the
Clean Water Act, as amended, 33 U.S.C. 1251 et seq.
B. Approval Authority. The State of Indiana and/or US EPA, Region V.
C. Authorized Representative of the Industrial User.
1. If the industrial user is a corporation, authorized representative shall mean:
a. the president, secretary, treasurer, or a vice-president of the
corporation in charge of a principal business function, or any other
person who performs similar policy or decision-making functions
for the corporation;
b. the manager of one or more manufacturing, production, or
operation facilities employing more than 250 persons or having
gross annual sales or expenditures exceeding $25 million (in
second-quarter 1980 dollars), if authority to sign documents has
been assigned or delegated to the manager in accordance with
corporate procedures;
2. If the industrial user is a partnership, or sole proprietorship, an authorized
representative shall mean a general partner or proprietor, respectively;
3. If the industrial user is a Federal, State or local governmental facility, an
authorized representative shall mean a director or highest official
appointed or designated to oversee the operation and performance of the
activities of the government facility, or his/her designee;
4. The individuals described in paragraphs 1-3 above may designate another
authorized representative if the authorization is in writing, the
authorization specifies the individual or position responsible for the
overall operation of the facility from which the discharge originates or
having overall responsibility for environmental matters for the company,
and the written authorization is submitted to the Director of the Bureau of
Water Quality.
D. Biochemical Oxygen Demand (BOD). The quantity of oxygen utilized in the
biochemical oxidation of organic matter under standard laboratory procedure, five
(5) "days at 20° centigrade expressed in terms of mass and concentration (mg/1).
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E. Board oFSanitary Commissioners. The Board of Sanitary Commissioners of the
Muncie Sanitary District.
F. Bureau; The Bureau of Water Quality of the Muncie Sanitary District.
G. Categorical Pretreatment Standard or Categorical Standard. Any regulation
containing pollutant discharge limits promulgated by the U.S. EPA in accordance
with Sections 307 (b) and (c) of the Act (33 U.S.C. 1317) which apply to a
specific category of industrial users and which appear in 40 CFR Chapter I.,
Subchapter N, Parts 405-471.
H. Color. The optical density at the visual wave length of maximum absorption,
relative to distilled water. One hundred percent (100%) transmittance is
equivalent to zero (0.0) optical density.
I. Composite Sample. The sample resulting from the combination of individual
wastewater samples taken at selected intervals based on an increment of either
flow or time.
J. Director. The person hired by the Board of Sanitary Commissioners to supervise
the operation of the Bureau of Water Quality, and who is charged with certain
duties and responsibilities by this ordinance or his duly authorized representative.
K. Environmental Protection Agency or EPA. The U.S. Environmental Protection
Agency or, where appropriate, the term may also be used as a designation for the
Regional Water Management Division Director or other duly authorized official
of said agency.
L. Existing Source. Any source of discharge, the construction or operation of which
commenced prior to the publication of proposed categorical pretreatment
standards which will be applicable to such source if the standard is thereafter
promulgated in accordance with Section 307 of the Act.
M. Grab Sample. A sample which is taken from a waste stream on a one-time basis
without regard to the flow in the waste stream and without consideration of time.
N. Indirect Discharge or Discharge. The introduction of (nondomestic) pollutants
into the POTW from any nondomestic source regulated under Section 307(b), (c)
or (d) of the Act.
O. Industrial User or User. A source of indirect discharge.
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P. Maximum Allowable Discharge Limit. The maximum concentration (or loading)
of a pollutant allowed to be discharged at any time, determined from the analysis
of any discrete or composited sample collected, independent of the industrial flow
rate and the duration of the sampling event.
Q. Interference. A discharge which alone or in conjunction with a discharge or
discharges from other sources: 1) inhibits or disrupts the POTW, its treatment
processes or operations or its sludge processes, use or disposal; and 2) therefore
is a cause of a violation of the Muncie Sanitary District's NPDES permit or of the
prevention of sewage sludge use or disposal in compliance with any of the
following statutory/regulatory provisions or permits issued thereunder (or more
stringent state or local regulations): Section 405 of the Clean Water Act; the
Solid Waste Disposal Act (SWDA), including Title II commonly referred to as
the Resource Conservation and Recovery Act (RCRA); any State regulations
contained in any State sludge management plan prepared pursuant to Subtitle D of
the SWDA; the Clean Air Act; the Toxic Substances Control Act; and the Marine
Protection, Research and Sanctuaries Act.
R. Monthly Average. 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.
S. New Source.
(1) Any building, structure, facility or installation from which there is or may
be a discharge of pollutants, the construction of which commenced after
the publication of proposed pretreatment standards under Section 307 (c)
of the Act which will be applicable to such source if such standards are
thereafter promulgated in accordance with that section, provided that:
(a) The building, structure, facility or installation is constructed at a
site at which no other source is located; or
(b) The building, structure, facility or installation totally replaces the
process or production equipment that causes the discharge of
pollutants at an existing source; or
(c) The production or wastewater generating processes of the building,
structure, facility or installation are substantially independent of an
existing source at the same site. In determining whether these are
substantially independent, factors such as the extent to which the
new facility if integrated with the existing plant, and the extent to
which the new facility is engaged in the same general type of
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* activity as the existing source, should be considered.
(2) Construction on a site at which an existing source is located results in a
modification rather than a new source if the construction does not create a
new building, structure, facility or installation meeting the criteria of
Section (1) (b) or (c) above but otherwise alters, replaces, or adds to
existing process or production equipment.
(3) Construction of a new source as defined under this paragraph has
commenced if the owner or operator has:
(a) Begun, or caused to begin as part of a continuous onsite
construction program
(I) Any placement, assembly, installation of facilities or
equipment, or
(ii) Significant site preparation work including clearing,
excavation, or removal of existing buildings, structures, or
facilities which is necessary for the placement, assembly,
or installation of new source facilities or equipmenf; or
(b) Entered into a binding contractual obligation for the purchase of
facilities or equipment which are intended to be used in its
operation within a reasonable time. Options to purchase or
contracts which can be terminated or modified without substantial
loss, and contracts for feasibility, engineering, and design studies
do not constitute a contractual obligation under this paragraph.
T. Noncontact Cooling Water. Water used for cooling which does not come into
direct contact with any raw material intermediate product, waste product, or
finished product.
U. Pass Through. A discharge which exits the POTW into waters of the U.S. in
quantities or concentrations which, alone or in conjunction with a discharge or
discharges from other sources, is a cause of a violation of any requirements of the
Muncie Sanitary District's NPDES permit (including an increase in the magnitude
or duration of a violation).
V. Person. Any individual, partnership, copartnership, firm, company, corporation,
association, joint stock company, trust, estate, governmental entity or any other
legal entity, or their legal representatives, agents or assigns. This definition
includes all Federal, State or local governmental entities.
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VV. pH. A'measure of the acidity or alkalinity of a substance, expressed in standard
units. :
X. Pollutant. Any dredged spoil, solid waste, incinerator residue, sewage, garbage,
sewage sludge, munitions, medical wastes, chemical wastes, industrial wastes,
biological materials, radioactive materials, heat, wrecked or discharged
equipment, rock, sand, cellar dirt, agricultural and industrial wastes, and the
characteristics of the wastewater (i.e., pH,. temperature, TSS, turbidity, color,,
BOD, COD, toxicity, odor).
Y. Pretreatment. The reduction of the amount of pollutants, the elimination of
pollutants, or the alteration of the nature of pollutant properties in wastewater
prior to or in lieu of introducing such pollutants into the POTW. This reduction
or alteration can be obtained by physical, chemical or biological processes, by
process changes, or by other means, except by diluting the concentration of the
pollutants unless allowed by an applicable pretreatment standard.
AA. Pretreatment Requirements. Any substantive or procedural requirement related to
pretreatment imposed on an industrial user, other than a pretreatment standard.
BB. Pretreatment Standards or Standards. Pretreatment standards shall mean
prohibitive discharge standards, categorical pretreatment standards, and local
limits.
CC. Prohibited Discharge Standards or Prohibited Discharges. Absolute prohibitions
against the discharge of certain substances; these prohibitions appear in Section
2.1 of this ordinance.
DD. Publicly Owned Treatment Works or POTW. A "treatment works" as defined by
Section 212 of the Act (33 U.S.C. 1292), which is owned by the State or
municipality or Sanitary District. This definition includes any devices or systems
used in the collection, storage, treatment, recycling and reclamation of sewage or
industrial wastes and any conveyances which convey wastewater to a treatment
plant. The term also means the municipal entity having jurisdiction over the
industrial users and responsibility for the operation and maintenance of the
treatment works.
EE. Sanitary District. The Muncie Sanitary District of Muncie, Indiana.
FF. Septic Tank Waste. Any sewage from holding tanks such as vessels, chemical
toilets, campers, trailers, and septic tanks.
GG. Sewage. Human excrement and gray water (household showers, dishwashing
operations, etc.)
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HH. Significant Industrial User. Shall apply to: a) industrial users subject to
categorical pretreatment standards; and b) any other industrial user that I)
discharges an average of 25,000 gpd or more of process wastewater, ii)
contributes a process wastestream which makes up 5 percent or more of the
average dry weather hydraulic or organic capacity of the treatment plant or, iii) is
designated as significant by the Bureau on the basis that the industrial user has a
reasonable potential for adversely affecting the POTW's operation or for violating
any pretreatment standard or requirement.
II. Slug Load. Any discharge at a flow rate or concentration which could cause a
violation of the prohibited discharge standards in Section 2.1 of this ordinance or
any discharge of a non-routine, episodic nature, including but not limited to, an
accidental spill or a non-customary batch discharge.
JJ. Standard Industrial Classification CSIO Code. A classification pursuant to the
Standard Industrial Classification Manual issued by the U.S. Office of
Management and Budget.
KK. Storm Water. Any flow occurring during or following any form of natural
precipitation, and resulting therefrom, including snowmelt.
LL. Superintendent. The person hired by the Board of Sanitary Commissioners to
supervise the operation of the POTW.
MM. Suspended Solids. The total suspended matter that floats on the surface of, or is
suspended in, water, wastewater, or other liquid, and which is removable by
laboratory filtering.
NN. Toxic Pollutant. One of 126 pollutants, or combination of those pollutants, listed
as toxic in regulations promulgated by the EPA under the provision of Section
307 (33 U.S.C. 1317) of the Act.
OO. Treatment Plant Effluent. Any discharge of pollutants from the Muncie POTW
into waters of the State of Indiana.
PP. Wastewater. Liquid and water-carried industrial wastes, and sewage from
residential dwellings, commercial buildings, industrial and manufacturing
facilities, and institutions, whether treated or untreated, which are contributed to
the POTW.
QQ. Wastewater Treatment Plant or Treatment Plant. That portion of the POTW
designed to provide treatment of sewage and industrial waste.
Shall is mandatory; may is permissive or discretionary. The use of the singular shall be
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construed to include tne plural and the plural shall include the singular as indicated by the
context of its use.
1.4 Abbreviations
The following abbreviations shall have the designated meanings:
BOD - Biochemical Oxygen Demand
CFR - Code of Federal Regulations
COD - Chemical Oxygen Demand
EPA - U.S. Environmental Protection Agency
ERG - Enforcement Response Guide
i - Liter
mg - Milligrams
mg/1 - Milligrams per liter
NPDES- National Pollutant Discharge Elimination System
O&M - Operation and Maintenance
POTW - Publicly Owned Treatment Works
RCRA - Resource Conservation and Recovery Act
SIC - Standard Industrial Classifications
SWDA - Solid Waste Disposal Act (42 U.S.C. 67901, et seq.)
TSS - Total Suspended Solids
USC - United States Code
53.02 - GENERAL SEWER USE REQUIREMENTS
2.1 Prohibited Discharge Standards
No industrial user shall introduce or cause to be introduced into the POTW any pollutant
or wastewater which causes pass through or interference. These general prohibitions apply to all
industrial users of the POTW whether or not they are subject to categorical pretreatment
standards or any other National, State or local pretreatment standards or requirement.
Furthermore, no industrial user may contribute the following substances to the POTW:
A. Pollutants which create a fire or explosive hazard in the municipal wastewater
collection and POTW, including, but not limited to, wastestreams with a closed-
cup flashpoint of less than 140°F (60°C) using the test methods specified in 40
CFR 261.21.
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B. Any wastewater having a pH less than 5.0 or more than 10.0, unless authorized by
the Director, or otherwise causing corrosive structural damage to the POTW or
equipment, or endangering Sanitary District personnel. No wastewater having a
pH of less than 5.0 shall be authorized and no wastewater having a pH of more
than 12.5 shall be authorized, since this would be considered a hazardous waste
under Section 40 CFR 261.22 of the Act.
C. Solid or viscous substances in amounts which will cause obstruction of the flow
in the POTW resulting in interference.
D. Any wastewater containing pollutants, including oxygen demanding pollutants
(BOD, etc.), released in a discharge at a flow rate and/or pollutant concentration
which, either singly or by interaction with other pollutants, will cause interference
with either the POTW; or any wastewater treatment or sludge process, or which
will constitute a hazard to humans or animals.
E. Any wastewater having a temperature greater than 150°F (65.5"C), or which will
inhibit biological activity in the treatment plant resulting in interference, but in no
case wastewater which causes the temperature at the introduction into the
treatment plant to exceed 104°F (40°C).
F. Petroleum oil, nonbiodegradable cutting oil, or products of mineral oil origin, in
amounts that will cause interference or pass through.
G. Any pollutants which results in the presence of toxic gases, vapors or fumes
within the POTW in a quantity that may cause acute worker health and safety
problems.
H. Any trucked or hauled pollutants, except at discharge points designated by the
Bureau in accordance with Section 3.4.
I. Any noxious or malodorous liquids, gases, solids, or other wastewater which,
either singly or by interaction with other wastes, are sufficient to create a public
nuisance, a hazard to life, or to prevent entry into the sewers for maintenance and
repair.
J. Any wastewater which imparts color which cannot be removed by the treatment
process, such as, but not limited to, dye wastes and vegetable tanning solutions,
which consequently imparts color to the treatment plant's effluent thereby
violating the Muncie Sanitary District's NPDES permit. Color (in combination
with turbidity) shall not cause the treatment plant effluent to reduce the depth of
the compensation point for photosynthetic activity by more than 10 percent from
the seasonably established norm for aquatic life.
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K. Any wastewater containing any radioactive wastes or isotopes except as
specifically approved by the Director in compliance with applicable State or
FederaJ regulations.
L. Subsurface drainage, condensate, deionized water, noncontact cooling water, and
unpolluted industrial wastewater, unless specifically authorized by the Director.
M. Any sludges, or other residues from the pretreatment of industrial wastes.
N. Any wastewater causing the treatment plant's effluent to fail a toxicity test.
O. Any wastes containing detergents, surface active agents, or other substances
which may cause excessive foaming in the POTW.
P. Obstruction of flow in a sewer system or injury of the system, or a nuisance or
prevention of the effective maintenance or operation of the sewer system.
Q. Any discharge of fats, oils, or greases of animal or vegetable origin is limited to
200 mg/1.
Wastes prohibited by this section shall not be processed or stored in such a manner that
they could be discharged to the POTW. All floor drains located in process or materials storage
areas must discharge to the industrial user's pretreatment facility before connecting with the
POTW.
2.2 Federal Categorical Pretreatment Standards
The national categorical pretreatment standards found at 40 CFR Chapter I, Subchapter
N, Parts 405-471 are hereby incorporated.
2.3 State Requirements
Indiana Industrial State Pretreatment Standards are also incorporated into this ordinance.
2.4 Specific Pollutant Limitations
The following pollutant limits are established to protect against pass through and
interference. No person shall discharge wastewater containing in excess of the following
maximum allowable discharge limits and maximum monthly average limits.
Maximum for Maximum for
Monthly Average any one day
.20 mg/1 .60 mg/1 cadmium
2.0 mg/1 6.0 mg/1 chromium
2.0 mg/1 6.0 mg/1 copper
1.0 mg/1 1.9 mg/1 cyanide
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2.0 mg/1 '6.0 mg/1 lead
2.0 mg/1 6.0 mg/1 nickel
NA mg/1 100 mg/1 oil and grease (See Section 2.4(C))
.NA mg/1 .009 mg/1 PCBs
NA mg/1 2.5 mg/1 silver
4.0 mg/1 12 mg/1 zinc
A. Total Toxic Organics (TTO's) - Limits for those parameters on the TTO list will
be considered on an individual case by case basis, by the Director, for those not
regulated in the 40 CFR Regulations of the Act for Categorical and/or Non-
Categorical Industries, considering such factors including but not limited to:
concentration, flow, Ib. loading to the POTW and other considerations necessary
to prevent pass through and protect the POTW as set forth by the Director.
B. Any wastewater containing over 250 mg/1 of BOD or Total Suspended Solids will
be surcharged at the appropriate rate, by the methods listed in 53.15 or pretreated
to levels so as not to cause obstruction to the sanitary sewer system or upsets or
overloading at the POTW. The Surcharge is not to be used as a substitute for
fines issued, for POTW upsets or overloading or sanitary sewer obstruction.
C. The oil and grease listed in this section is petroleum or mineral oil products.
Concentrations apply at the point where the industrial waste is discharged to the
POTW. All concentrations for metallic substances are for "total" metal unless
indicated otherwise. At his discretion, the Director may impose mass limitations
in addition to or in place of the concentration based on limitations above.
2.5 Sanitary District Right of Revision
The Muncie Sanitary District reserves the right to establish, by industrial wastewater
discharge permits issued through the Bureau of Water Quality, more stringent standards or
requirements on discharges to the POTW if deemed necessary to comply with the objectives
presented in Section 1.1 of this ordinance or the general and specific prohibitions in Section 2.1,
2.2, 2.3, and 2.4 of this ordinance and parameters not listed in 2.4.
2.6 Special Agreement
The District "reserves the right to enter into special agreements with industrial users
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setting out special terms under which they may discharge to the POTW through the
Director of the Bureau of Water Quality. In no case will a special agreement waive compliance
with a pretreatment standard or requirement. However, the industrial user may request a net
gross adjustment to a categorical standard in accordance with 40 CFR 403.15. They may also
request a variance from the categorical pretreatment standard from EPA. Such a request will be
approved only if the industrial user can prove that factors relating to its discharge are
. fundamentally different from the factors considered by EPA when establishing that pretreatment
standard. An industrial user requesting a fundamentally different factor variance must comply
with the procedural and substantive provisions in 40 CFR 403.13.
2.7 Dilution
No industrial user shall ever increase the use of process water, or in any way attempt to
dilute a discharge, as a partial or complete substitute for adequate treatment to achieve
compliance with a discharge limitation unless expressly authorized by an applicable pretreatment
standard or requirement. The Director may impose mass limitations on industrial users which
are using dilution to meet applicable pretreatment standards or requirements, or in other cases
when the imposition of mass limitations is appropriate.
53.03 - PRETREATMENT OF WASTEWATER
3.1 PRETREATMENT FACILITIES
Industrial users shall provide necessary wastewater treatment as required to comply with
this ordinance and shall achieve compliance with all categorical pretreatment standards, local
limits and the prohibitions set out in Section 2.1 above within the time limitations specified by
the EPA, the State, or the Director ~ whichever is more stringent. Any facilities required to
pretreat wastewater to a level acceptable to the Bureau shall be provided, operated, and
maintained at the industrial user's expense. Detailed plans showing the pretreatment facilities
and operating procedures shall be submitted to the Director for review, and shall be acceptable to
the Director before construction of the facility. The review of such plans and operating
procedures will in no way relive the industrial user from the responsibility of modifying the
facility as necessary to produce an acceptable discharge to the Bureau under the provisions of
this ordinance. The Director shall be notified forty-eight (48) hours prior to start-up of new or
modified wastewater pretreatment facilities. Any subsequent changes in the
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wastewater pretreatment facilities or method of operation shall be reported to and be acceptable
to the Director.
3.2 Accidental Discharge/Slug Control Plans
The Director may require any industrial user to develop and implement an accidental
discharge/slug control plan. At least once every two years the Director shall evaluate whether
each significant industrial user needs such a plan. Any industrial user required to develop and
implement an accidental discharge/control slug plan shall submit a plan which addresses, at a
minimum, the following:
A. Description of discharge practices, including non-routine batch discharges.
B. Description of stored chemicals.
C. Procedures for immediately notifying the POTW of any accidental or slug
discharge. Such notification must also be given for any discharge which would
violate any of the prohibited discharges in Section 2.1 of this ordinance.
D. Procedures to prevent adverse impact from any accidental or slug discharge.
Such procedures include, but are not limited to, inspection and maintenance of
storage areas, handling and transfer of materials, loading and unloading
operations, control of plant site run-off, worker training, building of containment
structures or equipment, measures for containing toxic organic pollutants
(including solvents), and/or measures and equipment for emergency response.
3.3 Tenant Responsibility
Where an owner of property leases premises to any other person as a tenant under any
rental or lease agreement, if either the owner or the tenant is an industrial user, either or both
may be held responsible for compliance with the provisions of this ordinance.
3.4 Hauled Wastewater
A. Septic tank waste may be accepted into the POTW at a designated receiving
structure within the treatment plant area, and at such times as are established by
the Superintendent, provided such wastes do not violate Section 2 of this
ordinance or any other requirements established or adopted by the Muncie
Sanitary District.
B. The discharge of hauled industrial wastes and/or wastewater as "industrial
septage" requires prior approval and a wastewater discharge permit from the
Bureau. The Director shall have authority to prohibit the disposal of such wastes,
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if such Disposal would interfere with the treatment plant operation or cause pass
through of the POTW or adversely affect the quality of the POTW sludge. Waste
haulers are subject to all other sections of this ordinance.
3.5 Underground Storage Tank Wastewater
Wastewater from contaminated underground storage tank sites within the legal
boundaries of the Muncie Sanitary District may be discharged to the POTW only when and if a
permit application, as prescribed by the Director is applied for and a special "Underground
Storage Tank Wastewater Discharge Permit" as prescribed by the Director, is issued to the owner
and or tenant of the property at which the contaminated wastewater is generated. All other
aspects of this ordinance will be in force for these permits also.
3.6 Vandalism
No person shall maliciously, willfully or negligently break, damage, destroy, uncover,
deface, tamper with or prevent access to any structure, appurtenance or equipment, or other part
of Bureau property, i.e. (automatic samplers and other field equipment). Any person found in
violation of this requirement shall be subject to the sanctions set out in Sections 10-12, below.
53.04 - WASTEWATER DISCHARGE PERMIT ELIGIBILITY
4.1 Wastewater Survey
When requested by the Director, all industrial users must submit information on the
nature and characteristics of their wastewater by completing a wastewater survey prior to
commencing their discharge. The Director is authorized to prepare a form for this purpose and
may periodically require industrial users to update the survey. Failure to complete this survey
shall be reasonable grounds for terminating service to the industrial user and shall be considered
a violation of the ordinance.
4.2 Wastewater Discharge Permit Requirement
A. It shall be unlawful for any significant industrial user to discharge wastewater into
the Muncie Sanitary District's POTW without first obtaining a wastewater
discharge permit from the Director. Any violation of the terms and conditions of
a wastewater discharge permit shall be deemed a violation of this ordinance and
subjects the wastewater discharge permittee to the sanctions set out in Sections
10-12. Obtaining a wastewater discharge permit does not relieve a permittee of
its obligation to comply with all Federal and State pretreatment standards or
requirements or with any other requirements of Federal, State and local law.
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B. The Director may require other industrial users, inducing liquid waste haulers, to
obtain wastewater discharge permits as necessary to carry out the purposes of this
ordinance.
4.3 Wastewater Discharge Permitting Existing Connections
Any significant industrial user which discharges industrial waste into the POTW prior to
the effective date of this ordinance and who wishes to continue such discharges in the future,
shall, within ninety (90) days after said date, apply to the Bureau for a wastewater discharge
permit in accordance with Section 4.6 below, and shall not cause or allow discharges to the
POTW to continue after one hundred eighty (180) days of the effective date of this ordinance
except in accordance with a wastewater discharge permit issued by the Director, or in the case, a
valid permit exists and does not violate any part of this ordinance, shall not have to re-apply until
the permit expiration date.
4.4 Wastewater Discharge Permitting New Connections
Any significant industrial user proposing to begin or recommence discharging industrial
wastes into the POTW must obtain a wastewater discharge permit prior to the beginning or
recommencing of such discharge. An application for this wastewater discharge permit must be
filed at least sixty (60) days prior to the date upon which any discharge will begin.
4.5 Wastewater Discharge Permitting Extra Jurisdictional Industrial Users
A. Any existing significant industrial user located beyond the Muncie Sanitary
District limits and discharging into the Muncie Sanitary sewer system shall
submit a wastewater discharge permit application, in accordance with Section 4.6
below, within ninety (90) days of the effective date of this ordinance, or in the
case, a valid permit exists and does not violate any part of this ordinance, shall
not have to re-apply until the permit expiration date. New significant industrial
users located beyond the Muncie Sanitary District limits shall submit such
applications to the Director at least sixty (60) days prior to any proposed
discharge into the POTW.
B. Alternately, the Director may enter into an agreement with the neighboring
jurisdiction in which the significant industrial user is located to provide for the
implementation and enforcement of pretreatment program requirements against
said industrial user.
4.6 Wastewater Discharge Permit Application Contents
In order to be considered for a wastewater discharge permit, all industrial users required
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to have a vvastewater 3ischarge permit must submit the information required by Section 6.1 (b)
of this ordinance. The Director shall approve a form to be used as a permit application. In
addition, the following information may be requested:
A. Description of activities, facilities, and plant processes on the premises, including
a list of all raw materials and chemicals used or stored at the facility which are, or
could accidentally or intentionally be, discharged to the POTW.
B. Number and type of employees, hours of operation, and proposed or actual hours
of operation of the industry.
C. Each product produced by type, amount, process and processes, and rate of
production.
D. Type and amount of raw materials processed (average and maximum per day).
E. The site plans, floor plans, mechanical and plumbing plans, and details to show
all sewers, floor drains, and appurtenances by size, location, and elevation, and all
points of discharge.
F. Time and duration of the discharge.
G. The amount, storage of, and disposal of any hazardous waste on site, or generated
by the Industry.
H. Any other information as may be deemed necessary by the Director to evaluate
the wastewater discharge permit application.
Incomplete or inaccurate applications will not be processed and will be returned to the industrial
user for revision.
4.7 Application Signatories and Certification
All wastewater discharge permit applications and industrial user reports, including the
Quarterly Report to the Bureau, must contain the following certification statement and be signed
by an authorized representative of the industrial user.
"I certify under penalty 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 gather and evaluate the information submitted. Based on my
inquiry of the person or persons who manage the system, or those persons directly
responsible for gathering the information, the information submitted is to the best of my
knowledge and belief, true, accurate, and complete. I am aware that there are significant
penalties for submitting false information, including the possibility of fine and
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imprisonment Tor knowing violations."
4.8 Wastewater Discharge Permit Decisions
The Director will evaluate the data furnished by the industrial user and may require
additional information. Within sixty (60) days of receipt of a completed wastewater discharge
permit application, the Director will determine whether or not to issue a wastewater discharge
permit. The Director may deny any application for a wastewater discharge permit.
53.05 - WASTEWATER DISCHARGE PERMIT ISSUANCE PROCESS
5.1 Wastewater Discharge Permit Duration
Wastewater discharge permits shall be issued for a specified time period, not to exceed
five (5) years. A wastewater discharge permit may be issued for a period less than five (5) years,
at the discretion of the Director. Each wastewater discharge permit will indicate a specific date
upon which it will expire.
5.2 Wastewater Discharge Permit Contents
Wastewater discharge permits shall include such conditions as are reasonably deemed
necessary by the Director to prevent pass through, interference, protect the quality of the water
body receiving the treatment plant's effluent, protect worker health and safety, facilitate sludge
management and disposal, protect ambient air quality, and protect against damage to the POTW.
A. Wastewater discharge permits must contain the following conditions:
1. A statement that indicates wastewater discharge permit duration, which in
no event shall exceed five (5) years.
2. A statement that the wastewater discharge permit is nontransferable
without prior notification and approval from the Director, and provisions
for furnishing the new owner or operator with a copy of the existing
wastewater discharge permit.
3. Effluent limits applicable to the user based on applicable standards in
Federal, State, and local law.
4. Self monitoring, sampling, reporting, notification, and record keeping
requirements. These requirements shall include an identification of
pollutants to be monitored, sampling location, sampling frequency, and
sample type based on Federal, State, and local law.
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5. . Statement of applicable civil and administrative penalties for violation of
pretreatment standards and requirements, and any applicable compliance
schedule. Such schedule may not extend the time for compliance beyond
that required by applicable Federal, State, or local law.
6. A copy of the Bureau of Water Quality's, "Enforcement Response Guide."
B. Wastewater discharge permits may contain, but need not be limited to, the
following:
1. Limits on the average and/or maximum rate of discharge, time of
discharge, and/or requirements for flow regulation and equalization.
2. Limits on the instantaneous, daily and monthly average and/or maximum
concentration, mass, or other measure of identified wastewater pollutants
or properties.
3. Requirements for the installation of pretreatment technology, pollution
control, or construction of appropriate containment devices, designed to
reduce, eliminate, or prevent the introduction of pollutants into the
treatment works.
4. Development and implementation of spill control plans, total toxic
organics control plans, or other special conditions including management
practices necessary to adequately prevent accidental, unanticipated, or
routine discharges.
5. Development and implementation of waste minimization plans to reduce
the amount of pollutants discharged to the POTW.
6. The unit charge or schedule of industrial user charges and fees for the
management of the wastewater discharged to the POTW.
7. Requirements for installation and maintenance of inspection and sampling
facilities and equipment.
8. A statement that compliance with the wastewater discharge permit does
not relieve the permittee of responsibility for compliance with all
applicable Federal and State pretreatment standards, including those
which become effective during the term of the wastewater discharge
permit.
9. Other conditions as deemed appropriate by the Director to ensure
compliance with this ordinance, and State and Federal laws, rules, and
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'regulations.
5.3 Wastewater Discharge Permit Appeals
Any person, including the industrial user, may petition the Director to reconsider the
terms of a wastewater discharge permit with thirty (30) days of its issuance.
A. Failure to submit a timely petition for review shall be deemed to be a waiver of
the administrative appeal.
B. In its petition, the appealing party must indicate the wastewater discharge permit
provisions objected to, the reasons for this objection, and the alternative
condition, if any, it seeks to place in the wastewater discharge permit.
C. The effectiveness of the wastewater discharge permit shall not be stayed pending
the appeal.
D. Decisions not to reconsider a wastewater discharge permit, not to issue a
wastewater discharge permit, or not to modify a wastewater discharge permit,
shall be considered final administrative action for purposes of judicial review.
E. Aggrieved parties may seek an appeal.under Section 10.10(B). Parties dissatisfied
with the decision of the Board may seek judicial review, which shall be limited as
provided in l.C. 4-21.5-5-14(d)(l)-(5).
5.4 Wastewater Discharge Permit Modification
The Director may modify the wastewater discharge permit for good cause including, but
not limited to, the following:
A. To incorporate any new or revised Federal, State, or local pretreatment standards
or requirements.
B. To address significant alterations or additions to the industrial user's operation,
processes, or wastewater volume or character since the time of wastewater
discharge permit issuance. "
C. A change in the POTW that requires either a temporary or permanent reduction or
elimination of the authorized discharge.
D. Information indicating that the permitted discharge poses a threat to the Muncie
Sanitary District's POTW, District personnel, or the receiving waters.
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E. Violation of any terms or conditions of the wastewater discharge permit.
F. Misrepresentations or failure to fully disclose all relevant facts in the wastewater
discharge permit application or in any required reporting.
G. Revision of or a grant of variance from categorical pretreatment standards
pursuant to 40 CFR 403.13.
H. To correct typographical or other errors in the wastewater discharge permit.
I. To reflect a transfer of the facility ownership and/or operation to a new
owner/operator.
The filing of a request by the permittee for a wastewater discharge permit modification does not
stay any wastewater discharge permit condition.
5.5 Wastewater Discharge Permit Transfer
Wastewater discharge permits may be reassigned or transferred to a new owner and/or
operator only if the permittee gives at least thirty (30) days advance notice to the Director and
the Director approves the wastewater discharge permit transfer. The notice to the Director must
include a written certification by the new owner and/or operator which:
A. States that the new owner and/or operator has no immediate intent to change the
facility's operations and processes.
B. Identifies the specific date on which the transfer is to occur.
C. Acknowledges full responsibility for complying with the existing wastewater
discharge permit.
Failure to provide advance notice of a transfer renders the wastewater discharge permit voidable
on the date of facility transfer.
5.6 Wastewater Discharge Permit Revocation
Wastewater discharge permits may be revoked for the following reasons:
A. Failure to notify the Bureau of significant changes to the wastewater prior to the
changed discharge.
B. Failure to provide prior notification to the Bureau of changed condition pursuant
to Section 6.5.
C. Misrepresentation or failure to fully disclose all relevant facts in the wastewater
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discharge permit application.
D. Falsifying self-monitoring reports.
E. Tampering with Bureau of Water Quality monitoring equipment.
F. Refusing to allow the Bureau timely access to the facility premises and records.
G. Failure to meet effluent limitations.
H. Failure to pay fines.
I. Failure to pay sewer charges.
J. Failure to meet compliance schedules.
K. Failure to complete a wastewater survey or the wastewater discharge permit
application.
L. Failure to provide advance notice of the transfer of a permitted facility.
M. Violation of any pretreatment standard or requirement, or any terms of the
wastewater discharge permit or the ordinance.
Wastewater discharge permits shall be voidable upon nonuse, cessation of operations, or
transfer of business ownership. All wastewater discharge permits are void upon the issuance of a
new wastewater discharge permit.
5.7 Wastewater Discharge Permit Reissuance
A significant industrial user shall apply for wastewater discharge permit reissuance by
submitting a complete wastewater discharge permit application in accordance with Section 4.6 a
minimum of sixty (60) days period to the expiration of the industrial user's existing wastewater
discharge permit.
53.06 - REPORTING REQUIREMENTS
6.1 Baseline Monitoring Reports
A. Within either 180 days after the effective date of a categorical pretreatment
standard, or the final administrative decision on a category determination under
40 CFR 403.6 (a)(4), whichever is later, existing significant industrial users
subject to such categorical pretreatment standards, and currently discharging to or
scheduled to discharge to the POTW, shall be required to submit to the Bureau a
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report which contains the information listed in paragraph B, below. At least
ninety (90) days prior to commencement of their discharge, new sources, and
sources that become industrial users subsequent to the promulgation of an
applicable categorical standard, shall be required to submit to the Bureau a report
which contains the information listed in paragraph B, below. A new source shall
also be required to report the method of pretreatment it intends to use to meet
applicable pretreatment standards. A new source shall also give estimates of its
anticipated flow and quantity of pollutants discharged.
B. The industrial user shall submit the information required by this section
including:
1. Identifying Information. The name and address of the facility including
the name of the operator and owners.
2. Wastewater discharge permits. A list of any environmental control
wastewater discharge permits held by or for the facility.
3. Description of Operations. A brief description of the nature, average rate
of production, and standard industrial classifications of the operation(s)
carried out by such industrial user. This description should include a
schematic process diagram which indicates points of discharge to the
POTW from the regulated processes.
4. Flow Measurement. Information showing the measured average, or
estimated, if approved by the Director, daily and maximum flow, in
gallons per day, to the POTW from regulated process streams and other
stream, as necessary, to allow use of the combined wastestream formula
set out in 40 CFR 403.6(e).
5. Measurement of Pollutants.
a. Identify the categorical pretreatment standards applicable to each
regulated process.
b. Submit the results of sampling and analysis identifying the nature
and concentration (and/or mass, where required by the standard or
by the Bureau, of regulated pollutants in the discharge from each
regulated process. Instantaneous, daily maximum and long term
average concentrations (or mass, where required) shall be reported.
The sample shall be representative of daily operations and shall be
analyzed in accordance with procedures set out in Section 6.10.
c. Sampling must be performed in accordance with procedures set out
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in Section 6.11.
6. Certification. A statement reviewed by the industrial user's authorized
representative and certified by a qualified professional, indicating whether
pretreatment standards are being met on a consistent basisand, if not,
whether additional operation and maintenance (O&M) and/or additional
pretreatment is required to meet the pretreatment standards and
requirements.
7. Compliance Schedule. If additional pretreatment and/or O&M will be
required to meet the pretreatment standard; the shortest schedule by which
the industrial user will provide such additional pretreatment and/or O&M.
The completion date in this schedule shall not be later than the compliance
date established for the applicable pretreatment standard. A compliance
schedule pursuant to this section must meet the requirements set out in
Section 6.2 of this ordinance.
8. All baseline monitoring reports must be signed and certified in accordance
with Section 4.7.
6.2 Compliance Schedule Progress Report
The following conditions shall apply to the schedule required by 6.1(B)(7). The schedule
shall contain progress increments in the form of dates for the commencement and completion of
major events leading to the construction and operation of additional pretreatment required for the
user to meet the applicable pretreatment standards (such events include hiring an engineer,
completing preliminary and final plans, executing contracts for major components, commencing
and completing construction, beginning and conducting routine operation). No increment
referred to above shall exceed nine (9) months, the industrial user shall submit a progress report
to the Director no later than fourteen (14) days following each date in the schedule and the final
date of compliance including, as a minimum, whether or not it complied with the increment of
progress, the reason for any delay, (and, if appropriate) the steps being taken by the industrial
user to return to the established schedule: In no event shall more than nine (9) months elapse
between such progress reports to the Director.
6.3 Report on Compliance with Categorical Pretreatment Standard Deadline
Within ninety (90) days following the date for final compliance with applicable
categorical pretreatment standards, or in the case of a new source following commencement of
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the introduction of wastewater into the POTVV, any industrial user subject to such pretreatment
standards and requirements shall submit to the Director a report containing the information
described in Section 6. l(B)(4-6). For industrial users subject to equivalent mass or
concentration limits established in accordance with the procedure in 40 CFR 403.6(c), this report
shall contain a reasonable measure of the industrial user's long term production rate. For all
other industrial users subject to categorical pretreatment standards expressed in terms of
allowable pollutant discharge per unit of production (or other measure of operation), this report
shall include the industrial user's actual production during the appropriate sampling period. All
compliance reports must be signed and certified in accordance with Section 4.7.
6.4 Periodic Compliance Reports
A. Any significant industrial user subject to a pretreatment standard shall, at a
frequency determined by the Director but in no case less than four (4) times per
year (in April, in July, in October, in January) each covering the previous three
(3) month period, submit a report indicating the nature and concentration of
pollutants in the discharge which are limited by such pretreatment standards and
the measured or estimated average and maximum daily flows for the reporting
period. All periodic compliance reports must be signed and certified in
accordance with Section 4.7.
B. All wastewater samples must be representative of the industrial user's discharge.
Wastewater monitoring and flow measurement facilities shall be properly
operated, kept clean, and maintained in good working order at all times. The
failure of an industrial user to keep its monitoring facility in good working order
shall not be grounds for the industrial user to claim that sample results are
unrepresentative of its discharge.
C. If an industrial user subject to the reporting requirements in and of this Section
monitors any pollutant more frequently than required by the POTW, using the
procedures prescribed in Section 6.11 and analytical methods prescribed in
Section 6.10 of this ordinance, the results of this monitoring shall be included in
the report.
D. Periodic Compliance Reports may be waived by the Director if the Bureau is at
least monitoring the discharge quarterly, and no process wastewater is discharged
to the Muncie POTW.
6.5 Report of Changed Conditions
Each industrial user is required to notify the Director of any planned significant changes
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to the industrial user's operations or system which might alter the nature, quality or volume of its
wastewater at least sixty (60) days before the change.
A. The Director may require the industrial user to submit such information as may be
deemed necessary to evaluate the changed condition, including the submission of
a wastewater discharge permit application under Section 4.6.
B. The Director may issue a wastewater discharge permit under Section 4.8 or
modify an existing wastewater discharge permit under Section 5.4.
C. No industrial user shall implement the planned changed conditions(s) until and
unless the Director has responded to the industrial user's notice.
D. For purposes of this requirement flow increases of twenty-five percent (25%) or
greater, and the discharge of any previously unreported pollutants, shall be
deemed significant.
6.6 Reports of Potential Problems
A. In the case of any discharge including, but not limited to, accidental discharges,
discharges of a non-routine, episodic nature, a non-customary batch discharge, or
a slug load which may cause potential problems for the POTW (including a
violation of the prohibit discharge standards in Section 2.1 of this ordinance), it is
the responsibility of the industrial user to immediately telephone and notify the
Bureau of the incident. This notification shall include the location of discharge,
type of waste, concentration and volume, if known, and corrective actions taken
by the industrial user.
B. Within five (5) days following such discharge, the industrial user shall, unless
waived by the Director, submit a detailed written report describing the causes of
the discharge and the measures to be taken by the industrial user to prevent
similar future occurrences. Such notification shall not relieve the industrial user
of any expense, loss, damage, or other liability which may be incurred as a result
of damage to the POTW, natural resources, or any other damage to person or
property; nor shall such notification relieve the industrial user of any fines, civil
penalties, or other liability which may be imposed by this ordinance.
C. Failure to notify the Bureau of potential problem discharges shall be deemed a
separate violation of this ordinance.
D. A notice shall be permanently posted on the industrial user's bulletin board or
other prominent place advising employees whom to call in the event of a
discharge described in paragraph A, above. Employers shall ensure that all
employees, who may cause or suffer such a discharge to occur, are advised of the
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emergency notification procedure.
6.7 Reports from Nonsignificant Industrial Users
All industrial users not subject to categorical pretreatment standards and not required to
obtain a wastewater discharge permit shall provide appropriate reports to the Bureau as the
Director may require.
6.8 Notice of Violation/Repeat Sampling and Reporting
If sampling performed by an industrial user indicates a violation, the industrial user must
notify the Director within twenty-four (24) hours of becoming aware of the violation. The
industrial user shall also repeat the sampling and analysis and submit the results of the report to
the Director within thirty (30) days after becoming aware of the violation. The industrial user is
not required to resample if the Bureau performs monitoring at the industrial user at least once a
month, or if the Bureau performs sampling between the industrial user's initial sampling and
when the industrial user receives the results of this sampling, or if the industrial user's regular
monitoring activity will result in samples being taken within thirty (30) days of the industry
becoming aware of the violation, unless, directed by the Director of the Bureau of Water Quality
to do so.
6.9 Notification of the Discharge of Hazardous Waste
A. Any industrial user who commences the discharge of hazardous waste shall notify
the Bureau, the EPA Regional Waste Management Division Director, and State
hazardous waste authorities in writing of any discharge into the POTW of a
substance which, if otherwise disposed of, would be a hazardous waste under 40
CFR Part 261. Such notification must include the name of the hazardous waste as
set forth in 40 CFR Part 261, the EPA hazardous waste number, and the type of
discharge (continuous, batch or other). If the industrial user discharges more than
100 kilograms (220 Ibs.), of such waste per calendar month to the POTW, the
notification shall also contain the following information to the extent such
information is known and readily available to the industrial user: an identification
of the hazardous constituents contained in the wastes, an estimation of the mass
and concentration of such constituents in the wastestream discharged during that
calendar month, and an estimation of the mass of constituents in the wastestream
expected to be discharged during the following twelve (12) months. All
notifications must take place no later than one hundred eighty (180) days after the
discharge commences. Any notification under this paragraph need be submitted
only once for each hazardous waste discharged. However, notifications of
changed discharges must be submitted under Section 6.5, above. The notification
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requirement in this section does not apply to pollutants already reported under the
self-monitoring requirements of Sections 6.1, 6.3;. and 6.4; above.
B. Dischargers are exempt from the requirements of paragraph (1) of this section
during a calendar month in which they discharge no more than fifteen (15)
kilograms (33 Ibs) of hazardous wastes, unless the wastes are acute hazardous
wastes as specified in 40 CFR 261.30(d) and 261.3 3 (e). A discharge of more than
fifteen (15) kilograms (33 Ibs.) of non-acute hazardous wastes in a calendar
month, or of any quantity of acute hazardous wastes as specified in 40 CFR
261.30(d) and 261.33(e), requires a one-time notification.
Subsequent months during which the industrial user discharges more than such
quantities of any hazardous waste do not reqyire additional notification.
C. In the case of any new regulations under Section 3001 of RCRA identifying
additional characteristics of hazardous waste or listing any additional substance as
a hazardous waste, the industrial user must notify the Bureau, the EPA Regional
Waste Management Waste Division Director, and State'hazardous waste
authorities ofthe discharge of such substance within ninety (90) days of the
effective date of such regulations.
D. In the case of any notification made under this section, the industrial user shall
certify that it has a program in place to reduce the volume and toxicity of
hazardous wastes generated to the degree it has determined to be economically
practical.
E. All industries permitted by the Bureau, shall make a one time notification to the
Director on the Bureau's "Hazardous Waste Notification Form" stating if the
company is subject to the reporting conditions in section 6.9 (A)-(B).
6.10 Analytical Requirements
All pollutant analyses, including sampling techniques, to be submitted as part of a
wastewater discharge permit application or reports shall be performed in accordance with the
techniques prescribed in 40 CFR Part 136, unless otherwise specified in an applicable categorical
pretreatment standard. If 40 CFR Part 136 does not contain sampling or analytical techniques
for the pollutant in question, sampling and analyses must be performed in accordance with
procedures approved by the EPA.
6.11 Sample Collection
A. Except as indicated in Section B, below, the industrial user must collect
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wastevvater samples using flow proportional composite collection techniques. In
the event flow proportional sampling is infeasible,: the Director may authorize the
use of time proportional sampling or through a minimum of four (4) grab samples
where the user demonstrates that this will provide a representative sample of the
effluent being discharged. In addition, grab samples may be required to show
compliance with daily maximum discharge limits.
B. Samples for oil and grease, temperature, pH, cyanide, phenols, toxicity, sulfides,
and volatile organic chemicals must be obtained using grab collection techniques.
C. Samples should be taken for Federal 40 CFR limits of the Act, for Categorical
Industries immediately downstream from pretreatment facilities if such exist or
immediately downstream from the regulated process if no pretreatment exists. If
other wastewaters are mixed with the regulated wastewater prior to pretreatment
the User should measure the flows and concentrations necessary to allow use of
the combined wastestream in order to evaluate compliance with the Pretreatment
Standard's. Where an alternate concentration or mass limit has been calculated
this adjusted limit along the supporting data shall be submitted to the Bureau.
6.12 Determination of Noncompliance
The Director may use a grab sample(s) to determine noncompliance with pretreatment
standards.
6.13 Timing
Written reports will be deemed to have been submitted on the date post-marked. For
reports which are not mailed, the date of receipt of the report shall govern.
6.14 Record Keeping
Industrial users shall retain, and make available for inspection and copying, all records
and information required to be retained under this ordinance. These records shall remain
available for a period of at least three (3) years. This period shall be automatically extended for
the duration of any litigation concerning compliance with this ordinance, or where the industrial
user has been specifically notified of a longer retention period by the Director.
53.07 - COMPLIANCE MONITORING
7.1 Inspection and Sampling
The Director shall have the right to enter the facilities of any industrial user to ascertain
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whether the purpose of this ordinance, and any permit or order issued hereunder, is being met
and whether the industrial user is complying with all requirements thereof. Industrial users shall
allow the Director or his representatives ready access to all parts of the premises for the purposes
of inspection, sampling, records examination and copying, and the performance of any additional
duties.
A. Where an industrial user has security measures in force which require proper
identification and clearance before entry into its premises, the industrial user shall
make necessary arrangements with its security guards so that, upon presentation
of suitable identification, personnel from the Bureau, will be permitted to.enter
without delay, for the purposes of performing their specific responsibilities.
B. The Bureau shall have the right to set up on the industrial user's property, or
require installation of, such devices as are necessary to conduct sampling and/or
metering of the user's operations.
C. The Director may require the industrial user to install monitoring equipment as
necessary. The facility's sampling and monitoring equipment shall be maintained
at all times in a safe and proper operating condition by the industrial user at its
own expense. All devices used to measure wastewater flow and quality shall be
calibrated periodically to ensure their, accuracy.
D. Any temporary or permanent obstruction to safe and easy access to the industrial
facility to be inspected and/or sampled shall be promptly removed by the
industrial user at the written or verbal request of the Director and shall not be
replaced. The costs of clearing such access shall be born by the industrial user.
E. Unreasonable delays in allowing Bureau personnel access to the industrial user's
premises shall be a violation of this ordinance.
7.2 Search Warrants
If the Director and/or his representative has been refused access to a building, structure or
property or any part thereof, and if the Director and/or his representative has demonstrated
probable cause to believe that there may be a violation of this ordinance or that there is a need to
inspect as part of a routine inspection program of the Bureau designed to verify compliance with
this ordinance or any permit or order issued hereunder, or to protect the overall public health,
safety and welfare of the community, then upon application by the Sanitary District Attorney, to
the Municipal Court, Superior Court or Circuit Court, the District may seek a search and/or
seizure warrant describing therein the specific location subject to the warrant. The request by the
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District shall specify what, if anything, may be searched and/or seized on the property described.
Such warrant shall be served at reasonable hours by the Director'in the company of a uniformed
police officer. In the event of an extreme emergency affecting public health and safety,
inspections shall be made without the issuance of a warrant.
53.08 - CONFIDENTIAL INFORMATION
Information and data on an industrial user obtained from reports, surveys, wastewater
discharge permit applications, wastewater discharge permits, and monitoring programs, and from
Bureau inspection and sampling activities, shall be available to the public without restriction
unless the industrial user specifically requests, and is able to demonstrate to the satisfaction of
the Director, that the release of such information would divulge information, processes or
methods of production entitled to protection as trade secrets under applicable State law. When
requested and demonstrated by the industrial user furnishing a report that such information
should be held confidential, the portions of a report which might disclose trade secrets or secret
processes shall not be made available for inspection by the public, but shall be made available
immediately upon request to governmental agencies for uses related to the NPDES program or
pretreatment program, and in enforcement proceedings involving the person furnishing the
report. Wastewater constituents and characteristics and other "effluent data" as defined by 40
CFR 2.302 will not be recognized as confidential information and will be available to the public
without restriction.
53.09 - PUBLICATION OF INDUSTRIAL USERS IN SIGNIFICANT
NQNCOMPLIANCE
The Bureau shall publish annually, in the largest daily newspaper published in the
municipality where the POTW is located, a list of the industrial users which, during the previous
twelve (12) months, were in significant noncompliance with applicable pretreatment standards
and requirements. The term significant noncompliance shall mean:
A. Chronic violations of wastewater discharge limits, defined here as those in which
sixty-six percent (66%) or more of wastewater measurements taken during a 6-
month period exceed the daily maximum limit or average limit for the same
pollutant parameter by any amount;
B. Technical Review Criteria (TRC) violations, defined here as those in which
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thirty-fhree percent (33%) or more of wastewater measurements taken for each
pollutant parameter during a 6-month period equals or exceeds the product of the
daily maximum limit or the average limit multiplied by the applicable criteria (1.4
for BOD, TSS, fats, oils and grease, and 1.2 for all other pollutants except pH):
C. Any other discharge violation that the Director believes has caused, along or in
combination with other discharges, interference or pass through (including
endangering the health of Bureau personnel or the general public);
D. Any discharge of pollutants that has caused imminent endangerment to the public
or to the environment, or has resulted in the Bureau's exercise of its emergency
authority to halt or prevent such a discharge;
E. Failure to meet, within ninety (90) days of the scheduled date, a compliance
schedule milestone contained in a wastewater discharge permit or enforcement
order for starting construction, completing construction, or attaining final
compliance;
F. Failure to provide within thirty (30) days after the due date, any required reports,
including baseline monitoring reports, ninety (90) day compliance reports,
periodic self-monitoring reports, and reports on compliance with compliance
schedules;
G. Failure to accurately report noncompliance;
H. Any other violation(s) which the Bureau determines will adversely affect the
operation or implementation of the local pretreatment program.
53.10 - ADMINISTRATIVE ENFORCEMENT REMEDIES
10.1 Enforcement Response Guide (ERG)
The Director of The Bureau of Water Quality of the Muncie Sanitary District shall
prepare, for passage, by the Board of Sanitary Commissioners of the Muncie Sanitary District, an
Enforcement Response Guide (ERG) to insure that the requirements of 40 CFR Part 403 of the
Clean Water Act will be met. The ERG shall outline various Administrative Actions the
Director may take for various pretreatment violations. The maximum fine shall be one-thousand
($1,000.00) dollars per violation. The Director shall review and update, on an annual basis, for
the Board of Sanitary Commissioners any changes needed to insure compliance with the Federal,
State and Local Pretreatment Regulations as listed in the Act and this ordinance.
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*
10.2 Notification of Violation
Whenever the Director finds that any user has violated or is violating this ordinance, a
wastewater discharge permit or order issued hereunder, or any other pretreatment requirements,
the Director or his agent may serve upon said user a written Notice of Violation. Within fifteen
(15) days of the receipt of this notice, an explanation of the violation and a plan for the
satisfactory correction and prevention thereof, to include specific required actions, shall be
submitted by the user to the Director. Submission of this plan in no way relieves the user of
liability for any violations occurring before or after receipt of the Notice of Violation. Nothing
in this section shall limit the authority of the Bureau to take any action, including emergency
actions or any other enforcement action, without first issuing a Notice of Violation. Degrees of
Violation are listed in the Muncie Sanitary District "Enforcement Response Guide." The Bureau
Notice of Violation is in the form of a Letter of Violation (LOV) as listed in the (ERG).
10.3 Consent Orders
The Director is hereby empowered to enter into Consent Orders, assurances of voluntary
compliance, or other similar documents establishing an agreement with any user responsible for
noncompliance. Such orders will include specific action to be taken by the user to correct the
noncompliance within a time period also specified by the order. Consent Orders shall have the
same force and effect as the administrative orders issued pursuant to Sections 10.4 and 10.5
below and shall be judicially enforceable. The Bureau Consent Orders are in the form of
. Administrative Orders as listed in the Muncie Sanitary District Enforcement Response Guide.
10t4 Show Cause Hearing
The Director may order any user which causes or contributes to violation(s) of this
ordinance, wastewater discharge permits, or orders issued hereunder, or any other pretreatment
standard or requirements, to appear before the Director and show cause why a proposed
enforcement action should not be taken. .Notice shall be served on the user specifying the time
and place for the meeting, the proposed enforcement action, the reasons for such action, and a
request that the user show cause why this proposed enforcement action should not be taken. The
notice of the meeting shall be served personally or by registered or certified mail (return receipt
requested) at least ten (10) days prior to the hearing. Such notice may be served on any
authorized representative of the user. Whether or not the user appears as ordered, immediate
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enforcement action may be pursued following the hearing date. A show cause hearing shall not
be a prerequisite for taking any other action against the user.
10.5 Compliance Orders
When the Director finds that a user has violated or continues to violate the ordinance,
wastewater discharge permit or orders issued hereunder, or any other pretreatment standard or
requirement, he may issue an order to the user responsible for the discharge directing that the
user come into compliance with a specified time. If the user does not come into compliance
within the time state, sewer service shall be discontinued unless adequate treatment facilities,
devices, or .other related appurtenances are installed and properly operated. Compliance orders
may also contain other requirements to address the noncompliance, including additional self-
monitoring, and management practices designed to minimize the amount of pollutants discharge
to the sewer. A compliance order may not extend the deadline for compliance established for a
Federal pretreatment standard or requirement, nor does a compliance order release the user of
liability for any violation, including any continuing violation. Issuance of a compliance order
shall not be a prerequisite to taking any other action against the user. The Compliance Orders
are in the form of Enforcement Compliance Schedules, issued by the Bureau, through the
Muncie Sanitary District Enforcement Response Guide.
10.6 Cease and Desist Orders
When the Director finds that a user is violating this ordinance, the user's wastewater
discharge permit, any order issued hereunder, or any other pretreatment standard or requirement,
or that the user's past violations are likely to recur, the Director may issue an order to the user
directing it to cease and desist all such violations and directing the user to:
A. Immediately comply with all requirements
B. Take such appropriate remedial or preventive action as may be needed to properly
address a continuing or threatened violation, including halting operations and/or
terminating the discharge.
Issuance of a cease and desist order shall not be a prerequisite to taking any other action against
the user.
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10.7 Administrative Fines
A. Notwithstanding any other section of this ordinance, any user that is found to
have violated any provision of this ordinance, its wastewater discharge permit,
and orders issued hereunder, or any other pretreatment standard or requirements
may be fined in an amount not to exceed one thousand ($1,000.00) dollars as set
forth in the Enforcement Response Guide. Such fines shall be assessed on a per
violation, per day basis. In the case of monthly or other long term average
discharge limits, fines may be assessed for each day during the period of
violation.
B. Assessments may be added to the user's next scheduled sewer service charge and
the Director shall have such other collection remedies as may be available for
other service charges and fees.
C. Unpaid charges, fines, and penalties shall, after sixty (60) calendar days, be
assessed an additional penalty of percent, ten (10) percent of the unpaid balance
and interest shall accrue thereafter at a rate of five (5) percent per month. A lien
against the individual user's property will be sought for unpaid charges, fines, and
penalties.
D. Users desiring to dispute such fines must file a written request for the Director to
reconsider the fine along with full payment of the fine amount within thirty (30)
days of being notified of the fine. Where a request has merit the Director shall
convene a hearing on the matter within fifteen (15) days of receiving the request
from the industrial user. In the event the user's appeal is successful, the payment
together with any interest accruing thereto shall be returned to the industrial user.
The Director may add the costs of preparing administrative enforcement actions
such as notices and orders to the fine.
E. Issuance of an administrative fine shall not be a prerequisite for taking any other
action against the user.
10.8 Emergency Suspensions
The Director may immediately suspend a user's discharge (after informal notice to the
user) whenever such suspension is necessary in order to stop an actual or threatened discharge
which reasonably appears to present or cause an imminent or substantial endangerment to the
health or welfare of persons. The Director may also immediately suspend a user's discharge
(after notice and opportunity to respond) that threatens to interfere with the operation of the
POTW, or which presents or may present an endangerment to the environment.
A. Any user notified of a suspension of its discharge shall immediately stop or
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eliminate its contribution. In the event of a user's failure to immediately comply
voluntarily with the suspension order, the Director-shall take such steps as
deemed necessary, including immediate severance of the sewer connection, to
prevent or minimize damage to the POTW, its receiving stream, or endangerment
to any individuals. The Director shall allow the user to recommence its discharge
when the user has demonstrated to the satisfaction of the Director that the period
of endangerment has passed, unless the termination proceedings set forth in
Section 10.8 are initiated against the user.
B. A user that is responsible, in whole or in part, for any discharge presenting
imminent endangerment shall submit a detailed written statement describing the
causes of the harmful contribution and the measures taken to prevent any future
occurrence to the Director, prior to the date of any show cause or termination
hearing under Sections 10.3 and 10.8.
Nothing in this section shall be interpreted as requiring a hearing prior to any emergency
suspension under this section.
10.9 Termination of Discharge
In addition to those provisions in section 5.6 of this ordinance, any user that violates the
following conditions of this ordinance, wastewater discharge permits, or orders issued hereunder,
is subject to discharge termination.
A. Violation of wastewater discharge permit conditions.
B. Failure to accurately report the wastewater constituents and characteristics of its
discharge.
C. Failure to report significant changes in operations or wastewater volume,
constituents and characteristics prior to discharge.
D. Refusal of reasonable access to the user's premises for the purpose of inspection,
monitoring or sampling.
E. Violation of the pretreatment standards in Section 2 of this ordinance.
Such user will be notified of the proposed termination of its discharge and be offered an
opportunity to show cause under Section 10.4 of this ordinance why the proposed action should
not be taken.
10.10 Appeals
A. Any user affected by any decision, action or determination, including cease and
desist orders, made by the Director, interpreting or implementing the provisions
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V
of this Ordinance, may file with the Director a written request for reconsideration
within ten (10) days of such decision, action, or'determination, setting forth in
detail the facts supporting the user's request for reconsideration.
B. If the ruling made by the Director is unsatisfactory to the person requesting
reconsideration, he may, within ten (10) days after notification of Bureau action,
file a written appeal to the Board of Sanitary Commissioners. The written appeal
shall be heard by the board within thirty (30) days from the date of filing. The
Board of Sanitary Commissioners shall make a final ruling on the appeal within
thirty (30) days of the close of the meeting. The Director's decision, action, or
determination shall remain in effect during such period of reconsideration.
53.11 - JUDICIAL ENFORCEMENT REMEDIES
11.1 INJUNCTIVE RELIEF
Whenever a user has violated a pretreatment standard or requirement or continues to
violate the provisions of this ordinance, wastewater discharge permits or orders issued
hereunder, or any other pretreatment requirement, the Director may petition the Circuit or
Superior Court for Delaware County through the Muncie Sanitary District's Attorney for the
issuance of a temporary or permanent injunction, as appropriate, which restrains or compels the
specific performance of the wastewater discharge permit, order, or other requirement imposed by
this ordinance on activities of the industrial user. Such other action as appropriate for legal
and/or equitable relief may also be sought by the Muncie Sanitary District. A petition for
injunctive relief need not be filed as a prerequisite to taking any other action against a user.
11.2 Civil Penalties
A. Any user which has violated or continues to violate this ordinance, any order or
wastewater discharge permit hereunder, or any other pretreatment standard or
requirement shall be liable to the Director for a maximum civil penalty of two
thousand five hundred ($2,500.00) per violation per day. In the case of a monthly
or other long-term average discharge limit, penalties may accrue for each day
during the period of the violation.
B. The Director may recover reasonable attorney's fees, court costs, and other
expenses associated with enforcement activities, including sampling and
monitoring expenses, and the cost of any actual damages incurred by the Muncie
Sanitary District.
C. In determining the amount of civil liability, the Court shall take into account all
relevant circumstances, including, but not limited to, the extent of harm caused by
the violation, the magnitude and duration, any economic benefit gained through
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the useYs violation, corrective actions by the user, the compliance history of the
user, and any other factor as justice requires.
D. Filing a suit for civil penalties shall not be a prerequisite for taking any other
action against a user.
11.3 Remedies Nonexclusive
The provision in Sections 9-12 are not exclusive remedies. The Bureau reserves the right
to take any, all, or any combination of these actions against a noncompliant user. Enforcement
of pretreatment violations will generally be in accordance with the Muncie Sanitary District's
Enforcement Response Guide (ERG). However, the Bureau reserves the right to take other
action against any user when the circumstances warrant. Further, the Bureau is empowered to
take more than one enforcement action against any noncompliant user. These actions may be
taken concurrently.
53.12 - SUPPLEMENTAL ENFORCEMENT ACTION
12.1 Liability Insurance
The Director may decline to reissue a wastewater discharge permit to any user which has
failed to comply with the provisions of this ordinance, any orders, or a previous wastewater
discharge permit issued hereunder, unless the user first submit proof that it has obtained financial
assurances sufficient to restore or repair damage to the POTW caused by its discharge.
53.13 - AFFIRMATIVE DEFENSES TO DISCHARGE VIOLATIONS
13.1 Upset
A. For the purposes of this section, "upset" means an exceptional incident in which
there is unintentional and temporary noncompliance with categorical pretreatment
standards because of factors beyond the reasonable control of the industrial user.
An upset does not include noncompliance to the extent caused by operational
error, improperly designed treatment facilities, inadequate treatment facilities,
lack of preventive maintenance, or careless or improper operation.
B. An upset shall constitute an affirmative defense to an action brought for
noncompliance with categorical pretreatment standards if the requirements of
paragraph (c) are met.
C. An industrial user who wishes to establish the affirmative defense of upset shall
demonstrate, through properly signed, contemporaneous operating lots, or other
relevant evidence that:
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(1) *An upset occurred and the industrial user can identify the cause(s) of the
upset; :
(2) The facility was at the time being operated in a prudent and workmanlike
manner and in compliance with applicable operation and maintenance
procedures;
(3) The industrial user has submitted the following information to the Bureau
of Water Quality and/or POTW within twenty four (24) hours of becoming
aware of the upset (if this information is provided orally, a written
submission must be provided with five (5) days):
(I) A description of the indirect discharge and cause of noncompliance
(ii) The period of noncompliance, including exact dates and times or,
if not corrected, the anticipated time the noncompliance is
expected to continue
(iii) - Steps being taken and/or planned to reduce, eliminate and prevent
recurrence of the noncompliance.
D. In any enforcement proceeding, the industrial user seeking to establish the
occurrence of an upset shall have the burden of proof.
E. Industrial users will have the opportunity for a judicial determination on any
claim of upset only in an enforcement action brought for noncompliance with
categorical pretreatment standards.
F. The industrial user shall control production or all discharges to the extent
necessary to maintain compliance with categorical pretreatment standards upon
reduction, loss, or failure of its treatment facility until the facility is restored or an
alternative method of treatment is provided. This requirement applies in the
situation where, among other things, the primary source of power of the treatment
facility is reduced, lost or fails.
13.2 General/Specific Prohibitions
An industrial user shall have an affirmative defense to an enforcement action brought
against it for noncompliance with the general and specific prohibitions in Section 2.1 of this
ordinance if it can prove that it did not know or have reason to know that its discharge, along or
in conjunction with discharges from other sources, would cause pass through or interference and
that either: (a) a local limit exists for each pollutant discharged and the industrial user was in
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compliance with each limit directly prior to , and during, the pass through or interference, or (b)
no local limit exists, but the discharge did not change substantially in nature or constituents from
the user's prior discharge when the Muncie Sanitary District POTVV was regularly in compliance
with its NPDES permit, and in the case of interference, was in compliance with applicable sludge
use or disposal requirements.
13.3 Bypass
A. (1) "Bypass" means the intentional diversion of wastestreams from any portion of
an industrial user's treatment facility.
(2) "Severe property damage" means substantial physical damage to property,
damage fo the treatment facilities which causes them to become inoperable, or
substantial and permanent loss of natural resources which can reasonable be
expected to occur in the absence of a bypass. Severe property damage does not
mean economic loss caused by delays in production.
B. An industrial user may allow any bypass to occur which does not cause
pretreatment standards or requirements to be violated, but only if it also is for
essential maintenance to assure efficient operation. These bypasses are no't
subject to the provision of paragraphs (C) and (D) of this section.
C. (1) If an industrial user knows in advance of the need for a bypass, it shall submit
prior notice to the Bureau, at least ten (10) days before the date of the bypass if .
possible.
(2) An industrial user shall submit oral notice of an unanticipated bypass that
exceeds applicable pretreatment standards to the Bureau within twenty-four (24)
hours from the time it becomes aware of the bypass. A written submission shall
also be provided with five (5) days of the time the industrial user becomes aware
of the bypass. The written submission shall contain a description of the bypass
and its cause; the duration of the bypass, including exact dates and times, and, if
the bypass has not been corrected, the anticipate tune it is expected to continue;
and steps taken or planned to reduce, eliminate, and prevent reoccurrence of the
bypass. The Director may waive the written report on a case-by-case basis if the
oral report has been received with twenty-four (24) hours.
D. (1) Bypass is prohibited, and the Director may take enforcement action against an
industrial user for a bypass, unless;
(I) Bypass was unavoidable to prevent loss of life, personal injury, or severe
property damage;
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(ii) There were no feasible alternatives to the bypass, such as the use of
auxiliary treatment facilities, retention of untreated wastes, or maintenance
during normal periods of equipment downtime. This condition is not
satisfied if adequate back-up equipment should have been installed in the
exercise of reasonable engineering judgment to prevent a bypass which
occurred during normal periods of equipment downtime or preventive
maintenance; and
(iii) The industrial user submitted notices as required under paragraph (c) of
this section.
(2) The Director may approve an anticipated bypass, after considering its adverse
effects, if the Director determines that it will.meet the three conditions listed in
paragraph (D) (1) of this section.
53.14 - METERED/ESTTMATED WASTEWATER VOLUME
14.1 Metered Water Supply
User charges and fees shall be based upon the total amount of water used from all sources
unless, in the opinion of the Director, significant portions of water received are not discharged to
a sanitary sewer. The total amount of water used from public and private sources will be
determined by means of public meters or private meters, installed and maintained at the expense
of the user and approved by the Director.
14.2 Metered Wastewater volume and Metered Diversions
For users where, in the opinion of the Director, a significant portion of the water received
from any metered source does not flow into the sanitary sewer because of the principal activity
of the user or removal by other means, the user charges and fees will be applied against the
volume of water discharged from such premises into the community sewer. Written notification
and proof of the diversion of water must be provided by the user if the user is to avoid the
application of the user charges and fees against the total amount of water used from all sources.
The user may install a meter of a type and at a location approved by the Director and at the user's
expense. Such meters may measure either the amount of sewage discharge or the amount of
water diverted. Such meters shall be tested for accuracy at the expense of the user when deemed
necessary by the Director.
14.3 Estimated Wastewater Volume
A. Us~ers without source meters. For users where, in the opinion of the Director, if it
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is unnecessary or impractical to install meters, the quantity of vvastewater may be
based upon an estimate prepared by the Director. This estimate shall be based
upon a rational determination of the wastewater discharged and may consider
such factors as the number of fixtures, seating capacity, population equivalent,
annual production of goods and services or such other determinants of water use
necessary to estimate the wastewater volume discharged.
B. Users with source meters. For users who, in the opinion of the Director, divert a
significant portion of their flow from a sanitary sewer, the user charges may be
based upon an estimate of the volume prepared by the user, provided the user
obtains wastewater discharge authorization and pays the applicable user charges
and fees. The estimate must include the method and calculations used to
determine the wastewater volume and may consider such factors as the number of
fixtures, seating capacity, population equivalents, annual production of goods and
services, or such other determinations of water use necessary to estimate the
wastewater volume discharged. ' '
53.15 - SURCHARGE COSTS
A. Each person discharging wastewater into the sanitary district sewers shall be
subject to a surcharge in addition to the regular sewage service charge based on
the biochemical oxygen demand (BOD) and the suspended solids (SS) content of
the wastes, if the wastes have a concentration higher than 250 mg/1 of BOD
and/or 250 mg/1 of SS.
(1) Biochemical oxygen demand - 250 mg/1.
(2) Suspended solids - 250 mg/1. > . ,;
B. Sampling and testing for surcharges or use charges. The discharged wastewater
will be sampled during each sewage billing period for minimum of a one-day
period (24 continuous hours) by means of a composite sample. An extended
sampling period of up to one week (7 continuous days) or reduction may be
requested to enable the gathering of a sample representative of a companies
wastewater. The extension or reduction of the sampling period beyond the initial
one-day sampling period maybe requested by either the sewer user involved or
the Bureau. If an extended sampling period is requested, the parameter values
used to calculate the surcharge will be the arithmetical average of the individual
values. In the event a company or industry has multiple discharges of wastewater,
each discharge shall be sampled according to quality. The volume of each.;,
discharge shall be determined by actual measurement or by means of process
usage. If significant process changes are made to affect quality of any discharge,
resampling may be requested by either the sewer user involved or the Bureau.
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C. The wastewater sample shall be measured for the following parameters:
Biochemical oxygen demand (BOD), and suspended matter or solids (SS). These
tests shall be made in accordance with the latest editions of Standard Methods for
the Examination of Water or by an approved EPA method.
D. Computation of surcharge. The excess pounds of BOD and of suspended solids
will each be computed by multiplying the sewage billing volume measured in
units of 100 cubic feet for the current sewage billing period by the factor
!, 0.006238, and then multiplying the differences between the concentration
measured in milligrams per liter of the BOD and of the suspended solids,
respectively, in the customer's wastewater and the allowed concentrations set out
above, resulting in the pounds of each constituent. The surcharge of each
.., constituent will then be determined by multiplying the excess pounds of each
constituent by the appropriate rate of surcharge.
53.16 - MISCELLANEOUS PROVISIONS
16.1 Damage to Facilities
When a discharge of wastes causes an obstruction, damage, or any other impairment to
the P.OTW, the Muncie Sanitary District may assess a charge against the user for the work"
required to clean and/or repair the sanitary sewer system and/or the POTW, and add such charge
or charges to the user's charges and fees.
16.2 Severability
If any provision of this ordinance is invalidated by any court of competent jurisdiction,
the remaining provisions shall not be effected and shall continue in full force and effect.
16.3 Conflicts
All other ordinances and parts of other ordinances inconsistent or conflicting with any
part of this ordinance, are hereby repealed to the extent of the inconsistency or conflict.
53.17 - EFFECTIVE DATE
This ordinance shall be in full force and effect immediately following its passage,
approval and publication, as provided by law.
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